Branch v. Texas Brief for the Respondent
Public Court Documents
September 27, 1971
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Brief Collection, LDF Court Filings. Branch v. Texas Brief for the Respondent, 1971. 95869c2c-b69a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/1d834be3-bb0e-4fdd-ba41-c501c17e08e1/branch-v-texas-brief-for-the-respondent. Accessed November 06, 2025.
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ke N V A IL
Supreme Court, U
5
Cf.
IN THE
SUPREME COURT OF THE UNITED STATES
October Term, 1971
No. 69-5031
* * *
Elmer B ranch,
Petitioner,
V.
State of Texas,
Respondent.* # *
ON WRIT OF CERTIORARI TO THE TEXAS
COURT OF CRIMINAL APPEALS
* * *
BRIEF FOR THE RESPONDENT
* * *
Crawford C. M artin
Attorney General of Texas
Nola W hite
First Assistant
A lfred W alker
Executive Assistant
R obert C. F lowers
Assistant Attorney General
Glenn R. Brown
Assistant Attorney General
Box “ R ,” Capitol Station
Austin, Texas 78711
Charles A lan W right
2500 Red River Street
Austin, Texas 78705
Attorneys for Respondent
I N D E X
Subject I ndex
Statement of Case_______________________________ 1
Summary of Argument__________________________ 2
Argument ______________________________________ 4
I. Capital punishment may reasonably be
thought to serve the purposes of retribution
and deterrence and is not “ cruel and un
usual” within the meaning of the Eighth
Amendment_____________________________ 4
II. Captal punishment in rape cases is justified
by the seriousness of the crime and is not
“ cruel and unusual” within the meaning of
the Eighth Amendment____________________22
III. The other contentions of petitioner are not
properly in issue here______________________42
Conclusion_______________________________________44
Citations
CASES:
Anderson, In re, 69 Cal.2d 613, 447 P.2d 117
(1968) ____________________________________ 5
Calhoun v. State, 85 Tex.Cr. 496, 214 S.W. 335
(1919) ______________________________________31
Fay v. Noia, 372 U.S. 391 (1963)_______________ 22
Ginsberg v. New York, 390 U.S. 629 (1968)______19
i
Irvine v. California, 347 U.S. 128 (1954)________43
Kemmler, In re, 136 U.S. 436 (1890)__________ 6, 23
McGautha v. California, 402 U.S. 183
Goesaert v. Cleary, 335 U.S. 464 (1948)________ 12
(1971) ________________________5, 6,12,13, 21, 29
Mapp v. Ohio, 367 U.S. 643 (1961)_____________ 22
Maxwell v. Bishop, 398 F.2d 138 (8th Cir. 1968) _5, 31
Miranda v. Arizona, 384 U.S. 436 (1966)_______22
O’Neil v. Vermont, 144 U.S. 323 (1892)________24
Ralph v. Warden, Maryland Penitentiary,
438 P.2d 786
(4th Cir. 1970)_____11,13,23,30,32,35,36,39,41
Robinson v. California, 370 U.S. 660 (1962)_____24
Sanders v. United States, 373 U.S. 1 (1963)___ 22
State ex rel. Francis v. Resweber, 329 U.S. 459
(1947) _________________________________ 5,6,24
Townsend v. Sain, 372 U.S. 293 (1963)_________22
Trop v. Dulles, 356 U.S. 86 (1958)__________6, 7, 24
United States v. Jackson, 390 U.S. 570 (1969)_41
Weems v. United States, 217 U.S. 349 (1910) __6, 24
Wilkerson v. Utah, 99 U.S. 130 (1879)________6, 23
ii
Witherspoon v. Illinois, 391 U.S. 510 (1968)—5, 7, 21
Williams v. New York, 337 U.S. 241 (1949)____13
STATUTES:
Act of April 30, 1790; 1 Stat. 112______________ 6
18 U.S.C. § 1751______________________________ 9
28 U.S.C. § 1257(3)_____ 43
Texas Code of Criminal Procedure, Art. 1.14—42,43
OTHER AUTHORITIES:
B edau, T he Death P enalty in A merica
(2d ed. 1967)__________________________ 8,9,17,18
Bullock, Significance of the Racial Factor in the
Length of Prison Sentences, 52 J. Crim . L., C.
&P. S. 411 (1961)____________________________ 29
Cohen, L aw W ithout Order (1970)----------------- 17
Cohen, R eason and L aw (1950)_________________ 14
Comment, The Death Penalty Gases, 56 Calie.L.
R ev. 1268 (1968)_______________________________12
Comment, Revival of the Eighth Amendment:
Development of Gruel-Punishment Doctrine ~by
the Supreme. Court, 16 Stan.L.Rev. 996 (1964) 23
Deut. 1 9 :2 1 _____________________________________ 25
Deut. 2 2 :1 5 _____________________________________ 25
iii
D uffy, 88 Men and 2 W omen (1962)
Ex. 2 2 :1 8 ___________________________
21
F lorida, R eport of the Special Commission for
the Study of A bolition of Death P enalty in
Capital Cases (1965)_________________________
FBI, U niform Crime R eports for the U nited
States 1970 (1971)________________________ 28,
F rankfurter, The Problem of Capital Punish
ment, in Of L aw and Men (1956)-----------------
Gebhard, G-agnon, P omeroy & Christenson, Sex
Offenders (1 9 6 5 )_______________________ 25,
Gibbs, Crime, Punishment, and Deterrence, 48
Sw. Soc. Sci. Q. 515 (1968)__________________
Goldberg & Dersbowitz, Declaring the Death Pen
alty Unconstitutional, 83 H arv.L.Rev. 1773
(1970) ______________________________7,11,13,
Halleck, Emotional Effects of Victimization, in
Sexual B ehavior and the L aw 673 (Slovenko
ed. 1965) ____________________________________
Hart, The Aims of the Criminal Law, 23 L. &
Contemp. P rob. 401 (1958)__________________
Hart, Murder and the Principles of Punishment:
England and the United States, 52 Nw.U.L.
R ev. 433 (1957)___________________________15,
Koeninger, Capital Punishment in Texas, 1924-
1968, 15 Crime & Del. 132 (1969)____________
25
16
40
40
33
15
16
38
14
17
29
IV
Lev. 20:21 25
Macdonald, R ape— Offenders and T heir V ic
tims (1 9 7 1 )__________________ 25, 27, 28, 30, 33, 34
Model P enal Code (Proposed Official Draft
1962) ______________________________________ 8
M odel P enal Code (Tent.Dr.No. 9, 1959)------16,40
National Commission on R eform of F ederal
Criminal Laws, F inal R eport (1971)----------- 8
Note, The Gruel and Unusual Punishment Clause
and the Substantive Criminal Law, 79 H arv.L.
R ev. 635 (1966)_________________________10, 26, 27
Note, The Effectiveness of the Eighth Amend
ment: An A.ppraisal of Cruel and Unusual
Punishment, 36 N.Y.U.L.Rev. 846 (1961)___10,11
Ohio Legislative Service Commission, Capital
P unishment (Staff Research Report No. 46,
1961) ______________________________________ 8,16
P acker, T he L imits of the Criminal
Sanction (1968) ---------------------------------- 13,14, 27
Packer, Making the Punishment Fit the Crime,
77 H arv.L.Rev. 1071 (1964)______ 19, 24, 26, 32, 41
R oyal Commission on Capital P unishment,
R eport 1949-1953, Cmd. N o. 8932
(1953) ______________________________ 14,15,17,18
v
Schwartz, The Effect in Philadelphia of Pennsyl
vania’s Increased Penalties for Rape and A t
tempted Rape, 59 J. Crim . L., C. & P. S. 509
(1968) ______________________________________24
Seney, The Sibyl at Cumae—-Our Criminal Law’s
Moral Obsolescence, 17 W ayne L .R ev. 777
(1971) ______________________________________30
Shakespeare, The Rape of Lucrece----------------------39
Sutherland & Scherl, Patterns of Response
Among Victims of Rape, 40 A mer. J.
Orthopsychiat. 503 (1970)_______________38,39
Texas P enal Code: A P roposed R evision (Final
Draft, 1970) ________________________________ 41
Williams, Rape-Murder, in Sexual B ehavior and
the L aw 563 (Slovenko ed. 1965)-------- .------- 33
W orking P apers op the National Commission
on R eform of F ederal Criminal Laws
(1970) _____________________________ 8,15,17,18
vi
IN THE
SUPREME COURT OF THE UNITED STATES
October Terra, 1971
No. 69-5031
* * *
Elmek B ranch:,
Petitioner,
V.
State of Texas,
Respondent.
* * *
ON WRIT OF CERTIORARI TO THE TEXAS
COURT OF CRIMINAL APPEALS
* * *
BRIEF FOR THE RESPONDENT
* * *
STATEMENT OF CASE
Shortly before 2:00 A.M. on the morning of May
9th, 1967, Mrs. Grady Stowe was awakened by an in
truder who had broken into her home twelve miles
north of Vernon, Texas, in which she was alone sleep
ing. The intruder overcame her resistance by force and
brutally raped her. Mrs. Stowe’s vivid narrative of
the events (A. 18-28) -was not cross-examined by the
defense (A. 28), and defense counsel told the jury he
had not cross-examined her “ because I feel like that
what she said was the truth, other than possibly the
identification” (A. 119-120). Any doubt but that de
fendant committed the crime was insubstantial. Mrs.
