Boykins v. Fairfield Board of Education Petition for a Writ of Certiorari to the United States Court of Appeals for the Fifth Circuit
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January 1, 1974

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Brief Collection, LDF Court Filings. Boykin v. Alabama Brief for the NAACP Legal Defense, and Educational Fund and the National Office for the Rights of the Indigent, as Amicus Curiae, 1968. 96d59290-ca9a-ee11-be36-6045bdeb8873. LDF Archives, Thurgood Marshall Institute. https://ldfrecollection.org/archives/archives-search/archives-item/974d70f3-6701-48b9-af71-58cd790f21ab/boykin-v-alabama-brief-for-the-naacp-legal-defense-and-educational-fund-and-the-national-office-for-the-rights-of-the-indigent-as-amicus-curiae. Accessed July 19, 2025.
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I s r t h e (Emtrt of % lotto?* Status October Term, 1968 No. 642 E dward B oykin, J r., S tate of A labama, Petitioner, Respondent. ON W RIT OF CERTIORARI TO T H E SU PREM E COURT OF ALABAMA BRIEF FOR THE N.A.A.C.P. LEGAL DEFENSE AND EDUCATIONAL FUND, INC., AND THE NATIONAL OFFICE FOR THE RIGHTS OF THE INDIGENT, AS AMICI CURIAE J ack Greenberg J ames M. N abrit, III Michael Meltsner Melvyn Zarr J ack H immelstein 10 Columbus Circle New York, New York 10019 A nthony’ G. A msterdam 3400 Chestnut Street Philadelphia, Pa. 19104 Attorneys for the N.A.A.C.P. Legal Defense and Educational- Fund, Inc., and National Office for the Rights of the Indigent INDEX PAGE Interest of the Amici Curiae....................................... 1 Opinions Below ........................................................... 10 Jurisdiction ........................ —....-......-........................ 10 Questions Presented ........................................- ........ U Constitutional and Statutory Provisions Involved .... 11 Statement ..................— ........ -................................- 12 A k g u m en t— I. The Supreme Court of Alabama Erred in Affirming Boykin’s Convictions of Five Capi tal Offenses and Five Death Sentences Upon a Guilty Plea, Where the Record Does Not Show That the Trial Court Made Constitutionally Requisite Inquiry to Assure That the Plea Was Voluntary and Understanding .............. 16 II. Boykin’s Death Sentence Offends the Eighth Amendment........ .............................................. 24 III. The Alabama Procedure Under Which Boykin Was Sentenced to Die in the Unregulated, Lawless Discretion of the Jury Violates the Rule of Law Basic to Due Process................. 62 IV. Issues Not Presented ..................................... 69 Conclusion 74 11 PAGE Appendix A:— Provisions of the Criminal Statutes of the Fifty American States Providing for the Punishment of Death ............... .............. .............................. Appendix B:— Opinions of the Supreme Court of California, in In Re Anderson and Saterfield ..................... lb Table op Cases page Adderly v. Wainwright, M.D. Fla., No. 67-298-Civ-J 7, 9 Alabama v. Boykin, 281 Ala. 659, 207 So.2d 412...... 10 Brookhart v. Janis, 384 U.S. 1 (1966) ................. . 17 Burgett v. Texas, 389 U.S. 109 (1967) ..................... 18 Carnley v. Cochran, 369 U.S. 506 (1962) ..............18,19,22 Chambers v. Florida, 309 U.S. 227 (1940) ....... .......... 17 Cline v. Frink Dairy Co., 247 U.S. 445 (1927) .......... 63 Cole v. Arkansas, 333 U.S. 196 (1948) ..................... 18 Connally v. General Construction Co., 269 U.S 385 (1926) ......... .......................................................... 63 Cox v. Louisiana, 379 U.S. 536 (1965) ..................... 63 Dombrowski v. Pfister, 380 U.S. 479 (1965) ............. 63 Ill PAGE Domenica v. United States, 292 F.2d 483 (1st Cir. 1961) ................................. ..................................... 23 Doughty v. Maxwell, 376 U.S. 202 (1964) .............. 18 Douglas v. Alabama, 380 U.S. 415 (1965) .............. 18 Dukes v. State, 248 S.C. 227,149 S.E.2d 598 (1966) .... 59 Foreella and Funicello v. New Jersey, O.T. 1968, No. 947 Misc................................................................ 6, 8, 9, 71 Freedman v. Maryland, 380 U.S. 51 (1965) .............. 63 Garner v. Louisiana, 368 U.S. 157 (1961) ................. 20 Giaccio v. Pennsylvania, 382 U.S. 399 (1966) .......... 65, 66 Glasser v. United States, 315 U.S. 60 (1942) .......... 19 Hague v. C.I.O., 307 U.S. 496 (1939) ........................ 67 Hamilton v. Alabama, 368 U.S. 52 (1961) .............. 20 Herndon v. Lowry, 301 U.S. 242 (1937) ................. 63 Higgs v. State, 113 Ala. 36, 21 So. 353 (1897) .......... 12 Hill v. Nelson, N.D. Cal., No. 47318 ........................ 9 In re Anderson and Saterfield, Cal. S.C. Crim. Nos. 11572, 11573, decided November 18, 1968 .............. 8, 9 In re Gault, 387 U.S. 1 (1967) ................................ 22 In re Kemmler, 136 U.S. 436 (1890) ........................ 42 Johnson v. Virginia, O.T. 1968, No. 307 Misc......... 6,9,73 Johnson v, Ze'rbst, 304 U.S. 458 (1938) ...... ............. . 19 IV PAGE Louisiana ex rel. Francis v. Resweber, 329 U.S. 459 (1947) ........... ............. ...,....... -.... ...............-.... 42 Louisiana v. United States, 380 U.S. 145 (1965) ......... 63, 67 Machibroda v. United States, 368 U.S. 487 (1962) .... 18 Mathis v. New Jersey, O.T. 1968, No. 683 Misc.........6, 9, 73 Maxwell v. Bishop, 398 F.2d 138 (1968) ................. 53 Maxwell v. Bishop, O.T. 1968, No. 622 .......6, 7, 9, 53, 72, 73 McCants v. Alabama, O.T. 1968, No. 937 Misc............ 6, 9 McConnell v. Rhay and Stiltner v. Rhay, 37 U.S.L. Week 3131 (U.S., Oct. 14, 1968) ........................ 64 McElvaine v. Brush, 142 U.S. 155 (1891) ................. 42 Mempa v. Rhay, 389 U.S. 128 (1967) ..................... 18, 64 Miranda v. Arizona, 384 U.S. 436 (1966) .............. 18 Morris v. State, 97 Ala. 82, 12 So. 276 (1893) .......... 12 Morrissette v. United States, 342 U.S. 246 (1952) .... 56 N.A.A.C.P. v. Button, 371 U.S. 415 (1963) .............. 63 Niemotko v. Maryland, 340 U.S. 268 (1951) .............. 67 O’Connor v. Ohio, 385 U.S. 92 (1966) ..................... 18 Pennsylvania ex rel. Herman v. Claudy, 350 U.S. 116 ( 1956) ..................................... ................ ........................ -■................ 18 People v. Love, 53 Cal. 2d 843, 350 P. 2d 705 (1960) .. 56, 67 People v. Oliver, 1 N. Y. 2d 152, 151 N.Y.S. 2d 367, 373, 134 N.E. 2d 197, (1956) ............................ ....... 56 V PAGE Pittman v. State, ---- - Tex.Crim.App. ----- , ----- S.W. 2d — (1968) .............. ................... 3 Powell v. Alabama, 28 U.S. 45 (1932) ......... ............... 20 Reed v. United States, 291 F.2d 856 (4th Cir. 1961) 23 Robinson v. California, 370 U.S. 660 (1962) .............. 24, 36 Shelton v. United States, 356 U.S. 26 (1958) ............ 18 Skinner v. Oklahoma, 316 U.S. 535 (1942) .............. 66, 68 Smith v. Cahoon, 283 U.S. 552 (1931) ..................... 63 Speeht v. Patterson, 386 U.S. 605 (1967) ................. 20, 64 Spencer v. Texas, 385 U.S. 554 (1967) ..................... 36 State v. Mathis, 52 N.J. 238, 245 A. 2d 20 (1968) .... 3 State v. Stewart, 255 N.C. 571, 121 S.E. 2d 355 (1961) 59 Stein v. New York, 346 U.S. 156 (1952) ................... 20 Swenson v. Bosler, 386 U.S. 258 (1967) .............18 Tigner v. Texas, 310 U.S. 141, 148-149 (1940) .......... 66 Trop v. Dnlles, 356 U.S. 86 (1958) .....24, 27, 32, 36, 41, 46, 55 Tunstill v. State, 33 Ala. App. 460, 34 So. 2d 857 (1948) ................................................................... - 12 United States v. Jackson, 390 U.S. 570 (1968) .......... 18, 20 United States v. National Dairy Prods. Corp., 372 U.S. 29 (1963) ............................ .... . 65 Von Moltke v. Gillies, 332 U.S. 708 (1948) .................. 19 Waley v. Johnston, 316 U.S. 101 (1942) ..................... 18 V I PAGE Weems v. United States, 217 U.S. 349 (1910) .......... 36, 42 Westbrook v. Arizona, 384 U.S. 150 (1966) .............. 19 Wilkerson v. Utah, 99 U.S. 130 (1878) ..................... 41 Williams v. Georgia, 349 U.S. 375 (1955) ............... . 21 Williams v. New York, 337 U.S. 241, 248 (1949) ...... 56 Winters v. New York, 333 U.S. 507 (1948) ......... 63 Witherspoon v. Illinois, 391 U.S. 510 (1968) ..........3, 5, 8, 9, 46, 64, 66 Yick Wo v. Hopkins, 118 U.S. 356 (1886) .......... ....... 67, 72 S tate S tatutes Ala. Code, tit. 14, §415 (1959) ........ ................11,12, 37, 58 Alaska Stat.. §11.15.240 (1962) .......................■........ 59 Ariz. Rev. Stat. Ann. §13-643 (Snpp. 1967) ........... . 59 Ark. Stat. Ann. §41-3602 (1964) ............................ 59 Cal. Pen. Code §§21a, 213 (West 1955) ..................... 59 C. Z. Code Tit. 6, §2361 (1963) ..... ,1......................... 59 Colo. Rev. Stat. Ann. §40-5-1 (Snpp. 1967) .......... 59-60 Conn. Gen. Stat. Ann. §53-67 (1960) ......................... 59 Del. Code Ann. tit. 11, §811 (1953) ........................ 59 D. C. Code Ann. §22-2901 (1967) ......................... 59 Fla, Stat. §813.011 (1965) .................. ........................ 59 Vll PAGE Ga. Code Ann. §26-1901 (1968) ................................ 59 Ga. Code Ann.. §26-2502 (Supp. 1967) ............... 58-59 Hawaii Eev. Laws §§306-8-11 (1955) ..................... 59-60 Idaho Code Ann. §18-6503 (1949) ....... .................... 59 111. Ann. Stat. Ch. 38 §§18-1, 2 (Smith-Hurd 1964) .... 59, 60 Ind. Ann. Stat. §10-4101 (1956) ................................ 59-60 Iowa Code Ann. §711.2, 3 (1950) ............................ 59, 60 Kan. Gen. Stat. Ann. §§21-527, 528, 529 (1964) ............ 59, 60 Ky. Eev. Stat. §433.120 (1962) .................. ......... . 59 Ky. Eev. Stat. Ann. §§433.140, 150 (Supp. 1966) ...... 58,59 La. Eev. Stat. tit. 14 §64 (Supp. 1967) ...................... 60 La. Eev. Stat. tit. 14 §65 (1951) ............. 59 Me. Eev. Stat. Ann. tit. 17, §3401 (1964) ................. 59 Md. Ann. Code art. 27 §§486, 488 (1957) ................... 59, 60 Mass. Gen. Laws Ann. ch. 265 §19 (1959) ............. 60 Mich. Comp. Laws Ann. §750.529 (1968) ................. 59-60 Minn. Stat. Ann. §609.24 (1964) ............................... 59, 60 Miss. Code Ann. §§2364, 2367 (1957) ...................... 59 Mo. Ann. Stat. §§560.120, 135 (1953) ........................ 58,60 Mont. Eev. Code Ann. §94-4303 (1949) ............ 60 Neb. Eev. Stat. §28-414 (1943) .......................MAI., 59 Nev. Eev. Stat. §§200.363, 380 (1967) 68 Vlll PAGE Nev. Rev. Stat. §200.380 (1967) ................................ 59 N. H. Rev. Stat. Ann. §585:18 (1955) ........................ 59 N. J. Rev. Stat. §2A:141-1 (1937) ............................ 59 N. M. Gen. Stat. §§40A-16-2....................................... 59 N. M. Gen. Stat. §40A-29-3 ...................................... 60 N.Y. Pen. Law §§160.05, 15 (1967) ........ ................... 59, 60 N. Y. Pen. Law §70.00 (1967) ................................... 59, 60 N.C. Gen. Stat. §14-2 (1953) ..................................... 59 N.C. Gen. Stat. §14-87 (1953) ................................... 60 N. D. Cent. Code §§12-31-07-09 (1960) ..................... 60 Ohio Rev. Code Ann. §2901.12 (Page 1954) .............. 59 Okla. Stat. Ann. tit. 21, §§797, 799 (1958) ................. 59 Okla. Stat. Ann. tit. 21, §801 (1958) ......................... 58 Ore. Rev. Stat. §163.280 (1967) ................................ 60 Ore. Rev. Stat. §163.290 (1967) ................................ 59 Pa. Stat. Ann. tit. 18, §4704 (1963) .......................... 59 Pa. Stat. Ann. tit. 18, §4705 (1963) ........................ 60 P.R. Laws Ann. tit. 33, §§851, 853 (1956) ................. 59 R. I. Gen. Laws Ann. §11-39-1 (1956) ........................ 60 S. C. Code Ann. §§16-11 (1962)................................... 59 S. C. Code Ann. §16-333 (Supp. 1967) ....................... 60 S. C. Code Ann. §17-552 (1962) ................................. 59 ix PAGE S. D. Code §§13.2601-03 (1939)................................... 59 Tenn. Code Aim. 39-3901 (Supp. 1968) ..................... 58, 59 Tex. Pen. Code art. 1408 (1948) ................................ 58, 60 Utah Code Ann. §§76-51-1-2 (1953) ........................ 60 Ya. Code Ann. §18.1-90 (1960) .................................... 58 Ya. Code Ann. §18.1-91 (1960) ................................... 58, 59 Yt. Stat. Ann. tit. 13, §603 (1958) ............................ 59, 60 Wash. Eev. Code Ann. §9.75.010 (1961) ................... 60 W. Ya. Code Ann. §61-2-12 (1966) ............................ 59, 60 Wis. Stat. Ann. §943.32 (1958) ................................. 59, 60 Wyo. Stat. Ann. §6-65 (1959) ................................... 59 Wyo. Stat. Ann. §6-66 (1959) ................................... 60 F ederal S tatutes 28 U.S.C. §1257(3) (1964) ................................... ..... 10 28 U.S.C. §2255 (1964) .........................................-.... 23 42 U.S.C. §1981 (1964) ............................................ 7 Eev. Stat. §1977 (1875) ............................................ 7 Other A uthorities American Law Institute, Model Penal Code, §210.6 (P.O.D. May 4, 1962) .............................................. 66 X PAGE American Law Institute, Model Penal Code, Tent. Draft No. 9 (May 8, 1959), Comment to §201.6..... 4 Ancel, The Problem of the Death Penalty, in Sellin, Capital Punishment (1967) ................................... 57 Barnes & Teeters, New Horizons in Criminology (3d ed. 1959) .......................................................... 31 Bedau, The Courts, The Constitution and Capital Punishment, 1968 Utah L. Bev. 201 (1968) .......... 57 Bedau, The Death Penalty in America (1964) ....8, 25, 27,45, 47, 48, 49, 52, 57, 58, 59, 60 Bedau, Death Sentences in New Jersey 1907-1960, 19 Rutgers L. Bev. 1 (1964) ........................ 7, 41, 52, 57 Bedau, The Issue of Capital Punishment, 53 Current History (No. 312) 82 (Aug. 1967) ..................... 25 Bedau, A Social Philosopher Looks at the Death Penalty, 123 Am. J. Psychiatry 1361 (1967) .......... 52, 57 Bok, Star Wormwood (1959) ......... ..................... . 30 Bye, Capital Punishment in the United States (1919) 25, 31 Calvert, Capital Punishment in the Twentieth Cen tury (3rd ed. 1928) .................................................. 57 Camus, Reflections on the Guillotine, in Resistance, Rebellion and Death (1961) ..........26, 29, 31, 32, 33, 34, 35 Canada, J oint Committee oe the S enate and H ouse op Commons on Capital P u nishm ent , B epoet (1956) 57 XI PAGE Capital Punishment: Material Relating to Its Pur pose and Value (compiled by Hon. Guy Favreau, Canadian Minister of Justice) (Queen’s Printer, Ottawa, 1965) ........................................................... 35 Chessman, Trial by Ordeal (1955) ...... 30 108 Cong. Rec. 3300-3305, 87th Cong., 2d Sess. (March 1, 1962) ..................................................... 60 Darrow, A Comment on Capital Punishment, in Laurence, a History of Capital Punishment (1960) 35 Dawtry, The Abolition of the Death Penalty in Britain, 6 Brit. J. Crim. 183 (1966) ..................... 25 DiSalle, Comments on Capital Punishment and Cle mency, 25 Ohio St. L.J. 71 (1964) ........................ 7 DiSalle, The Power of Life and Death (1965) .......... 30 Dostoyevsky, The Idiot (Modern Library, 1935) .... 34 Duffy & Hirshberg, 88 Men and 2 Women (1962) .... 29, 50, 51, 57 Eshelman, Death Row Chaplain (1962) ..................... 30 Filler, Movements to Abolish the Death Penalty in the United States, 284 Annals 124 (1952) .............. 32 Garfinkel, Research Note on Inter- and Intra-Racial Homicides, 26 Social Forces 369 (1949) .............. 52 Gerald H. Gottlieb On Capital Punishment (Center for the Study of Democratic Institutions, 1967, 6, reprinted in 72 Case & Comment (No. 4) (July- Aug. 1967) .............................................................. 33 Xll PAGE Hartung, Trends in the Use of Capital Punishment, 284 Annals 8 (1952) ...........................................41,49,52 Johnson, Selective Factors in Capital Punishment, 36 Social Forces 165 (1957) .............................. 7,52 Johnson, The Negro and Crime, 271 Annals 93 (1941) ..................................................................... 52 Knowlton, Problems of Jury Discretion in Capital Cases, 101 IT. Pa. L. Rev. 1099 (1953) .............. 49 Koestler, Reflections on Hanging (Amer. ed. 1957) 27,46, 57 Koestler & Rolph, Hanged by the Neck (1961) ..28,45, 56, 60 Lawes, Life and Death in Sing Sing (1928) .............. 30 Lawes, Twenty Thousand Years in Sing Sing (1932) ....................................................................7,48,50 Lewis, The Sit-In Cases: Great Expectations, 1963 Supreme Court Review 101 ................................... 62 Mattick, The Unexamined Death (1966) ...... 41, 51, 57, 60 McGlehee & Hildebrand, eds., The Death Penalty (1964) ..................................................................... 