Stowe made a positive identification of him (A. 18),
he was arrested a short time after the crime (A. 35),
Ms clothing when he was arrested was as described by
Mrs. Stowe (A. 24, 30), and the tennis shoes he was
wearing made a distinctive mark that coincided with
foot prints found outside of Mrs. Stowe’s house (A.
41, 51). Mrs. Stowe was a 65 year old widow (A. 21).
Defendant was a powerful young man (A. 19) aged
20 or 21.*
The jury found defendant guilty and assessed death
as the penalty. Sentence was entered accordingly.
SUMMARY OF ARGUMENT
I. The Framers did not intend in the Eighth
Amendment to abolish capital punishment and this
Court has long and firmly supposed that punishment
to be constitutional. Even if the Amendment can take
on new meanings in the light of “ evolving standards
of decency,” there has been no change in standards
that would permit holding capital punishment to be
unconstitutional. Although there has been much debate
on the wisdom of this penalty and public opinion is
divided, the penalty is still widely accepted by the
public and by the legislatures of 41 states and the
federal government. Retribution remains one of the
legitimate aims of punishment and for some cases only
the death penalty is appropriate retribution. Legisla
tures may also conclude that capital punishment is
more effective as a deterrent of crime than is any other
penalty. Although there is no statistical evidence of
the superiority of death as a deterrent, there is other
*There is some confusion in the record about defendant’s
age. His mother testified that he was 20 at the time of the
trial two months after the rape (A. 97), but a parole sum-
mary prepared on February 25, 1966 (A. 87) listed him as
being 20 at that time (A. 89), which would have made him
21 at the time of the crime.
— 2
evidence supporting this conclusion and there is no
statistical evidence demonstrating that it is not su
perior. That executions now occur less frequently than
in the past does not show public rejection of capital
punishment and society may permissibly keep the death
penalty on the books to deter all crimes in a particu
lar class while actually imposing that penalty only on
the most extreme occurrences within the class.
II. I f capital punishment is constitutionally per
missible for some crimes, it is permissible for rape.
Even assuming that the Eighth Amendment bars not
only those punishments that are inherently cruel but
also those that are cruelly excessive, a death sentence
for rape does not run afoul of such a bar. The death
penalty may be regarded as a superior deterrent for
rape, as for murder, and there are some rapes not re
sulting in death that are so horrible that a legislature
may properly think that death is not disproportionate
retribution. Rape has always been regarded as one of
the most serious of crimes, its incidence is rising sharp
ly, and a legislature does not act unreasonably in con
cluding to retain the death penalty for rape. The argu
ment that that penalty for that offense is an attempt
to legitimize racial homicide is based on inconclusive
figures from the past. It is illusory to speak of limit
ing use of the death penalty to those cases in which the
victim’s life is endangered because in a sense this is
always so in forcible rape and there is no way to de
termine objectively whether it was the case in any
particular rape. It is also illusory to seek to confine
the applicability of the death penalty to rapes in which
the victim has suffered grievous physical or psycho
logical harm. Again there is a sense in which every rape
victim suffers lasting psychological harm and in the
— 3 —
present state of knowledge there is no way to know with
assurance what the psychological consequences on a par
ticular victim have been. The danger that a rape has
posed to the victim’s life and the extent of harm she
has suffered are legitimate considerations for a jury,
expressing the collective conscience of the community,
in determining sentence hut are not constitutional limi
tations on the use of capital punishment. It is not true
that most jurisdictions regard death as an excessive
penalty for rape and there is no trend toward aban
doning the death penalty for rape cases.
III . Petitioner’s contentions that it is a denial of
equal protection if a convicted rapist in Texas is sub
ject to the death penalty when he would not be if he
were convicted in some other state and that the Texas
procedure giving the prosecutor discretion whether to
seek the death penalty is unconstitutional cannot be
considered here. They are not within the limited grant
of certiorari, they were not presented in the petition
for the writ, and they were never raised in the state
courts.
ARGUMENT
I. Capital Punishment May Reasonably Be Thought
to Serve the Purposes of Retribution and Deterrence
and Is Not “Cruel and Unusual” Within the Meaning
of the Eighth Amendment.
Petitioner in the present case does not challenge the
constitutionality in general of capital punishment
(Branch Br. 9). He limits himself to the argument
that a death sentence for certain kinds of rape, of
4-—
which, he asserts this is one, is unconstitutional. But if
capital punishment is unconstitutional for any “ ci
vilian, peacetime crime,” as is claimed in some of the
companion cases (Aikens Br. 5), it necessarily follows
that it is unconstitutional in this case. Thus the issue
presented in Aikens and in Furman is central to the
present case as well and we must consider it before
turning to the special problems that may he thought
to he raised hy use of the death penalty in a rape case.
There is no issue before this Court of the wisdom
or social desirability of capital punishment. These are
questions addressed wholly to legislators. Even those
who are personally opposed to capital punishment may
well conclude that it violates no provision of the Con
stitution. F.g., State ex rel. Francis v. Resweber, 329
U.S. 459, 470 (1947) (Frankfurter, J., concurring) ;
Maxwell v. Bishop, 398 F.2d 138, 154 (8th Cir. 1968)
(per Blackmun, J.), vacated on other grounds 398
U.S. 262 (1970); In re Anderson, 69 Cal.2d 613, 634-
635, 447 P.2d 117, 131-132 (1968) (Mosk, J., concur
ring) ; cf. McGautha v. California, 402 U.S. 183, 226
(1971) (Black, J., concurring); Witherspoon v. Illi
nois, 391 U.S. 510, 542 (1968) (White, J., dissenting).
In terms of the usual criteria for interpreting the
Constitution, the case for the constitutionality of capi
tal punishment is a very compelling one. It seems be
yond dispute that the Framers did not intend by the
Eighth Amendment to outlaw the death penalty, a pen
alty that was “ in common use and authorized by law
here and in the countries from which our ancestors
came at the time the Amendment was adopted.” Mc-
Gautha v. California, 402 U.S. 183, 226 (1971) (Black,
J., concurring). The same Congress that proposed the
— 5 —
Eighth Amendment provided in the First Crime Act
for the death penalty for treason, murder, piracy,
counterfeiting, and other offenses. Act of April 30,
1790, §§ 1, 3, 8, 9,14, 23, 1 Stat. 112. It is equally clear
that this Court in a long line of cases has spoken of
the death penalty a,s if it were constitutional. E.g.,
Wilkerson v. Utah, 99 U.S. 130, 134-135 (1879) ; In
re Kemmler, 136 U.S. 436, 447 (1890) ; State ex rel.
Francis v. Besweber, 329 U.S. 459, 464 (1947) (plu
rality opinion) ; Trop v. Dulles, 356 U.S. 86, 99 (1958)
(plurality opinion). Only last term the Court filled
130 pages of the United States Reports with discus
sion of the constitutionality of the procedures used in
imposing the death penalty, McGautha v. California,
402 U.S. 183 (1971), a singularly academic exercise
if the Constitution does not permit that penalty ever
to he imposed. It is possible to make a nice analysis of
these cases and to decide that none of them represents
an actual holding on the constitutionality of the death
penalty hut even reading them for the least they are
worth they support what is said by petitioner in Aikens.
Obviously, the Court has long and firmly sup
posed its constitutionality; and if the question had
been appropriately posed in Wilkerson or Kem
mler, capital punishment plainly would have been
sustained. The same may be true as late as Francis,
or even Trop, * * *.
(Aikens Br. 9).
The same conclusion seems indicated even if one
concedes that the Eighth Amendment may change its
meaning with the passage of the years, as four Justices
said in Weems v. United States> 217 U.S. 349, 372-
373, 378 (1910), and the same number reiterated in
— 6
the plurality opinion in Trop v. Dulles, 356 U.S. 86,
100-101 (1958). In the latter case it was said that
the words of the Amendment are not precise, and
that their scope is not static. The Amendment must
draw its meaning from the evolving standards of
decency that mark the progress of a maturing
society.
In that same case the plurality opinion also stated that
the death penalty has been employed throughout
our history, and, in a day when it is still widely
accepted, it cannot he said to violate the constitu
tional concept of cruelty.
Id. at 99. That is no less true today. Society’s standards
of decency have not evolved that much in the interven
ing 13 years.
It is clear that there has been much debate about
the efficacy and morality of capital punishment and
that the American people are divided on this issue.
This Court took note of a 1966 poll indicating that
42% favor capital punishment while 47% oppose it.
Witherspoon v. Illinois, 391 U.S. 510, 520 n. 16 (1968).
A 1969 poll finds 51% in favor of the death penalty.
Goldberg & Dershowitz, Declaring the Death Penalty
Unconstitutional, 83 H abv.L.Rev. 1773, 1781 n. 39
(1970). Whether the percentage is 42% or 51% is
of no significance. The fact is that public opinion is
divided with substantial support for both sides. Many
responsible citizens favor the death penalty though
the fight to abolish it “ has been waged with the fervor
of a crusade” (Aikens Br. 32). It is the abolitionists
rather than the retentionists who have organized them
selves into highly articulate lobbies and found repre
sentatives in respected public figures. Memorandum on
— 7
the Capital Punishment Issue, in 2 W orking P apers
of the National Commission on R eform of F ederal
Criminal Laws, 1347, 1363 (1970). It is the opponents
of the death penalty who have been, “ active in research
and prolific in their writings.” Ohio L egislative Serv
ice Commission, Capital P unishment 31 (Staff Re
search Report No. 46, 1961).
It is not only in the polls that a sharp division ap
pears. In 1964 abolition of capital punishment carried
with 60% of the vote in a referendum in Oregon. Two
years later 65% of the voters in Colorado chose to re
tain the death penalty. B edau, T he Death P enalty in
A merica 233 (2d ed. 1967). In 1970, 64% of the voters
in Illinois chose to retain capital punishment. The
majority of special committees in Massachusetts
(1958), Pennsylvania (1961), and Maryland (1962)
have favored abolition of capital punishment while
the majority of committees in New Jersey (1964) and
Florida (1965) have favored its retention. 2 W orking
P apers of the National Commission on R eform of
F ederal Criminal L aws 1365 (1970). The commission
that considered reform of the federal criminal laws was
sharply divided, with a majority favoring abolition
while other members of the commission had strongly
held views in favor of retention. National Commission
on R eform of F ederal Criminal L aws, F inal R eport
310 (1971). The American Law Institute provided
guidance for those states that wish to retain capital
punishment, Model P enal Code § 210.6 (Proposed Of
ficial Draft 1962), and its membership voted that the
Institute should not take a position one way or the
other on abolition.
Perhaps the most significant indication of public
8 —
feeling on this issue is that 41 states and the federal
government retain capital punishment for some or
all crimes. Indeed as recently as 1965 Congress added
one more to the list of federal capital crimes when it
provided the death penalty for assassination of a Pres
ident, President-elect, or Vice President of the United
States. 18 U.S.C. § 1751, added by Act of Aug. 28,
1965, Pub.L. 89-141, § 3, 79 Stat 580.
What our legislative representatives think in the
two score states which still have the death penalty
may be inferred from the fate of the bills to repeal
or modify the death penalty filed during recent
years in the legislatures of more than half of these
states. In about a dozen instances, the hills emerged
from committee for a vote. But in none except
Delaware did they become law. In those states
where these hills were brought to the floor of the
legislatures, the vote in most instances wasn’t even
close.
B edatt, T he Death P enalty in A merica 232 (2d ed.
1967).*
Even where the abolitionist movement has been suc
cessful it has commonly not been totally so. Great
Britain, Canada, and New York have seen fit to retain
capital punishment for such varied offenses as trea
son, murder of police and corrections officials, mur
der by a person under life sentence, piracy with vio
lence, and dockyard arson (Aikens Br. 32-34). These
represent very recent legislative determinations that
for some kinds of offenses the ultimate sanction of
death must be available. Yet this kind of discriminating
* Subsequent to when the quoted passage was apparently
written, though not to its publication, capital punishment
was abolished in West Virginia and Iowa but restored in
Delaware.
— 9
legislative judgment would be impossble should it be
held that the Constitution bars capital punishment, at
least for all civilian peacetime crimes. I f there is a
constitutional barrier to the execution of Ernest Aikens
there would seem to be the same barrier to execution
of the murderer of a prison guard or a President or to
the execution of a person who successfully puts a
bomb in a crowded 747.
Given the division of opinion on capital punish
ment, it can hardly be said that “ evolving standards
of decency” now reject it, even for an ordinary murder.
When countries with whom we share many of our
values and our legal traditions have only recently con
cluded that there remain some extraordinary crimes
for which the death penalty must be preserved, the
argument that to impose a sentence of death is never
constitutional under any circumstances is seen for
what it is, an attempt to impose an absolutist view
of a debatable social policy on the states and the fed
eral government by way of a novel constitutional in
terpretation.
Neither the language of the Eighth Amendment, the
intent of the Framers, the precedents in this Court,
nor, to the extent that it may be thought relevant, a
public consensus supports the notion that capital pun
ishment is unconstitutional. Indeed, insofar as these
indicators show anything, they support the freedom of
legislatures to make their own choice on the matter.
Commentators have rejected the argument that death
is an unconstitutional punishment. Note, The Cruel
and Unusual Punishment Clause and the Substantive
Criminal Law, 79 H arv.L.Rev. 635, 638-639 (1966) ;
Note, The Effectiveness of the Eighth Amendment:
— 10 —
An Appraisal of Gruel and Unusual Punishment, 36
N.Y.U.L.Rev. 846, 859-860 (1961). Justice Goldberg
and Professor Dershowitz, who have stated the ease
against the constitutionality of capital punishment, are
forced to note that in 1969 alone there were eight state
court decisions in which the death penalty was upheld
against an Eighth Amendment attack. Goldberg &
Dersbowitz, Declaring the Death Penalty Unconstitu
tional, 83 H arv.L.Rev. 1773, 1774 n. 6 (1970), and
at least six of the circuits have held to the same effect.
Id. at 1775 n. 7. As will be more fully discussed under
Point Two of this Brief, the Fourth Circuit has found
imposition of a death sentence in some rapes to violate
the Eighth Amendment. Ralph v. Warden, Maryland
Penitentiary, 438 F.2d 786 (4th Cir. 1970). It stands
virtually alone in going that far. No court has held, as
some of petitioners in the present cases now urge, that
the Constitution prohibits the death penalty for any
civilian peacetime crime.
Petitioner in the present case makes a very able
presentation of what has been the usual argument by
some recent commentators against the constitutionality
of capital punishment (Branch Br. 23-29). Essen
tially it begins with the premise that the traditional
aim s of punishment are retribution, deterrence, iso
lation, and rehabilitation. But retribution is said to
be inconsistent with modern penological thought and
must be discounted for that reason (Branch Br. 23).
Patently a death sentence does not rehabilitate
the offender and he can be isolated as effectively in a
modern prison as by executing him. Thus the only
legitimate object that capital punishment might serve
is deterrence and recent statistical studies have given
rise to a widespread belief that capital punishment
11 —
offers no effective deterrent relief (Braneli Br. 25).
Since, on this analysis, “ the death penalty has no ra
tional place in the legitimate penal policies of modern
man” (Branch Br. 28), and is “ inconsistent with ad
vanced concepts o f behavioral science” (Branch Br.
29), it runs afoul of the Eighth Amendment.
The argument cannot he taken lightly. Conjoined
with the moral, humanitarian, and pragmatic argu
ments against capital punishment, it might well prove
persuasive to a legislature considering a change in
the law or to a governor asked to commute the sen
tences of the condemned persons in his state. But here
the argument must stand or fall on its own, since this
Court is limited to the issue of constitutionality and
cannot write into the law its notions of morality or
humanitarianism or its pragmatic preferences. As a
purely constitutional argument, the analysis made by
petitioner gives too little weight to the elements of
retribution and deterrence and it gives too much
weight to “ advanced concepts of behavioral science.”
The Constitution does not require legislatures to
reflect sociological insight, or shifting social stand
ards, any more than it requires them to keep
abreast of the latest scientific standards.
Goesaert v. Cleary, 335 TJ.S. 464, 466 (1948). See also
McGautha v. California, 402 TJ.S. 183, 221 (1971).
In the light of history, experience, and the present
limitations of human knowledge, cf. McGautha v. Cali
fornia, 402 TJ.S. 183, 207 (1971), it cannot be said
that retribution is not a legitimate end of criminal
punishment. Those who would prohibit retribution as
a purpose of criminal punishment altogether, Com
ment, The Death Penalty Cases, 56 Calif.L.Rev. 1268,
— 12 —
1349-1354 (1968), as well as those who would require
that a penalty serve some other end besides retribution
more effectively than any other less severe penalty,
Goldberg & Dershowitz, Declaring the Death Penalty
Unconstitutional, 83 H arv.L.Rev. 1773, 1796-1797
(1970), ask too much of the Eighth Amendment. This
Court has recognized that:
Retribution is no longer the dominant objeetve of
the criminal law. Reformation and rehabilitation
of offenders have become important goals of crim
inal jurisprudence.
Williams v. New York, 337 II.S. 241, 248 (1949). To
say that retribution is no longer the dominant objec
tive of the criminal law is quite different from saying
that it is no longer one of the permissible objectives
of the criminal law. The permissibility of retribution
as an objective was suggested here as recently as Mc-
Gautha v. California, 402 U.S. 183, 284 (1971) (Bren
nan, J., dissenting). See also Ralph v. Warden, Mary
land Penitentiary, 438 E.2d 786, 791 (4th Cir. 1970).
It is true that much stirring debate has been going
on in recent years about the proper role and function
of the criminal sanction. The utilitarians reject retri
bution as a purpose of the criminal law on the ground
that suffering is always evil and there is no justification
for making convicted persons suffer unless some secu
lar good can be shown to flow from doing so. The be-
havioralists reject retribution because they consider
that human conduct is determined by forces that the
individual cannot modify and that moral responsibility
cannot be ascribed to behavior that cannot be avoided.