30 Movements to Abolish the Death Penalty in the United States, 284 Annals 124 (1952) ................. 25 New Jersey Commission to Study Capital Punish ment, Report (1964) ......... 57 New York Law Journal, Nov. 27, 1968 ..................... 33 N ew Y ork S tate, T emporary Commission on R evi sion op the P enal L aw and Criminal Code, S pe cial R eport on Capital P unishm ent (1965) ........ 57 xm PAGE Note, 109 U. Pa. L. Rev. 67 (1960) ............................ 62 Packer, Malting the Punishment Fit the Crime, 77 Harv. L. Rev. 1071 (1964) ................................... 25,67 Patrick, The Status of Capital Punishment: A World Perspective, 56 J. Crim. L., Crim. & Pol. Sci. 397 (1965) ....................................................... .............. 42, 60 Pennsylvania, Joint Legislative Committee on Capi tal Punishment, Report (1961) .............................. 52,57 Phillipson, Three Criminal Law Reformers (1923).... 25 President’s Commission on Law Enforcement and Administration of Justice, Report (The Challenge of Crime in a Free Society) (1967) ..............42, 43, 52, 58 Radzinowicz, A History of English Criminal Law and Its Administration from 1750 (1948) .......... 25, 57 Royal Commission on Capital Punishment 1949-1953, Report (H.M.S.O. 1953) [Cmd. 8932] ...... 29,56,57,58 Scott, The History of Capital Punishment (1950) .... 25 Sellin, Capital Punishment (1967) .....................57, 58, 60 Sellin, The Death Penalty (1959), published as an appendix to American Law Institute, Model Penal Code, Tent. Draft No. 9 (May 8, 1959) 15 ............................. ...........................................26,41,57 Sellin, The Inevitable End of Capital Punishment, in Sellin, Capital Punishment (1967) ........................ 41, 58 Statement by Attorney General Ramsey Clark, be fore the Subcommittee on Criminal Laws and Procedures of the Senate Judiciary Committee, XIV PAGE on S. 1760, To Abolish the Death Penalty, July 2, 1968, Department of Justice Release................. 26, 50, 57 Tuttle, The Crusade Against Capital Punishment in Great Britain (1961) .......................................... 25, 31 United Nations, Department of Economic and Social Affairs, Capital Punishment (ST/SOA/SD/9-10) (1968) ........................................... 27,41,42,49,52,58,61 United States Department of Justice, Bureau of Prisons, National Prisoner Statistics, No. 42, Ex ecutions 1930-1967 ................................... 43, 44, 51, 52, 54 United States Department of Justice, Federal Bureau of Investigation, Uniform Crime Reports (Crime in the United States), 1967 (released August 27, 1968) ....................................................................... 40 United States Senate, Sub-Committee on Criminal Laws and Procedures of the Committee on the Judiciary, Hearings on S. 1760, to Abolish the Death Penalty (Unprinted Report of Proceedings, March 20, 1968) ................................. 3q West, Louis J., M.D., “A Psychiatrist Looks at the Death Penalty,” Paper presented at the 122nd Annual Meeting of the American Psychiatric As sociation, Atlantic City, New Jersey, May 11, 1966 .... ~ -....... .. .................... .........,...........,....27, 30, 50 Wolfgang, Kelly & Nolde, Comparison of the Ex ecuted and the Commuted Among Admissions to Death Row, 53 J. Grim. L., Crim. & Pol. Sci. 301 (1962) ..................................................... ....8, 52, 53 I n the Ihtpron* Olmtrt rtf tbr Ittttrfr States October Term, 1968 No. 642 E dward B oykin, J r., Petitioner, State of A labama, Respondent. ON W RIT OE CERTIORARI TO T H E SU PREM E COURT OE ALABAMA BRIEF FOR THE N.A.A.C.P. LEGAL DEFENSE AND EDUCATIONAL FUND, INC., AND THE NATIONAL OFFICE FOR THE RIGHTS OF THE INDIGENT, AS AMICI CURIAE Interest of the Amici Curiae The N.A.A.C.P. Legal Defense and Educational Fund, Ine., is a non-profit corporation, incorporated under the laws of the State of New York in 1939. I t was formed to assist Negroes to secure their constitutional rights by the prosecution of lawsuits. Under its charter, one of its pur poses is to provide free legal assistance to Negroes suffer ing injustice by reason of race who are unable, on account of poverty, to employ legal counsel.1 For many years, the 1 The Fund’s charter was approved by a New York court, au thorizing the organization to serve as a legal aid society. It is en tirely independent of other organizations, and is supported by contributions from the public. 2 Fund’s attorneys have represented in this Court and the lower courts persons charged with capital crimes, partic ularly Negroes charged with capital crimes in the Southern States. A central purpose of the Fund is the legal eradication of practices in our society that bear with discriminatory harshness upon Negroes and upon the poor, deprived, and friendless, who too often are Negroes. To further this purpose, the Fund in 1965 established a separate corpora tion, the National Office for the Rights of the Indigent (NORI), having among its objectives the provision of legal representation to the poor in individual cases and the advocacy before appellate courts of changes in legal doctrine which unjustly affect the poor.2 The long experience of Fund attorneys in the handling of death cases has led us to the view—confirmed by the studies of scholars8 and more recently by empirical re search undertaken under the Fund’s auspices4—that capital punishment is administered in the United States in a fashion that consistently makes racial minorities, the de prived and downtrodden, the peculiar objects of capital charges, capital convictions, and sentences of death. Our experience has convinced us that this and other grave injustices are referable in part to fundamental char acteristics of the death penalty as an institution in modern American society,6 and in part to common practices in its 2 NORI’s income has been initially provided by a grant from the Ford Foundation. 3 See note 50 infra. 4 See pp. 52-53 infra. 6 See pp. 41-61 infra, 3 administration which depart alike from the standards of an enlightened criminal justice6 and from the minimum 6 In virtually every State today, the death penalty is admin istered by a set of procedures which, to say the least, are strikingly unfair to the accused and likely to produce extreme arbitrariness in the selection of the men to be killed. We summarize those procedures: (1) On voir dire examination, persons having conscientious scruples against the imposition of capital punishment are excused for cause from the trial jury. Of course, this Court’s decision in Witherspoon v. Illinois, 391 U.S. 510 (1968), disallowed one com mon form of “death-qualifying” capital juries. But Witherspoon has been given a very narrow reading by the state courts in its application to pre-Witherspoon trials, e.g., State v. Mathis, 52 N.J. 238, 245 A.2d 20 (1968); Pittman v. State, Tex Crim. App., No. 41,393, decided July 24,1968; and death-qualification proceedings in forms not explicitly outlawed by the square Witherspoon holding have been practiced in virtually all of the state courts of which we are aware in trials held since Witherspoon. The immediate effects of this practice are several. First, it indirectly achieves what the States are forbidden directly to achieve: the systematic limitation of racial and other minority groups and of women—populations disproportionately characterized by death scruples. Second, it de livers over the administration of justice in trials for the most serious crimes known to our society, bearing the most serious penal exaction that human society can levy against a defendant, to an unrepresentative sub-group of the community, comprising its most punitive, atavistic and uncompassioned members. Third, in the process of voir dire questioning by which the jury is death-quali fied, it reinforces the very attitudes of punitiveness and uncompas sion by which the jurors allowed to serve are natively characterized, driving home the message that any principled, ideologically-derived determination against the death sentence for the offense on trial is forbidden to the jury, and, indeed, that the attitudes of mercy and compassion which may undergird such a determination are legally disfavored and morally unfit. (2) The capital case is then tried to the jury so selected, which determines both the question of guilt and that of punishment. Ordinarily, these two determinations