See P acker, The L imits of the Criminal Sanction 11-
12 (1968). Perhaps one or another of these positions is
— IB —
sound but it is hardly likely that either of them is
written into the interstices of the Eighth Amendment.
Many thoughtful persons whose views cannot he
lightly discounted continue to see retribution as one
of the legitimate purposes of the criminal law. Thus
Professor Henry M. Hart wrote:
Suppose, for example, that the deterrence of of
fenses is taken to be the chief end. It will still be
necessary to recognize that the rehabilitation of
offenders, the disablement of offenders, the sharp
ening of the community’s sense of right and wrong,
and the satisfaction of the community’s sense of
just retribution may all serve this end by contrib
uting to an ultimate reduction in the number of
crimes. Even socialized vengeance may be accorded
a marginal role, if it is understood as the provision
of an orderly alternative to mob violence.
Hart, The Aims of the Criminal Law, 23 L. & Contemp.
P rob. 401 (1958). Morris R. Cohen argued that it is
one of the functions of the criminal law to give ex
pression to the collective feeling of revulsion toward
certain acts, Cohen, R eason and L aw 50 (1950), and
the Royal Commission on Capital Punishment thought
that “ retribution must always be an essential element
in any form of punishment.” R oyal Commission on
Capital P unishment, R eport 1949-1953, Cmd. Ho.
8932, at 18, S 53 (1953). In his recent full-length study
of this and related questions, Professor Herbert L.
Packer has argued that it would be socially damaging
in the extreme to discard either retribution or deter
rence as a ground for punishment. P acker, The L imits
of the Criminal Sanction 36-37 (1968).
The view is still widely held that for some particu
larly serious and offensive crimes no penalty short
— 14 —
of death adequately satisfies the community’s sense
o f just retribution. Perhaps the view is unfortunate
and backward hut it is one that a legislature is con
stitutionally free to hold.
The legislature could also reasonably think that the
death penalty is superior as a deterrent to any other
punishment. This has been at the heart of the aboli
tionist case in recent years. Statistical studies, by Pro
fessor Thorsten Sellin and others, have been made
to compare the homicide rate in jurisdictions with the
death penalty and those without it. Attempts have been
made to refine these studies by comparing jurisdictions
that are thought to be generally similar and by ex
amining the experience in a particular jurisdiction
at a time when it had the death penalty and at a time
when it did not. These figures clearly demonstrate
that there is no statistical proof that the death penalty
is a superior deterrent. They do not justify the con
clusion that the death penalty is not a superior de
terrent, though, as Professor H. L. A. Hart has noted,
“ many advocates of abolition speak as if the second
were a warranted conclusion from the figures. ’ ’ Hart,
Murder and the Principles of Punishment: England
and the United States, 52 N w .U .L .R ev. 433, 457
(1957).
The reasons why these statistical studies do not
prove that capital punishment is not a superior de
terrent have been frequently pointed out. E.g., R oyal
Commission on Capital P unishment, R eport 1949-
1953, Cmd. No. 8932, at 22-24, W 62-67 (1953); 2
W orking P apers of the National Commission on R e
form of F ederal Criminal Laws 1354 (1970); Gibbs,
Crime, Punishment, and Deterrence, 48 Sw. Soc. Sci.
— 15 —
Q, 515, 516 (1968). It is very difficult to be sure that
all relevant variables other than capital punishment
can be eliminated. Goldberg & Dershowitz, Declaring
the Death Penalty Unconstitutional, 83 H arv.L.Rev.
1773, 1796 n. 105 (1970). Florida, R eport of the Spe
cial Commission for the Study of A bolition of Death
P enalty in Capital Cases 14 (1965); Ohio Legislative
Service Commission, Capital P unishment 38 (Staff
Research Report No. 46, 1961). It appears quite likely
that homicide rates per 100,000 of population are too
crude an instrument to reflect all the cases in which
the threat of a death sentence has had a deterrent effect.
Model P enal Code 64-65 (Tent. Dr. No. 9, 1959).
A leading opponent of capital punishment, Profes
sor Hugo A. Bedau, has given an example that shows
why the statistical findings are not inconsistent with
the existence of a deterrent effect for capital punish
ment.
Data reported below in Professor Sellin’s article
shows that the ten-year average of annual homcide
rates in Ohio fell during the 1920’s from 7.9 per
100,000 of population to 3.8 in the 1950’s. Yet if
the death penalty had been abolished in Ohio at
the beginning of this period and if (let us suppose)
abolition had been followed by a dozen or so more
murders each year thereafter, the general homicide
rate would have decreased almost exactly as in
fact it has, and at no time would the rate for any
given year be more than a tenth of one per cent
greater than it has been. Thus, while we could
truthfully say that the abolition of the death pen
alty in Ohio had been followed by a decrease in
the general homicide rate, it would also have been
true that abolition resulted in an increase in the
total number of murders, and this despite the eon-
— 16 —
stancy of the ratio of total homicides to murders
(except in the first year after abolition).
B edau, The Death P enalty in A merica 265-266 (2d
ed. 1967). H. L. A. Hart has made the same point based
on British statistics. Hart, Murder and the Principles
of Punishment: England and the United States, 52
Hw .ILL.Rev. 433, 457 (1957).
Of course capital punishment is not a perfect de
terrent. Murder, rape, and other serious crimes con
tinue to take place despite the threat of death. We can
number the cases in which the death penalty has failed
as a deterrent. We cannot number its successes. R oyal
Commission on Capital P unishment, R eport 1949-
1953, Cmd. No. 8932, at 18,1 55 (1953). There are many
human activities that involve risking one’s life in which
some persons, whether for the sake of a livelihood, from
recklessness, from pride, or from devotion to a cause,
are willing to run the risk while others refrain because
they do not wish to undertake the risk. Cohen, L aw
W ithout Order 49-50 (1970).
There is some objective evidence of criminals who
have been deterred by the existence of the death pen
alty: robbers who have said that they used simulated
guns or empty guns rather than take a chance of kill
ing someone and being condemned to death; an escaped
convict who released his hostages at the state line be
cause he was afraid of the death penalty for kid
napping in the neighboring state; and other instances
of this kind. 2 W orking P apers of the National Com
mission on R eform of F ederal Criminal L aws 1356
(1970); B edau, T he Death P enalty in A merica 266-
267 (2d ed. 1967). In addition, experienced law en
forcement officers are virtually as one in their con
17—
viction that the death penalty is a superior deterrent.
See, e.g., the statements of J. Edgar Hoover and of
Chief Edward J. Allen, reprinted inBEDAU, T he D eath
P enalty in A meeioa 130-146 (2d ed. 1967); 2 W orking
P apers of the National Commission on R eform of
F ederal Criminal L aws 1356 (1970). It is easy enough
to seek to dismiss these as mere “ impressionistic opin
ions” (Aikens Br. 60). Others have thought that they
could not “ treat lightly the considered and unanimous
views of these experienced witnesses, who have had
many years of contact with criminals.” R oyal Com
mission on Capital P unishment, R eport 1949-1953,
Cmd. No. 8932, at 21,1 61 (1953).
The conclusion that the Royal Commission drew on
this issue seems an appropriate one in the present state
of knowledge:
The general conclusion which we reach, after care
ful review of all the evidence we have been able
to obtain as to the deterrent effect of capital pun
ishment, may be stated as follows. Prima facie the
penalty of death is likely to have a stronger effect
as a deterrent to normal human beings than any
other form of punishment, and there is some evi
dence (though no convincing statistical evidence)
that this is in fact so. But this effect does not op
erate universally or uniformly, and there are many
offenders on whom it is limited and may often be
negligible. It is accordingly important to view this
question in a just perspective and not to base a
penal policy in relation to murder on exaggerated
estimates of the uniquely deterrent force of the
death penalty.
Id. at 24,1 68.
I f this Court were to reach the same conclusion as
did the Royal Commission, it would have to say that
— 18 —
a legislature could rationally choose to retain the death
penalty because it believed that to some extent that
penalty is a more effective deterrent than any other
form of punishment. But that would also be the result
here even if there was less evidence than there is to
support a finding of deterrent effect. In connection
with whether obscenity has a harmful effect, the Court
has noted that there is a growing consensus that while
a causal link has not been demonstrated it has not been
disproved either. In that situation, the Court said, leg
islation that proceeds on the premise that obscenity
is harmful has a rational basis. Ginsberg v. New York,
390 TJ.S. 629, 641-643 (1968). At least as much can be
said for legislation premised on the deterrent effect
of capital punishment.
The legislative judgment inherent in provisions
for the death penalty may he open to question, but
that hardly seems enough to make it impermissible.
One may wonder whether a constitution “ that does
not enact Mr. Herbert Spencer’s Social Statics”
can fruitfully be thought of as enacting Mr. Thor-
sten Sellin on the death penalty.
Packer, Making the Punishment Fit the Crime, 77
H arv.L.Rev. 1071, 1079-1080 (1964).
There is, however, another argument against the
constitutionality of capital punishment that is men
tioned by petitioner in this ease (Branch Br. 12) and
that is central to the position of the petitioners in the
companion cases. We have shown earlier that a sub
stantial portion of the public and the great majority
of legislatures accept death as a penalty. The argument
now to be considered concedes that society tolerates
having death penalty statutes on the books but that
it would not tolerate their widespread use. It is as
19
serted that death is a cruel and unusual punishment
because contemporary standards of decency, univers
ally felt, would condemn the use of death as a penalty
if the penalty were uniformly, regularly, and even-
handedly applied to all persons found guilty of a crime
for which death is made a possible penalty or even to
a reasonable proportion of them (Aikens Br. 24).
With the utmost respect for the able and dedicated
counsel who have put forward this argument, we sub
mit that it has even less persuasive force than do the
more usual arguments against capital punishment that
have already been considered. The present argument
relies, in the first place, on an assumption that is un
documented and that many persons would reject.
W e are told that “ standards of decency, universally
felt,” would condemn the regular use of the death pen
alty (Aikens Br. 24). Again it is said that if 184
criminals were to be executed in 1971, as happened in
1935, “ it is palpable that the public conscience of the
Nation would be profoundly and fundamentally re
volted * * *” (Aikens Br. 26). At another place it is
said that there is “ an overwhelming national repulsion
against actual use of the penalty of death” (Aikens
Br. 42), and that it is “ a punishment which, if applied
regularly, would make the common gorge rise” (Aikens
Br. 54). Finally Aikens asserts that “ if it were usually
used, it would affront universally shared standards of
public decency” (Aikens Br. 61). There is a similar
suggestion from the present petitioner (Branch Br.
12).
The various petitioners offer no evidence whatever
in support of this assertion. It is wholly possible that
a substantial portion of the public would think the
— 20 —
development hypothesized by petitioners a salutary one
and a constructive step in the direction of a no-non
sense “ war on crime.” It is wholly possible that, as
Warden Clinton Duffy has lamented, “ the public
doesn’t care” one way or the other. D uffy, 88 Men
and 2 W omen 258 (1962). An unsupported assertion
remains only an assertion though it is iterated six
times in varying and forceful language.
Even if petitioners were right in their supposition,
it is difficult to see what that would establish as a mat
ter of law. The public may think it wise to retain the
death penalty on the books as a warning to all would-be
murderers and rapists, even though application of the
penalty is reserved for only the most serious offenders.
It is then left to the sentencing authority, commonly
the jury, in each particular case to “ express the con
science of the community on the ultimate question of
life or death.” Witherspoon v. Illinois, 391 U.S. 510,
519 (1968). That petitioners do not trust juries to
perform this function and believe that a death sentence
is given to a small number of persons arbitrarily chosen
from a much larger group who might have been sen
tenced to death is merely another form of the argument
that was made and rejected in McGautha v. California,
402 U.S. 183 (1971).
It can be conceded, as the figures of the Bureau of
Prisons presented by the petitioners show, that there
has been a decreasing number of executions in the last
40 years, although the figures for the last decade are
entitled to little weight on this point. In addition
to the de facto moratorium that has existed for the
last four years while cases challenging the procedures
for and the constitutionality of capital punishment
21 —
were pending in this Court, earlier cases such as Mapp,
Miranda, and others, which limited the kinds of evi
dence that can be heard in criminal cases, undoubtedly
aborted prosecutions or required vacation of convic
tions that would otherwise have led to an execution,
and cases such as Fay, Townsend, and Sanders en
larged the possibilities for delay in carrying out a
death sentence by collateral attacks on convictions. A
decade ago nearly one person per week was being exe
cuted in the United States. It hardly seems right to call
something that happened that frequently “ an almost
indescribably uncommon event” (Aikens Br. 38). The
conscience of the community, as expressed by those
who impose sentence in capital cases, has taken an
increasingly rigorous view of the extreme cases in
which the death penalty will be used. It has shown no
disposition to abandon the death penalty entirely. Re
taining it on the books for classes of the most serious
crimes and applying it to the most extreme of the cases
that fall within those classes is consistent with both the
conscience of the connnunity and the Eighth Amend
ment to the Constitution.
II. Capital Punishment in Rape Cases Is Justified by
the Seriousness of the Crime and Is Not “ Cruel and
Unusual” Within the Meaning of the Eighth Amend
ment.
The argument is made in this case and in Jackson
that even if death is a constitutionally permissible
punishment for some crimes it is cruel and unusual
for some or all rapes. The Jewish religious and civic
organizations that are amici here contend that death
is an unconstitutional punishment for any rapes that
do not result in death (Synagogue Council Br. 13).
— 22 —
Petitioner in the present ease argues that death is un
constitutional as punishment in rape eases “ where
life is not taken nor endangered” (Branch Br. 28) or
“ where no life has been taken or seriously endangered”
(Branch Br. 29). The first of those formulations,
“ when the victim’s life is neither taken nor endan
gered,” was held to be the point at which the Con
stitution prohibits a death sentence for rape by a
majority of the Fourth Circuit, speaking through
Judge Butzner, in Ralph v. Warden, Maryland Peni
tentiary, 438 F.2d 786, 793 (4th Cir. 1970). Chief
Judge Haynsworth, concurring in the result in that
decision, would allow a death sentence “ if the victim
suffered grievious physical or psychological harm
whether or not it clearly appeared that her life had
been endangered.” Id. at 794. I f a rape results in loss
of life it would be murder under the felony-murder
doctrine and so it adds nothing to speak of allowing
the death penalty for rapes in which a life has been
taken. The various arguments then are that capital
punishment is unconstitutional in any rape case, or
in rape eases in which the victim’s life has not been
seriously endangered, or in which her life has not
been endangered at all, or in which she has not suf
fered grievous physical or psychological harm.
The argument proceeds from the premise that the
Eighth Amendment bars both those punishments that
are inherently cruel and those that are cruelly ex
cessive. See Comment, Revival of the Eighth Amend
ment: Development of Gruel-Punishment Doctrine by
the Supreme Court, 16 Stan.L.Bev. 996 (1964). There
is ample support for the notion that the Amendment
prohibits inherently cruel punishments— Wither son v.
Utah, 99 U.S. 130, 135-136 (1879) ; In re Kemmler,
— 28
136 IJ.S. 436, 447 (1890) ; State ex rel. Francis v.
Resweber, 329 U.S. 459, 464 (1947)—though the death
penalty has never been thought to run afoul of this
aspect of the Amendment and, for the reasons set
forth in Point One of this Brief, should not be held
to do so. The notion that the Amendment also bars
cruelly excessive punishments is derived primarily
from Weems v. United States, 217 U.S. 349 (1910),
though it is supported also by the dissents in O’Neil v.
Vermont, 144 U.S. 323, 340, 370-371 (1892), and by
the decisions of the Court in Trop v. Dulles, 356 U.S.
86 (1958) and perhaps Robinson v. California, 370
U.S. 660 (1962). There is much to be said for the idea
that the Weems case has been misread and that it is
much closer to the conventional view that cruel and
unusual punishment is a matter of mode of punish
ment rather than proportion. Packer, Making the Pun
ishment Fit the Crime, 77 H arv.L .R ev. 1071, 1075
(1964). Nevertheless we assume for purposes of this
argument that a punishment disproportionate to the
gravity of the offense might for that reason be held
to be cruel and unusual.
If, as is argued in Point One, a legislature could
reasonably find that capital punishment has some de
terrent effect on crime, it could reasonably find that
it has some deterrent effect on rape. Though it may
be, as argued by petitioner (Branch Br. 26), that the
nature of sex crimes is such that any punishment has
little or no deterrent value, “ very little is actually
known about the relationship between rape and penal
sanction.” Schwartz, The Effect in Philadelphia of
Pennsylvania’s Increased Penalties for Rape and A t
tempted Rape, 59 J. Grim. L. C. & P. S. 509, 515
(1968). The statistical studies on the effect of capital
_ 2 4 —
punishment have been confined to homicide and there
are no figures one way or the other on whether capital
punishment deters rapes. Indeed petitioner’s belief
that sex offenders cannot be deterred by threat of any
punishment and his related belief that there is little
or no recidivism among rapists (Branch Br. 26)—a
belief that is not as widely accepted as he suggests, see
M acdonald, R ape— Offenders and T heir V ictims 314
(1971); Gebhard, Gagnon, P omeroy & Christenson,
Sex Offenders 193 (1965)—would, if accepted, lead
quite logically to the conclusion he draws, “ that- rapists
need little rehabilitation or punishment” (Branch Br.
28). Society would overwhelmingly disagree.
The position of the Jewish religious organizations,
that death is never a constitutional punishment for any
rape, has the merit of being a clear and workable test.
It also has a certain attractive logic. The Biblical ref
erence to a life for a life, Deut. 19:21, surely was not
meant restrictively. The death penalty was also called
for in the ancient law for adultery, Lev. 20:21, bes
tiality, Ex. 22:18, and rape of a betrothed woman,
Deut. 22:15. But undoubtedly there is appeal to the
notion that just retribution permits the taking of a
life only when life has been taken.