are made simultaneously—by the traditional “single-verdict” procedure, as distinguished from the two-staged, “split-verdict” procedure used in a handful of jurisdictions. Under this single-verdict procedure, the jury hears 4 requirements of fairness and even-handedness fixed by the Constitution of the United States for proceedings by which all the evidence bearing on guilt or on punishment before retiring to decide the guilt question, then returns with a single verdict which adjudges guilt or innocence and fixes the punishment for guilt at death or something less. There is no separate hearing on the question of sentencing, and no opportunity—other than the guilt trial—-to present to the jury evidence of the defendant’s char acter and background, pertinent to the death-life choice. At the guilt trial, the prosecution is usually forbidden to open up, in its case in chief, matters relating to the defendant’s character and background. The defendant may open up the character question, subject to rebuttal by prosecution evidence of bad character, damningly prejudicial on the guilt determination. And, of course, the defendant may make a personal appeal for mercy—may per sonally address those persons who hold his life in their hands—- only by taking the stand generally, thereby waiving the Privilege against Self-Incrimination. This is a practice that, as the Reporters of the Model Penal Code have noted, forces the capital defendant to a “choice between a method which threatens the fairness of the trial of guilt or innocence and one which detracts from the ra tionality of the determination of sentence.” Amebican Law In stitute, Model Penal Code, Tent. Draft No. 9 (May 8, 1959), Comment to §201,6, at p. 74. Specifically, the defendant is whip- sawed between his Constitutional Privilege and his right to present evidence that is requisite to rational sentencing choice. A defendant who believes that he has any chance of acquittal of a capital charge will often choose to avoid prejudicing that chance by expansion of the trial record into background and character matters that make him appear guilty—he will, in short, exercise the Privilege. Under single-verdict procedure, the result frequently is that capital sen tencing is done by a jury that knows next to nothing about the person of the defendant, and has not even heard him speak in favor of his life. (3) But the jury is not merely deprived of factual information essential to a reasoned sentencing decision. It is also deprived of any sort of legal standards or guidelines for making the decision. Under ubiquitous American capital trial procedure, the decision between the death penalty and lesser alternatives to it is required to be made by the jury in its unguided, unfettered and unre view- able disci etion —according to whatever whims or urges may move it. This most momentous of human decisions is unlike any other made by-a jury in a purportedly legal proceeding: it,js not made pursuant to rules of law or within the limitations of any sort of regular, uniform or generalized doctrines or principles. Rather it 5 human life may he taken. Finally, we have come to appre ciate that in the uniquely stressful processes of capital trials and direct appeals, ordinarily handled by counsel appointed for indigent defendants, many pressures and conflicts may impede the presentation of effective attacks on these unfair and unconstitutional7 practices; and that is avowedly ad hoc, ex post facto and—because it neither does nor need respond to any rational conception of punishment or sanc tioning—wholly arbitrary. Little wonder that, in the actual admin istration of capital sentencing, jurors have been shown to use this lawless discretion lawlessly, and to discriminate racially, for ex ample, in sentencing men to death. See pp. 51-53 infra. (4) The jury’s sentencing decision is not ordinarily judicially revisable. It is, of course, subject to correction by the exercise of executive clemency; but this sort of gubernatorial dispensation is administered still more irregularly than the jury’s decision itself. Procedures for the clemency determination are unformulated; standards to guide it are non-existent; and, by this stage, the con demned man is usually indigent, unrepresented and legally help less. See note 8 infra. Political and other considerations neverthe less do bring about a substantial number of commutations; and, at the conclusion of the process of a Nation’s administration of capital justice for any year, only a few random, arbitrarily selected men are put to death. Their executions are as futile and purposeless as they are unusual and arbitrary. For there is simply no evidence that capital punishment serves any legitimate end or purpose of the criminal law—deterrence, incapacitation, reformation—which lesser exactions do not; and the very strong weight of expert opin ion vigorously denies that it does. See n. 53 infra. Whatever penal efficacy the death penalty might have if regularly, uniformly and fairly administered in all cases where it was allowed by law is nullified by its actual rare and haphazard application, see pp. 41-61 infra, with the result that the penalty is left altogether with out redeeming social value. 7 The specific constitutional claims to which the procedures de scribed in footnote 6, supra, give rise may be briefly characterized as follows: (1) The systematic exclusion of death-scrupled jurors under practices not condemned outright by Witherspoon v. Illinois, 391 U.S. 510 (1968), nevertheless offends the Constitution because (i) it deprives capital defendants of a trial by a jury that is a cross- section of the Community, in violation of the Sixth Amendment and the Due Process and Equal Protection Clauses of the Four- 6 in the post-appeal period, such attacks are grievously handicapped by the ubiquitous circumstances that the in teen th ; and (ii) it results in a biased and prosecution-prone jury, unable to accord the defendant a fair trial on the issue of guilt, in violation of the Due Process Clause. See Petition for Certiorari, m Forcella and Funicello v. New Jersey, O.T. 1968, No 947 Misc pp. 69-74, 80-85. (2) The practice which commits the sentencing decision in capital cases to the undirected, unlimited and unreviewable discretion of the jury violates the rule of law basic to the Due Process Clause. See Petition for Certiorari, Johnson v. Virginia, O.T. 1968, No. 307 Misc., pp. 12-16; Petition for Certiorari, McCants v. Alabama, O.T. 1968, No. 937, Misc., pp. 15-20; Petition for Certiorari, Max well v. Bishop, O.T. 1968, No. 622, pp. 58-65. See also Part III, infra, of this brief. (3) The single-verdict procedure whereby a trial jury in a capital case simultaneously hears evidence pertinent to guilt and to sentencing, and returns a single verdict speaking to both issues, is constitutionally deficient because (i) it compels the defendant to a choice between his _constitutional right of allocution (and to present evidence requisite to rational sentencing choice) and his Privilege against Self-Incrimination, and (ii) it results in an unfair trial on either the guilt issue, or the sentencing issue, or both. See Petition for Certiorari, Johnson v. Virginia, supra, pp. 17-23; Petition for Certiorari, Maxwell v. Bishop, supra, pp. 65-74; Peti tion for Certiorari, Mathis v. New Jersey, O.T. 1968, No 683 Misc pp. 45-55. ’ . W Capital punishment is a cruel and unusual punishment within the condemnation of the Eighth Amendment as incorporated into the Fourteenth, because (i) it involves brutal and unneces sary physical and psychological cruelty; (ii) is abhorrent to civilized standards of decency; and (iii) is justified by no rational purpose of society, at least where it is administered (iv) as a rare and unusual penalty, (v) invoked in the unconfined, uninformed and arbitrary discretion of the sentencer, and (vi) under proce dures which fail to assure considered and rational judgment by the sentencer of circumstances in mitigation and the absence of circumstances in aggravation that would render imposition of the death sentence cruel and unusual on the facts of particular cases. These issues, in contention in several litigations in the lower courts, are of course broader than those discussed in Part II, infra, of this brief. (5) In many States, it can be empirically demonstrated that sen tencing juries have utilized the unfettered discretion given them in capital sentencing by discriminating racially in the imposition of 7 mates of the death rows of this Nation are as a class im pecunious, mentally deficient, unrepresented and therefore legally helpless in the face of death.8 Common state prac- death sentences. In these States, where there can be shown a long- continued pattern and practice of applying the sentence of death with extreme disproportionate frequency against Negro defendants convicted of offenses (particularly rape) against white complainants or victims, such Negro defendants are denied the equal protection of the laws guaranteed by Rev. Stat. §1977 (1875), 42 TJ.S.C. §1981 (1964), and by the Fourteenth Amendment. See Petition for Certiorari, Maxwell v. Bishop, supra, pp. 9-33, 35-58. 8 Recently, in connection with the case of Adderly v. Wainwnght, M.D. Fla., No. 67-298-Civ-J, described infra, Fund lawyers were authorized by federal court order to interview all of the condemned men on death row in Florida. The findings of these court-ordered interviews, subsequently reported by counsel to the court, indicated that of 34 men interviewed whose direct appeals had been con cluded, 17 were without legal representation (except for purposes of the Adderly suit itself, a class action having as one of its pur poses to declare their constitutional right to the appointment of counsel) ; 11 others were represented by volunteer lawyers asso ciated with the Fund or the ACLU; and in the case of two more, the status of legal representation was unascertainable. All 34 men (and all other men interviewed on the row) were indigent; the mean intelligence level for the death row population (even as measured by a nonverbal test which substantially overrated mental ability in matters requiring literacy, such as the institution and maintenance of legal proceedings) was below normal; unrepre sented men were more mentally retarded than the few who were represented; most of the condemned men were, by occupation, un skilled, farm or industrial laborers; and the mean number of years of schooling for the group was a little over eight years (which does not necessarily indicate eight grades completed). These findings parallel both those of scholars who have undertaken to describe the characteristics of the men on death row, e.g., Bedau, Death Sen tences in New Jersey 1907-1960, 19 Rutgers L. Rev. 1 (1964); Johnson, Selective Factors in Capital Punishment, 36 Social F orces 165 (1957), and of officials experienced in dealing with death-row inmates, e.g., DiSalle, Comments on Capital Punishment and Clemency, 25 Ohio St. L.J. 71, 72 (1964) : “I want to emphasize that from my own personal experience those who were sentenced to death and appeared before me for clemency were mostly people who were without funds for a full and adequate defense, friendless, uneducated, and with mentalities that bordered on being defective.” Accord: Lawes, Twenty Thousand Years in Sing Sing (1932) 8 tice makes no provision for the furnishing of legal counsel to these men.9 For these reasons, amici Legal Defense Fund and NORI have undertaken a major campaign of litigation challenging the death penalty as a cruel and unusual punishment, and assailing on federal constitutional grounds several of the most vicious common practices in its administration.10 302, 307-310. And even within this deprived group, racial minor ities are the objects of especial deprivation. It has been found, for example, that Negroes are significantly less able than whites to procure the stays necessary for pursuit of legal remedies (as measured by median time between sentence of death and execu tion), McCafferty, The Death Sentence, 1960, in Bedatj, The Death Penalty in America (1964) [hereafter cited as Bedatj], 90, 95-96, one factor that doubtless contributes to the significantly greater success of whites than Negroes in having death sentences commuted, e.g., Wolfgang, Kelly & Nolde, Comparison of the Ex ecuted and the Commuted Among Admissions to Death Bow, 53 J. Crim. L., Crim. & P ol. Sci. 301 (1962). 9 Just last month, in a litigation presented by Fund attorneys claiming the right of indigent condemned men to assistance of counsel during the post-appeal period, the Supreme Court of Cali fornia “determined that the appointment of counsel to represent indigent defendants in capital cases in all proceedings between the termination of their state appeals and their execution, such as petitions for certiorari, habeas corpus petitions to state and federal courts, applications for executive clemency and the conduct of sanity hearings where indicated, will best serve the cause of justice, the interests of the defendants and this court. Counsel will be appointed routinely in the future in all such cases as a matter of policy.” In re Anderson and Saterfield, Cal. S.C., Crim. Nos. 11572, 11573, decided November 18, 1968, p. 24b, infra. In New Jer sey, the State Public Defender has announced his obligation to pro vide similar representation for all indigent condemned men in that State. See the Petition for Certiorari, in Forcella and Funicello v. New Jersey, O.T. 1968, No. 947 Misc., p. 5, n. 1. We know of no other State in which adequate provision is made for the post-con viction representation of indigent condemned men. 10 See the Brief Amicus Curiae of the N.A.A.C.P. Legal Defense and Educational Fund, Inc., and the National Office for the Rights of the Indigent, in Witherspoon v. Illinois, O.T. 1967, No. 1015 and Bumper v. North Carolina, O.T. 1967, No. 1016, pp. 12-14 n. 30. 9 Fund and NOBI attorneys, with the cooperation of other lawyers, instituted class actions on behalf of the approxi mately 60 condemned men on death row in Florida (Ael derly v. Wainwright, M.D. Fla., No. 67-298-Civ-J) and the more than 80 condemned men on death row in Cali fornia (Hill v. Nelson, N.D. Cal., No. 47318; In re Ander son and Saterfield, Cal. S.C., Crim. Nos. 11572, 11573), which have resulted in interlocutory class stays of execu tion for all men under sentences of death in both States.11 In addition to the 140 inmates represented in these class actions, our attorneys have major responsibility for han dling almost half a hundred pending cases of men sen tenced to death in ten other States, and are cooperating with, or providing services to, attorneys handling half a hundred more across the country. Counsel for amici have pending on petitions for certiorari in this Court, inter alia, the following death cases: Maxwell v. Bishop, O.T. 1968, No. 622; Johnson v. Virginia, O.T. 1968, No. 307 Misc.; Mathis v. New Jersey, O.T. 1968, No. 683 Misc.; McCants v. Ala bama, O.T. 1968, No. 937 Misc.; Forcella and Funicello v. New Jersey, O.T. 1968, No. 947 Misc. In each of these cases, at least one issue involved in the present Boykin case is presented. The issues raised in Boykin are of literally vital signif icance to the more than 400 men on death row in the 11 On November 18, 1968, the California Supreme Court delivered its opinions in the Anderson and Saterfield cases, rejecting by a 4-3 vote all federal constitutional attacks on the death penalty in California. The court vacated Anderson’s and Saterfield’s death sentences for constitutional error in the selection of their trial juries under Witherspoon v. Illinois, 391 U.S. 510 (1968), however; and its previously issued stay of execution for all condemned men in the State remains in effect at this date. See Appendix B infra. The numbers of condemned men in California and Florida are given as of this time, not as of the time of initiation of the respec tive lawsuits. 10 United States, an increasing number of whom (now amount ing to over half their total number) we directly or indi rectly represent. The lives of each of these men may well turn on what the Court decides and says—or does not decide or does not say—in the present case. For this reason, we respectfully present on their behalf our views upon the case before the Court. The parties have con sented to the filing of this amicus curiae brief, and copies of their letters of consent will be submitted to the Clerk with the brief. Opinions Below The several opinions of the Justices of the Supreme Court of Alabama affirming by a divided court Edward Boykin’s conviction and sentence of death are reported at 281 Ala. 659, 207 So.2d 412. They are found in the Appendix [hereafter cited App.......] at 36-41. Jurisdiction The judgment of the Supreme Court of Alabama was en tered on February 8, 1968, App. 42. Rehearing was denied by order of March 7, 1968, App. 43. The petition for certio rari was filed on June 4, 1968, and was granted by order of October 14, 1968, App. 46. Jurisdiction of this Court rests on 28 U.S.C. §1257(3) (1964). 