But the Eighth Amendment did not enact the Book
of Deuteronomy and the difficulty is in establishing that
death is so “ greatly disproportioned” to any rape, re
gardless of its circumstances, that a legislature acts
unconstitutionally if it permits some rapists to be
executed. The several formulations of petitioner and
of the judges of the Fourth Circuit seek to distinguish
among rapes for which death is an appropriate pen
alty and those for which it is not. The Jewish re-
— 25
ligious organizations reject any distinction of this kind.
Thus they must take the view that there is no rape
in which the victim survives for which the criminal
can he put to death. No matter how seriously the vic
tim’s life was endangered, no matter how revolting and
barbarous the circumstances of the crime, no matter
how grievous the permanent physical and psychological
harm visited on the victim, so the argument runs, death
would be so excessive a penalty that the Constitution
forbids it.
It may be asked where in the Constitution this re
striction on the state and federal governments can be
found. W e have conceded for the purposes of argument
that a cruelly excessive punishment may be uncon
stitutional but there is ambiguity in speaking of a
punishment as being proportioned to a crime. The
punishment may be considered “ in relation to the harm
actually resulting from a criminal act, to the risk of
harm caused by the actor, to the degree of temptation
he faced, or to his 4moral fault.’ ” Note, The Gruel and
Unusual Punishment Clause and the Substantive
Criminal Law, 79 H arv.L.Rev. 635, 636 (1966). To
draw a line between rapes resulting in death and other
murders, on the one hand, and rapes not resulting in
death, on the other, requires looking to the first of
these concepts to the exclusion of the other three. Other
observers who have taken a broader outlook have
thought that “ capital punishment for rape is justi
fiable, if capital punishment is ever justifiable, as a
matter of legislative choice because of the danger to
life and limb as well as to other interests that a forcible
sexual attack may involve.” Packer, Making the Pun
ishment Fit the Crime, 77 H arv.L.Rev. 1071, 1077
26
(1964) ; see also Note, 79 H arv.L.Rev. 635, 642-643
(1966).
Society lias always regarded forcible rape as among
the most serious and most reprehensible of crimes. It,
along with willful homicide, aggravated assault, and
robbery are
the most threatening and the most strongly con
demned in the entire criminal calendar. # * These
four offenses are supremely threatening for dif
fering reasons, but in each case one’s physical
security is placed at the mercy of a person intent
on violating that security. Nothing makes either
the victim or the community feel more helpless
than an occasion on which someone has used force
to work his will on another. Violent injury or
the threat of it is the brute negation of the mini
mum that all of us—from the most self-sufficient
to the most dependent—expect from life in organ
ized society.
P acker, T he L imits op the Criminal Sanction 297
(1968). Even where the death penalty is not imposed
society shows the seriousness with which it considers
rape by the length of sentences it imposes for this
crime. The average time served before release is longer
for rapists, than for men convicted of manslaughter,
robbery, aggravated assault, or any offense other than
murder. M acdonald, R ape— Offenders and T heir V ic
tims 298 (1971). There is another, less agreeable, in
dication of how society views rape. Between 1872 and
1951, 1,198 persons suspected of rape or attempted
rape were lynched in the United States. Id. at 301.
The incidence of rape is sharply rising. In the last
decade the number of rapes has increased 121% and
the rate in relation to the population has increased
27 —
95%. In 1970 36 out of every 100,000 females in the
country was a reported forcible rape victim and it
is well understood that, because of fear and embarrass
ment, this offense is probably one of the most under
reported crimes. FBI, U niform Crime R eports for the
U nited States 1970 14 (1971). The past decade is not
unusual in this respect. Rape is the only crime of
violence that has shown a clear tendency to increase in
frequency over the last century. M acdonald, R ape—
Offenders and T heir V ictims 25 (1971). Given these
figures, it would be doctrinaire in the extreme to say
that Congress and the legislatures of 17 states are
acting unconstitutionally when they provide the death
penalty in an effort to deter all forcible rapes and im
pose it in those cases in which a lesser penalty would not
be sufficient for retribution.
It is appropriate to consider here the argument that
death for rape is cruel and unusual because the death
penalty is carried out on Negro rapists far more often
than white rapists and thus is “ a thinly veiled attempt
to legitimize racial homicide” (Branch Br. 19). That
argmnent comes in at this point because, if it has any
validity, it must be valid against any use of the death
penalty for rape. Surely it would not be permissible for
a state to legitimize racial homicide against those rap
ists who have seriously harmed their victim or endan
gered their lives but not against other rapists.
It would seem that the racial argument is more prop
erly directed to the Equal Protection Clause than to
the Cruel and Unusual Punishment Clause. Never
theless we will assume that it has sufficient relation to.
the Eighth Amendment to be within the limited grant
of certiorari in this case.
28 —
Undoubtedly the statistics are suggestive that juries
have taken race into account in imposing the death pen
alty for rape. Figures provided counsel by the Texas
Department of Corrections show that 97 persons have
been executed for rape in Texas since 1924. Of these
14 were white, 80 were black, and three were Latins.
Eight of the 42 persons now under sentence of death
in Texas were convicted for rape. Of these one is
white, five are black, and two are Latins. See also
Koeninger, Capital Punishment in Texas, 1924-1968,
15 Crime & D el. 132 (1969).
We have no doubt but that race is “ constitutionally
impermissible” as a consideration in sentencing con
victed offenders, McGautha v. California, 402 U.S.
183, 207 (1971), though we think that this is true
of all sentences:, and not merely of death sentences,
and that it is the result of the Equal Protection Clause
rather than of the Eighth Amendment as absorbed
into the Due Process Clause. Clearly the figures on
numbers of executions by race are suggestive that race
has been considered, but this has not been a problem
confined to rape cases or to use of the death sentence.
Professor Henry Bullock’s sophisticated study of
3,644 persons under prison sentence at Huntsville
would support a conclusion that in the past race has
played a part in sentencing in Texas, with Negroes
receiving shorter sentences than whites for some of
fenses and longer sentences for others. Bullock, Sig
nificance of the Bacial Factor in the Length of Prison
Sentences, 52 J. Crim . L., C. & P. S. 411 (1961). In
understanding this historical fact it cannot be for
gotten that until 1954 segregation of the races was le
gally required in Texas. At a time when the law pro
hibited racial intermingling even in a schoolroom or
29 —
on a bus, and when miscegenation was a crime, it is
hardly surprising that an interracial offense, and par
ticularly an interracial rape, was perceived as an espe-
cially traumatic event and an especially serious breach
of the good order of the state.
In understanding these figures from the past another
fact must be taken into account. The rape rate is much
higher among Negroes than among whites. Studies
both in Denver and Philadelphia, based on figures
that eliminated any possibility of racial discrimination
on the part of .judges and jurors, showed in each in
stance that the rape rate was 12 times as high among
Negroes: as among whites. M acdonald, R ape— Offend-
ees AND T heib Y ictims 51-54 (1971). That this is so
says nothing about comparative morality of different
races. It may well be a function of poverty rather
than of race. “ * * * [T]he rich kid can use flowers,
candy, wining and dining and a shiny automotive
super-phallus to ‘ seduce’ the girl whom the slum kid
‘ rapes.’ Seney, The Sibyl at Cumae—Our Criminal
Law’s Moral Obsolescence, 17 W ayne L.Rev. 777, 793
n. 76 (1971). I f the disparity between the incidence of
rape among whites and Negroes was one to twelve
in Texas, as it was found to be in Denver and Phila
delphia studies, then a disparity of less than one to
six in the numbers executed is less persuasive of dis
criminatory practices than the figures would seem at
first blush.
Those courts that have considered the statistical
argument about death sentences in rape cases have
found them insufficient to show that the Negro de
fendants who were before them received the death
penalty because of their race. Ralph v. Warden, Mary
— 30 —
land Penitentiary, 438 F.2d 786, 793 n. 24 (4th Cir.
1970) ; Maxwell v. Bishop, 398 F.2d 138, 149 (8th Cir.
1968), vacated on other grounds 398 U.S. 262 (1970).
Even counsel who has been most imaginative in mak
ing and seeking to document this argument concedes
that an irrefutable statistical showing that a particu
lar state has discriminated on racial grounds in the
administration of the death penalty is difficult to estab
lish, because the number of death sentences is so ex
ceedingly small in comparison to the number of factors
that may properly be considered at every stage of the
criminal process in deciding whether to impose capital
punishment (Aikens Br. 53). In any event, as the
Eighth Circuit noted in the Maxwell case, “ improper
state practice of the past does not automatically in
validate a procedure of the present.” Ibid.
If, for the reasons we have stated, the Constitution
is not a bar against capital punishment for any rape
case, are there some rapes that are sufficiently inof
fensive that to impose death for them is grossly dis
proportionate to the crime and, for that reason, cruelly
excessive? Interestingly the Texas Court of Criminal
Appeals has held that there are. In Calhoun v. State,
85 Tex.Cr. 496, 503, 214 S.W. 335, 338 (1919), that court
said:
We take it to be clear that the extreme penalty
should only be inflicted in an extreme case, and
we do not believe this is such a case. Our Constitu
tion (section 13 of the Bill of Bights) forbids the
infliction of excessive fines or cruel or unusual
punishment.