11 Questions Presented12 1. Whether the Supreme Court of Alabama erred in af firming Boykin’s capital conviction and sentence of death upon a guilty plea, where the record does not reflect that the trial court made appropriate inquiry to assure that the plea was voluntary and understanding as required by the Fifth and Fourteenth Amendments? 2. Whether Boykin’s sentence of death for the crime of simple robbery, upon this record, violates the prohibition against cruel and unusual punishments contained in the Eighth and Fourteenth Amendments? 3. Whether Alabama’s practice of permitting the trial jury absolute discretion, uncontrolled by standards or di rections of any kind, to choose between the punishments of death or imprisonment for the crime of robbery violates the rule of law fundamental to the Due Process Clause of the Fourteenth Amendment? Constitutional and Statutory Provisions Involved The case involves the Fifth, Eighth and Fourteenth Amendments to the Constitution of the United States, It also involves Code oe A labama, tit. 14, §415 (1959), which is as follows: “Any person who is convicted of robbery shall be punished, at the discretion of the jury, by death, or by imprisonment in the penitentiary for not less than ten years.” 12 At pp. 69-73 infra, we note several other issues that may ap pear to lurk in the ease but are not, in our judgment, presented by it. 12 Statement Edward Boykin, Jr., was charged in five separate indict ments, filed in the Circuit Court of Mobile County, Ala bama, with the crime of robbery. App. 1, 36. Under Ala. Code, tit. 14, §145 (1959), set out at p. 11, supra, simple robbery is punishable by death or by imprisonment for not less than ten years, in the discretion of the jury. Section 415 fixes the penalty for the crime of robbery but does not define it; the elements of simple robbery are defined in Alabama by the common law.13 Pursuant to the common- law definition, each indictment charged Boykin with felo niously taking a sum of money from the person of a named complainant against the complainant’s will, by violence to the complainant’s person or by putting the complainant in such fear as unwillingly to part with the money. App. 1. July 11, 1966, Boykin was interrogated by the court and found to be unrepresented and indigent. He said he did not want counsel, but the court deemed counsel necessary and appointed a lawyer. App. 2-3. July 14, Boykin ap peared with appointed counsel for arraignment on the five robbery charges, pled guilty to each, and was remanded for sentencing. The minute entry for this date consists of eleven lines reciting his appearance, the presence of his lawyer, and his plea. App. 4. Unlike the minute entry of July 11, it does not reflect that Boykin was addressed or questioned by the court, or that he said a word. September 30, 1966, Boykin’s five robbery charges were presented to a jury for trial and sentencing on his guilty pleas. App. 4-5. The prosecution presented seven witnesses who testified concerning the events of five robberies com- 13 See Morris v. State, 97 Ala. 82, 12 So. 276 (1893); Eiggs v. State, 113 Ala. 36, 21 So. 353 (1897); Tunstill v. State, 33 Ala App. 460, 34 So.2d 857 (1948). 13 mitted in Mobile between April 23 and May 8, 1966. Each identified Boykin as the robber. In each of the five rob beries, Boykin was apparently armed with a gnn. Three times he had an accomplice; twice he did not. Three times he did not fire his gun; once he fired a warning shot that hit no one; once he fired a shot that ricoehetted and hit a girl in the leg. The sole witness to this last episode testi fied that she did not think Boykin intended to shoot the girl. App. 20, 21. The amounts taken in the robberies ranged from $140 to $373.14 In general, the prosecution witnesses gave terse eyewit ness descriptions of the several robberies. Cross examina tion was minimal. The defendant did not testify and pre sented no witnesses. No evidence was proffered or received relating to the defendant’s character or background. In short, the jury knew’ nothing about Edward Boykin except his conduct during five robbery episodes, each lasting a few minutes, occurring within a period of about two weeks. The court’s entire charge was as follows: 14 The five robberies were as follows: On April 23, the Dairy Castle was robbed. Witnesses were Mr. Smith (App. 22) and Mr. Hersh (App. 24). About $209 was taken. The robber was alone. He had a gun, did not fire it. On May 3, a service station was robbed. Witness was Mr. Pugh (App. 29). About $158 was taken. The robber had an accomplice. He had a gun, did not fire it. On May 5, a general store was robbed. Witness was Mr. Camp bell (App. 25). About $140 was taken. The robber had an ac complice. He had a gun, did not fire it. On May 6, a drug store was robbed. Witness was Mrs. Fawcett (App. 16). About $363 was taken. The robber had an accomplice. He had a gun, fired a shot which ricoehetted from the floor and hit a girl in the leg. Mrs. Fawcett thought the shot was fired to frighten, without intention to hit the girl. On May 8, Pak-a-Sak was robbed. Witnesses were Mr. Loper (App. 11) and Mr. Weaver (App. 13). About $262 was taken. The robber was alone. He had a gun, fired a warning shot in leaving. The shot struck the ceiling, fell back hitting no one. 14 “ T h e C o u r t : Some of you gentlemen were on the jury yesterday, but I ’ve got to briefly restate the law as to what robbery is. This defendant has plead guilty to robbery in five separate and independent cases. Now robbery, once again gentlemen, is the felonious taking of money or goods of value from another against his will and without his permission by violence or by put ting him in fear. That boils it down in a nut shell just what robbery is. Now, it carries from ten years min imum in the penitentiary to the supreme penalty of death by electrocution. I ’ll have the forms for you in just about one minute. One form has been written up here. If you decide not to give death by electrocution, of course, the form on the indictment you can use that. On the other hand, gentlemen, there will be a form— I’ll send it to you in the jury room—where if the jury finds the defendant guilty of the offense of robbery as charged in the indictment and fixes the penalty at death by electrocution. You will have that form. You can use either one form or the other when you arrive at your verdict.” (App. 32.) When it arrived at its verdict, the jury used the death forms. It thereby found Edward Boykin guilty of five robberies and sentenced him severally to die for each. App. 32-33. Judgment of five death sentences was en tered. App. 4-5, 33.15 On appeal, the Supreme Court of Alabama affirmed the death sentences. An opinion having the concurrence of 16 This judgment of September 20 was technically defective, in that the judge “inadvertently” failed to fix the execution date as required by law. App. 34. Accordingly, the sentence was set aside the same day, App. 5-6, and Boykin was resentenced on Septem ber 21, App. 6-8, 34-35. The proceedings on this latter date were formal and added nothing of substance to what had gone before. 15 four Justices rejected Boykin’s claim that he had been subjected to cruel and unusual punishment forbidden by the federal Constitution. App. 36, 37-39. The opinion made mention of none of the other federal claims urged in Boykin’s behalf. Three Justices dissented and voted to reverse the five judgments of death because the record did not show that Boykin’s plea of guilty to five capital charges had been made knowingly and understandingly, App. 40-41. A fourth Justice, whose concurrence was neces sary to the affirmance, addressed this issue in a separate opinion which expressly denied that “when a defendant pleads guilty in a capital case the record must affirmatively show that the trial judge did not accept the guilty plea until after determining that the plea was voluntarily and knowingly entered and that the defendant fully realized and was competent to know the consequences of such a plea.” App. 39-40. The plurality opinion for affirmance did not discuss this point. 16 ARGUMENT I. The Supreme Court of Alabama Erred in Affirming Boykin’s Convictions of Five Capital Offenses and Five Death Sentences Upon a Guilty Plea, Where the Record Does Not Show That the Trial Court Made Constitu tionally Requisite Inquiry to Assure That the Plea Was Voluntary and Understanding. The issues of widest importance in this case, and those in which amici are principally interested, are the questions whether Edward Boykin’s sentence of death for simple rob bery violates the Eighth and Fourteenth Amendment pro hibition against cruel and unusual punishments (discussed in Part II, infra, of this brief), and whether its imposition in the unfettered discretion of a jury, which was empowered by Alabama law to choose between the penalties of death and imprisonment arbitrarily, capriciously, for any reason, or for no reason, violates the rule of law basic to the Due Process Clause (discussed in Part III, infra). We must note at the outset, however, that in our view the judgment of conviction and sentence below cannot be sustained on this record consistently with the Constitution, and that reversal is required for a reason quite independent of the two im portant issues presented relating to the validity of the death penalty. That reason may be briefly stated: the rec ord below does not show compliance with requirements of the Fifth and Fourteenth Amendments in the taking of Boykin’s guilty plea. Three days after the first appointment of counsel, this indigent defendant was arraigned on five separate capital charges and pleaded guilty to all of them. These circum stances alone are cause for the gravest concern. In the 17 absence of some deal or understanding that excludes the death penalty, it is simply inconceivable that—on three days total time to investigate five distinct robbery charges— a plea could be entered which exposes the defendant to electrocution. One cannot say, and cannot imagine, what could have been in the mind of Boykin or his appointed law yer. The record contains not one word concerning the cir cumstances of the plea, except that Boykin was in court and also “Thereupon in open court on this day, Defendant’s Attorney, Evan Austill, was in court.” App. 4. No inquiry was put on the record as to whether the plea was entered understandingly or ignorantly, freely or under inducement. The inference is strong that no such inquiry was made, for the minute entry reciting Boykin’s plea reflects no interro gation of the defendant by the court, while a similar minute entry on the occasion of Boykin’s earlier appearance for appointment of counsel relates in detail questions put by the court and answers by Boykin. App. 2-3, 4. On the date of his plea, there is no indication that the court addressed Boykin, or that he himself said anything. For aught that appears, the judicial confessions by which his life became forfeit were made on his behalf without his personal par ticipation. Cf. Brookhart v. Janis, 384 U.S. 1 (1966). As this Court said in another connection: “To permit human lives to be. forfeited upon confessions thus obtained would make of the constitutional requirement of due process a meaningless symbol.” Chambers v. Florida, 309 IJ.S. 227, 240 (1940). We submit that the Constitution will brook no such sum mary procedure for the taking of a guilty plea in a capital case. Boykin’s plea constituted, of course, a waiver of his rights to contest guilt and to insist that, the prosecution prove him guilty at a trial. These are federal rights, secured by both the Fifth Amendment Privilege against Self-In crimination and the Fourteenth Amendment guarantee of 18 due process. See United States v. Jackson, 390 U.S. 570 (1968); Pennsylvania ex rel. Herman v. Claudy, 350 U.S. 116 (1956); Cole v. Arkansas, 333 U.S. 196, 201 (1948). The question of their effective waiver is therefore governed by federal standards. E.g., Douglas v. Alabama, 380 U.S. 415 (1965); O’Connor v. Ohio, 385 U.S. 92 (1966). Those stand ards are designed to give adequate and practical protection to the underlying federal right—protection which requires, in the case of the guilty plea, assurance that the plea is un derstanding and voluntary. E.g., Waley v. Johnston, 316 U.S. 101 (1942); Machibroda v. United States, 368 U.S. 487 (1962); and see Shelton v. United States, 356 U.S. 26 (1958) (mem). Miranda v. Arizona, 384 U.S. 436 (1966), exemplifies the procedural protections with which this Court has sur rounded the Privilege and which govern its waiver. Sig nificantly, Miranda holds that a prosecutor cannot intro- due an accused’s station-house confession until the prose cution has affirmatively spread on the record all of the prerequisites for a valid waiver of the Privilege. This holding marked an enlargement of the accused’s safeguards in the station house, hut it was no constitutional innovation. Well before Miranda, the Court had insisted that the waiver of federal constitutional rights in judicial proceedings ap pear affirmatively on the record. Carnley v. Cochran, 369 U.S. 506 (1962); Doughty v. Maxwell, 376 U.S. 202 (1964) (mem). That rule continues to be applied. See Swenson v. Bosler, 386 U.S. 258 (1967); Burgett v. Texas, 389 U.S. 109, 114-115 (1967); Mempa v. Rhay, 389 U.S. 128 (1967) (Mempa’s case). Specifically, Carnley v. Cochran, supra, declares that: “Presuming waiver from a silent record is impermissible.” 369 U.S. at 516. If that is true of the Sixth Amendment right to counsel involved in Carnley, it must be equally true 19 of the Fifth and Fourteenth Amendment rights surren dered by a guilty plea. The reasons, in each case, for re quiring that the circumstances relied upon to constitute a waiver of vital federal rights appear affirmatively on the record are the same. For where either a waiver of counsel or a guilty plea is received in open court, only the affirma tive assumption by the trial judge of responsibility to bring out the facts surrounding the waiver or the plea can protect the accused’s constitutional interests. This is so because in both cases the very circumstances that would render the waiver or the plea unconstitutional—ignorance, incompre hension, coercion, terror, inducements—would also operate to cover up any appearance of unconstitutionality, and to stifle the accused’s ability to complain of it. It is no accident that this Court has repeatedly stressed the affirmative duty of a trial judge to make adequate in quiry of the accused before accepting a waiver of counsel. “This protecting duty imposes the serious and weighty re sponsibility upon the trial judge of determining whether there is an intelligent and competent waiver by the accused.” Johnson v. Zerbst, 304 U.S. 458, 465 (1938); Von Moltke v. Gillies, 332 U.S. 708, 722-723 (1948) (plurality opinion); Carnley v. Cochran, supra, 369 U.S. at 514-515; Westbrook v. Arizona, 384 U.S. 150 (1966). No less stringent duty, surely, devolves upon the judge taking a guilty plea. “Upon the trial judge rests the duty of seeing that the trial is con ducted with solicitude for the essential rights of the ac cused.” Glasser v. United States, 315 U.S. 60, 71 (1942). In a guilty-plea case, the plea is the trial, and special con siderations call for the court’s special solicitude. In the first place, an accused who enters a plea wants it to be accepted—whether or not this desire is the product of ignorance, inducements or fears. It is not then in his in terest, nor that of his lawyer, to raise matters which will 20 .arouse suspicion, and possibly “queer” the taking of the plea. Unless the judge makes affirmative inquiry, no pro tection is afforded the accused by the proceeding. Second, the plea is the be-all and the end-all of the ac cused’s right to defend. Once it is accepted, his guilt is determined; and the only remaining question concerning the guilt determination is whether the plea was valid. On this dispositive question, the accused has the right to an adequate record, and to such appellate review as the State affords. Denial of an adequate record for review would it self be a denial of due process. Garner v. Louisiana, 368 U.S. 157, 173 (1961); Specht v. Patterson, 386 U.S. 605, 610 (1967). But, as a practical matter, for the reasons we have stated no such record can be made unless the presiding judge undertakes to make it. We do not say that a plea of guilty could not constitu tionally be taken in traffic court in the manner in which Boykin’s plea was taken. The matter would be more ques tionable if the plea were to a minor misdemeanor. But in a capital case, surely, fitting federal standards for the waiver of the federal right to contest guilt demand some thing more. For, as this Court recognized in United States v. Jackson, 390 U.S. 