Though the Calhoun case has never been overruled
and is even occasionally cited, it is very doubtful that
31 —
it represents Texas law. It has never actually been
followed and it is quite plain on the face of the opinion
that the court simply did not believe the testimony of
the complaining witness. Since it could not reverse
on that ground, it hunted for some seemingly plausible
ground on which it could save the life of a defendant
whom the court thought to be not guilty. In fact it
sent the case back for a new trial, at which the state
had already predicted it could not get a conviction,
rather than merely setting aside the sentence.
Petitioner argues, and the Fourth Circuit has held,
that “ the death sentence is so disproportionate to the
crime of rape when the victim’s life is neither taken
nor endangered that it violates the Eighth Amend
ment.” Ralph v. Warden, Maryland Penitentiary, 438
E.2d 786, 793 (4th Cir. 1970). The dissenting judges
in the Fourth Circuit pointed out the extreme impre
cision of the term “ endangered.” Id. at 796. Professor
Packer also has questioned how a court is to tell
in any given case whether human life was “ endan
gered.”
There is a sense in which life is always endangered
by sexual attack, just as there is a sense in which
it is always endangered by robbery, or by burglary
of a dwelling, or by any physical assault. The
threat of violence too is not the less a threat for
being conditional, and violence always carries the
possibility of a fatal outcome.
Packer, Making the Punishment Fit the Grime, 77
H arv.L.Rev. 1071, 1077 (1964). This is consistent with
all that is known about rape and about rapists.
Dr. Kinsey’s associates have found in their study
that in 40% of the cases the rapists made threats of
- 3 2 - —
a major sort, such as of serious physical damage or
threats of injuring the victim’s children. Gebhard,
Gagnon, P omeroy & Christenson, Sex Offenders 196
(1965). The most common type of rapist is
the assaultive variety. These are men whose be
havior includes unnecessary violence; it seems, that
sexual activity alone is insufficient and in order
for it to be maximally gratifying it must be
accompanied by physical violence or by serious
threat. In brief, there is a strong sadistic element
in these men and they often feel pronounced hos
tility to women (and possibly to men also) at a
conscious or unconscious level. They generally do
not know their victim; they usually commit the of
fense alone, without accomplices; preliminary at
tempts at seduction are either absent or extremely
brief and crude; the use of weapons is common;
the man usually has a past history of violence; he
seemingly selects his victim with less than normal
regard for her age, appearance, and deportment.
Lastly, there is a tendency for the offense to be
accompanied by bizarre behavior including unnec
essary and trivial threats.
Id. at 197-198. Other studies have noted that rape often
does lead to murder. Williams, Rape-Murder, in Sex
ual B ehavior and the L aw 563 (Slovenko ed. 1965).
Dr. John Macdonald’s recent comprehensive examina
tion of rapes reports that in order to secure submis
sion and compliance, the rapist will often threaten or
physically assault his victim, and that even in the
absence of threats or blows the offender may convey to
his victim by his facial appearance and general be
havior the impression that resistance will lead to vio
lence. M acdonald, B are— Offenders and T heir V ic
tims 63 (1971). In a study he made of 200 rape victims
in Denver almost half were either struck with a fist
— 33 —
or choked. Id. at 64. He finds, too, that the force nsed
to subdue the woman may he fatal, though the rapist
did not intend this, since pressure on the neck of the
victim, though insufficient to cause strangulation, may
cause death from reflex causes. Id. at 180.
Whether or not the Fourth Circuit test is a usable
standard can profiably be considered in the light of
the facts of the present case. Was Mrs. Stowe’s life
endangered when Elmer Branch broke into her rural
house in the dead of night and raped her ? Defendant,
who was 20 or 21 years old, is virtually the prototype
of the “ assaultive variety” of rapist described by Gfeb-
hard and his colleagues. He committed the offense
alone, with no preliminary attempt at seduction, and
he selected his victim without regard to her age. The
events following the assault are characterized by his
own counsel as “ bizarre” (Branch Br. 3). He used
brute force to accomplish his will with Mrs. Stowe
(A. 19). She was 65 years old and was unable to do
anything because “ he was just so strong: I have never
seen a man with that kind of power in his hands.
* * *” ( A. 19). Prior to accomplishing penetration
he had Mrs. Stowe’s head hanging off the bed while
he pressed down harder and harder on her throat (A.
19). After the attack she was “ coughing and choking.
He had hurt my throat and I was hurting all over
really. My throat was hurting and I couldn’t hardly get
my breath * * *” (A. 22). When Branch finally left
he told her he would kill her if she told about the
attack (A. 23).
Was Mrs. Stowe’s life endangered? Was there a
risk that he might have suffocated her had she con
tinued to resist? Was there a risk that the pressure on
— 34 —
lier neck might cause death from reflex causes? I f he
had heard her slipping out the hack door immediately
after he went out the front and had seen her running
to her son’s house, was there danger that he would have
carried out his threat and have killed her? These are
the kinds of questions that must be answered in this and
every other rape case if the Fourth Circuit test should
he adopted as a constitutional rule. One could reason
ably answer each of these questions in the affirmative,
given what we know about rape and rapists, but if
we do so the protection supposedly afforded by the
Fourth Circuit rule is wholly illusory. Indeed similar
questions could just as well be answered in the affirma
tive on the facts of the Ralph case itself. But how can
the questions possibly or rationally be answered in the
negative? I f the line is a constitutional one, as the
Ralph holding and the argument here would require,
they will be questions that must ultimately be answered
by appellate judges, who would be required to de
cide in each instance whether a particular set of facts
came within or without the area in which the victim’s
life was “ endangered” and the Constitution would al
low a death sentence to stand. It seems quite odd that
the Constitution should require appellate judges to
speculate on what might have happened though, by
hypothesis, it did not.
Would the ease be in a different posture if the prose
cutor had asked Mrs. Stowe if she thought that her
life was, in danger and she had said: “ Oh, yes. I felt
that if I didn’t give in he would certainly kill me” ?
Or if she had said: “ I f he had kept his arm on my
throat a minute longer I would have suffocated.” I f
so, any protection from the Fourth Circuit rule would
again be illusory. Prosecutors would ask the ritual
— 35
questions to establish that the victim’s life was en
dangered just as they now put a ritual question to
establish penetration (A. 28).
Would this be a different case if, at the outset of
the encounter, Branch had said: “ I ’ll show you what
I want and I ’ll kill you, if I have to, to get it” ? (Cf.
A. 18.)I f so, why? I f so, what in the Eighth Amend
ment requires the drawing of such subtle and meaning
less distinctions? The Fourth Circuit test is neither
workable, logical, nor required by the Eighth Amend
ment. A legislature may reasonably believe, with Pro
fessor Packer, that “ there is a sense in which life is
always endangered by sexual attack.”
In the Ralph case Chief Judge Haynsworth chose
a different test. He though it was decisive that the vic
tim’s doctor had testified that she had suffered no last
ing physical or psychological harm, and could find
no bar in the Eighth Amendment against the im
position of the death penalty for rape if the vic
tim suffered grievous physical or psychological
harm whether or not it clearly appeared that her
life had been endangered.
438 F.2d at 795.
This appears to point to a more objective inquiry
than does the “ endangered” test and Chief Judge
Haynsworth is certainly right that “ the nature, degree
and duration of the harm have long been recognized
as important criteria in determining the appropriate
ness of punishment.” Ibid. But it does not follow from
this that they are constitutionally-imposed criteria.
The victim of any rape, as Chief Judge Haynsworth
himself noted, “ suffers harm and great indignity.”
Ibid. Serious physical harm can be recognized and
_ 3 6 —
measured. Lasting psychological harm is less easy to
identify and may he even more grievous. In the present
case, for example, Mrs. Stowe is what Dr. Seymour L.
Halleek refers to as an “ accidental” victim, one who
did not know her attacker and who made some effort to
resist the assault.
Such a woman has undergone an experience in
which she is aware of overwhelmingly angry feel
ings but is helpless in dealing with them. She re
peatedly searches her own motivations to discover
if there was something she might have done to pre
vent the attack. Often she blames herself for hav
ing neglected a minor defensive effort that she
feels might have been protective. She is uncertain
as to her role as a woman and such a role does
appear to her at that moment as a degraded and
helpless one. She wonders if she will again he at
tracted to men or interested in normal sexual
relations.
A wide variety of pathological reactions may de
velop following sexual assault. Women with pre
viously vulnerable personalities are likely to de
velop neurotic symptoms including anxiety at
tacks, phobias, hypochondriasis or depression. Oc
casionally psychotic reactions are seen. Less com
monly transient characterological difficulties such
as excessive drinking or promiscuity appear. The
previously well adjusted woman may also become
disturbed. It is indeed difficult to conceive of any
woman going through this experience without de
veloping some symptoms. While many symptoms
may be transient and not incapacitating those pa
tients who relate chronic symptoms to previous
sexual assault suggest that this is not always the
case.
The patient’s guilt following an attack is often
intense. Psychiatrists believe that most normal
— 37 —
women experience masochistic fantasies at some
times in their lives. The victim may, therefore, fear
that she might have willingly invited or pro
voked the attack, She is then tortured with self
accusation.
Halleck, Emotional Effects of Victimization, in Sex
ual B ehavior and the L aw 673, 675-676 (Slovenko ed.
1965). Which of these ill effects is sufficiently “ griev
ous” that the death penalty could he imposed? Will
victims, notoriously reluctant to complain of rape be
cause of the embarrassment it causes them, be even
more reluctant to do so if they are to be required to
take the stand and he examined about whether they
are interested in normal sexual relations or whether
they are experiencing masochistic fantasies? Given
the already common and unavoidable practice of try
ing the prosecutrix, can a rule whose harmful effect
is directly proportional to the victim’s susceptibility to
psychological damage, be sound?
The pattern of response of rape victims creates
further difficulties. In the first phase there is an acute
reaction, including shock, disbelief, and dismay. The
victim often is in an agitated, incoherent, and highly
volatile state. This is often succeeded by gross anxiety.
In the second phase the victim shows an outward ad
justment. She announces all is well and says she needs
no further help. This pseudo-adjustment covers up a
heavy measure of denial or suppression. This is suc
ceeded by a third phase in which the victim develops
an inner sense of depression and a need to talk. The
victim finds herself thinking increasingly about what
has happened and functioning progressively less well.
From that point either she recovers or the neurotic
symptoms become chronic. Sutherland & Scherl, Pat
— 38
terns of Response Among Victims of Rape, 40 A mer.
J. Orthopsychiat. 503 (1970). Adopted of the test
proposed by Chief Judge Havnsworth would make
Eighth Amendment rights turn on complicated ques
tions of this kind on which psychiatrists are only now
beginning to grapple for answers. Given the present
state of knowledge, a legislature does not act irration
ally if it concludes that all rapes involve a large risk
of serious psychological damage and if it thus author
izes juries to impose the death sentence in those ex
treme cases in which it seems justified. We cannot yet
say with assurance that Shakespeare was wrong when
he wrote in The Rape of Lucrece that rape inflicts
* * *the wound that nothing healeth,
The sear that will, despite of cure, remain.
One final argument suggested by the opinions in the
Ralph case should be mentioned. The majority there
thought that most jurisdictions now consider death an
excessive penalty for rape, and believed that this was
demonstrated “ by the legislative trend to abolish cap
ital punishment for this crime and by the infrequency
of its infliction in jurisdictions that still authorize it.”
438 E.2d at 793. It is true that only 16 states and the
federal government allow the death penalty for rape.
This does not show that those jurisdictions, or the
citizens in them, would think that death is an excessive
penalty for that crime. There are a variety of reasons
why a state might choose to remove one or another of
fense from the catalogue of capital crimes.
Those states that have abolished capital punishment
entirely have not made any judgment about the ex
cessiveness of the death penalty for rape. The incidence
of rape is closely related to geography, and is highest
— 39 —
in the west while much less common in the northeast.
FBI, U niform Crime R eports for the U nited States
1970, 14 (1971). In places where rape is uncommon
there may not he felt need to deal with it as severely
as in other areas. A state may have reduced the num
ber of capital offenses for wholly pragmatic reasons,
which have nothing to do with the supposed excessive
ness of the penalty. What many informed persons think
is the strongest argument against capital punishment
has nothing to do with the moral or utilitarian ob
jections to death sentences. This is that capital pun
ishment sensationalizes the entire judicial process.
As astute and realistic an observer as Mr. Justice
Jackson, observed to the Reporter shortly prior
to his death that he opposed capital punishment
because of its deleterious effects on the judicial
process and stated that he would appear and urge
the Institute to favor abolition.
M odel P enal Code 64 (Tent.Dr. No. 9, 1959). This
was also Justice Frankfurter’s position. F rankfurter,
The Problem of Capital Punishment, in Of L aw and
M en 77, 81 (1956). Those who take that view would
be making no judgment about the excessiveness of
the death penalty for particular crimes if they deter
mined to reduce the classes of cases in which this ef
fect on the judicial process might occur.
The infrequency of the infliction of the death sen
tence in rape cases does not indicate that it is regarded
as an excessive penalty, any more than the infrequency
of any executions indicates a view that death for any
crime is excessive. We have discussed that contention
under Point One of this Brief. Here, as there, society
is entitled to have the death penalty for rape on the
books as a deterrent to all rapes and to have it actually
— 40—-
carried out in those extreme eases in which the con
science of the community, speaking through the jury,
concludes that the defendant’s life should be forfeit.
Finally, it is simply incorrect to speak, as the Fourth
Circuit did, of “ the legislative trend to abolish capital
punishment for this crime * * *. 438 F.2d at 793. The
only jurisdictions in which capital punishment for rape
has been abolished in many years have been West Vir
ginia, where this was a part of a total abolition of
capital punishment, and the District of Columbia,
where the statute suffered the same defect that was
held to be unconstitutional in United States v. Jackson,
390 U.S. 570 (1969). See 438 F.2d at 791 n. 13.
But if, as appears to be true, for a number of years
the situation has been relatively stable, with 19
American jurisdictions permitting imposition of
the death penalty for rape, then it is hard to see
how “ evolving standards of decency,” let alone
“ standards of decency more or less universally ac
cepted,” can be said to be violated. On the evidence
available it does not appear that this is a case
for due process by headcount.
Packer, Making the Punishment Fit the Grime. 77
H arv.L.Rev. 1071, 1073 (1964).
Recent events in Texas are of interest in this con
nection. A distinguished group, sponsored by the State
Bar of Texas and financed by the legislature, has
worked for five years on revision of the Texas Penal
Code. In its published draft rape would ordinarily
have been a felony of the second degree punishable by
not more than twelve years in prison. Aggravated rape
would have been a felony of the first degree, punish
able by life imprisonment. T exas P enal Code: A P ro
posed R evision §§ 21.02, 21.03, 12.31 (Final Draft,
— 41 —
1970). But the committee that prepared the proposed
revision, prior to its introduction in the legislature
in 1971, itself reconsidered and concluded to retain
death as a possible penalty for aggravated rape.*
As the Texas experience shows, responsible and en
lightened people can and do still conclude in 1971 that
the best interests of society require provision for the
death penalty for some rape cases. This should he left
a matter for choice and sound judgment by legislatures
rather than resolved by reading into the Constitution
of the United States limitations that cannot readily
he perceived.
III. The Other Contentions of Petitioner Are Not
Properly in Issue Here.
In what has gone before we have sought to deal
with the arguments advanced by petitioner under
Points One, Three, and Pour of his Brief. In Point
Two he contends that to subject him to the death pen
alty, while persons convicted of rape in many other
states are not subject to that penalty, is a denial of
equal protection of the laws. In Point Five he attacks
the constitutionality of article 1.14 of the T exas Code
op Criminal. P rocedure, which commits the question of
capital punishment initially to the discretion of the
prosecutor and bars a death sentence unless the prose
*The fact that the Texas draftsmen propose to distinguish
between simple rape and aggravated rape is not inconsistent
with our position that the distinctions suggested by Judge
Butzner and Chief Judge Haynsworth are not viable. Making
these distinctions by statute permits much more precision
than constitutional construction would provide and the dif
ference between the two classes then becomes a question for
the jury rather than a question of law for appellate courts,
as it must be if the distinction is given constitutional stature.
— 42 —
cutor lias given advance notice of Ms intention to seek
the death, penalty.
These questions are not properly here. The writ of
certiorari was limited to whether the imposition and
carrying out of the death penalty in this case consti
tutes cruel and unusual punishment. 403 U .S ._
(1971). The matters raised by petitioner in his Points
Two and Five are not witMn that limited question, nor,
for that matter, were they among the six questions
he sought to bring here in his petition for eertiorari.
“ We disapprove the practice of smuggling additional
questions into a case after we grant eertiorari.” Irvine
v. California, 347 U.S. 128,129 (1954).
Nevertheless the temptation to respond to them is
strong. Those points are readily answered. Strict ad
herence to the rules of practice of this Court seems
less important here than resolving these matters, so
that no false glimmer of hope is left for those con
demned to death and no new round of stays, appeals,
and collateral attacks begun to have these questions
resolved.
There is, however, another objection that makes it
improper for us to argue or for the Court to decide
these new questions. The interstate equal protection
argument and the attack on article 1.14 were neither
raised nor decided at any stage of the state proceedings.
It is not a mere rule of practice that prevents their
consideration hut the limits on the jurisdiction of tMs
Court in reviewing eases from state courts. 28 U.S.C.
§ 1257(3).
— 43
CONCLUSION
For the reasons here given, the judgment of the
Texas Court of Criminal Appeals should be affirmed.
Respectfully submitted,
Cra wford C. M artin
Attorney General of Texas
N ola W hite
First Assistant
A lfred W alker
Executive Assistant
R obert C. F lowers
Assistant Attorney General
Glenn R. B rown
Assistant Attorney General
Box “ R ,” Capitol Station
Austin, Texas 78711
Charles A lan W right
2500 Red River Street
Austin, Texas 78705
Attorneys for Respondent
September, 1971