570 (1968), the pressures of a capital charge exert unique stress on the accused to waive his rights upon the inducement, or in the mistaken hope that he will thereby avoid the death sentence. Also, it can hardly be denied that what is at stake for the accused facing death demands the utmost solicitude of which courts are capable. More than ordinary care in the handling of death cases has long been the constitutional rule. For its varying exempli fications, see, e.g., Powell v. Alabama, 287 U.S. 45 (1932); Hamilton v. Alabama, 368 U.S. 52 (1961); Stein v. New York, 346 U.S. 156, 196 (1952). “The differentiation be tween capital and non-capital offenses is the basis for dif- 21 ferentiation in law in diverse ways in which the distinction becomes relevant.” Williams v. Georgia, 349 U.S. 375, 391 (1955). We submit that it is plainly relevant where a judge takes an accused’s guilty plea to five capital charges with no more concern for his protection than would attend a plea to a vehicle-code violation. We might add—although we think the point hardly nec essary—that there is demonstrably nothing to be said against a requirement that a judge who takes a capital plea in open court must establish on the record the prerequisites to its validity. Objectors to Miranda have complained, at least, that legitimate police investigative practices were im peded by the rules laid down in that decision. But no one has ever supposed that it is a legitimate judicial practice, or one in the interest of the State, to take ignorant or in voluntary pleas of guilty in a death case. There is, indeed, hardly even an interest of convenience in permitting the judge to take his pleas without inquiry, for inquiry is a simple enough matter in most cases. Here it might well have taken little longer than the time consumed by the court’s belated and futile inquiries: “do you have anything to say as to why the sentence should not be imposed,” re peated five times at the prosecutor’s instance just before the entry of the five judgments of death that capped Ed ward Boykin’s unexamined plea. App. 34-35. For all of these reasons, we submit that the three dis senting Justices below were plainly right, as a matter of federal constitutional law, in concluding that the “judg ments in these five death cases should be reversed and the causes remanded to the trial court because the record does not disclose that the defendant voluntarily and understand ing^ entered his pleas of guilty.” The plurality opinion below does not speak to the point,, and the. only explanation for the affirmance by the Supreme Court of Alabama on this record is that offered in the special concurring opinion 22 of Justice Lawson. App. 39-40.16 Justice Lawson rejects the view of the dissenters because they “presume that the trial judge failed to do his duty.” App. 40. Unhappily, it is in the nature of a silent record that one can draw conclusions from it only by presuming one thing or another ; and the contrary presumption—that the trial judge did do his duty —is firmly foreclosed by Carnley v. Cochran, supra. Justice Lawson takes the position, alternatively, that there is no need for the trial judge who accepts a guilty plea to put on record his inquiries into the constitutional requi sites of the plea because the defendant who complains of the plea can later “raise all of [his] . . . questions in a peti tion for writ of error coram nobis. In such a proceeding, of course, the petitioner would be required to produce evidence in support of his contentions.” App. 40. We can see no virtue whatever to a plea-taking procedure that would cast the burden of determining the validity of guilty pleas en tirely on the post-conviction courts. Cf. In re Gault, 387 U.S. 1, 58 (1967). But, however this may be, the principle proposed by Justice Lawson as a rule to govern waiver of Fifth and Fourteenth Amendment rights has two over whelming vices which require its rejection here. First, even in a non-capital case it throws an unacceptable burden on the accused. 16 There seems to be no question that the issue was properly be fore the Supreme Court of Alabama. Four of the seven Justices of that court expressly addressed it on the merits, and the re maining three, who kept silent about it, did not suggest that it was not presented. In the nature of things it is implausible to suppose, and therefore impermissible to demand, that a challenge to the validity of a guilty plea be made in the trial proceedings where the plea is taken. As we have said in the text, supra, the principal reason for imposing a constitutional obligation upon the presiding judge to inquire into the validity of the plea before accepting it is that the defense is in no position to object to the taking of a plea which—whether for valid or invalid reasons—the defendant and his lawyer are eager to have the court accept. 23 “Nor is it an answer to say that he may counter such presumptions on collateral attack by showing —if he can—that he had not [validly waived his fed eral constitutional right]. . . . To cast such a burden on the accused is wholly at war with the standard of proof for waiver which we laid down in Johnson v. Zerbst. . . . ” (Carnley v. Cochran, supra, 369 U.S., at 514.) Second, it is indefensibly callous with regard to the pecu liar plight of the capital accused. Alabama practice—like that in most States17—affords an indigent condemned man no right to the appointment of counsel beyond the stage of the direct appeal. There is therefore no assurance that a coram nobis or other post-conviction petition will ever be filed, or that the accused will survive long enough to file it. A man in Boykin’s position, whose guilty pleas have never been examined by any court prior to the ter mination of his appeal, is promised an examination if, unaided, he can get a stay of execution and bring his claims to court, upon proper allegations, before the State kills him. We suggest that such a scheme is constitutionally intolerable.18 17 See notes 8, 9 supra. 18 This Court need not now decide what would be the remedy if, in a post-conviction proceeding, a petitioner demonstrated that his plea of guilty to a capital charge was taken without the constitu tionally requisite inquiry. See the decisions holding that, in federal post-conviction proceedings under 28 TJ.S.C. § 2255 (1964), a show ing of non-compliance with Fed. Rule Grim. Pro. 11 in the taking of a guilty plea casts the burden of proof on the Government to show retrospectively that the plea was voluntary and understand ing, but does not per se require the vacating of the plea. Domenica v. United States, 292 F.2d 483 (1st Cir. 1961); Reed v. United States, 291 F.2d 856 (4th Cir. 1961). The present case is before this Court not on collateral attack, but on direct review. If there was error below, by federal constitutional standards, as we submit there obviously was, the judgment of the Alabama Supreme Court affirming Boykin’s conviction and sentence cannot stand, and must be reversed. 24 II. Boykin’s Death Sentence Offends the Eighth Amend ment. We come to the question whether Edward Boykin’s sentence of death by electrocution for simple robbery vio lates the Eighth Amendment prohibition of cruel and un usual punishment.19 We venture to suggest that the answer to that question would appear easy enough to a student of Anglo-American history and contemporary culture, untrained in the law. If he were told that the Eighth Amendment contained a “basic prohibition against inhuman treatment,” that its underlying concept was “nothing less than the dignity of man,” that the Amendment was designed to assure that the state’s punishing power “be exercised within the limits of civilized standards,” and that “the Amendment must draw its meaning from the evolving standards of decency that mark the progress of a maturing society,” 20 we sub mit that he could only conclude the Eighth Amendment forbade court-ordered killings of human beings, long after their apprehension and incarceration, as a punishment for the crime of robbery in Twentieth Century America. He would come to the same conclusion if he were told, less elegantly, that “the question inherent in the eighth amendment [is]: is what the legislature has done, how- 19 That prohibition restrains the States by virtue of the Due Process Clause of the Fourteenth Amendment. Robinson v. Cali fornia, 370 U.S. 660 (1962). 20 The quoted passages are all from Trop v. Dulles, 356 U.S. 86, 100-101 (1958) (plurality opinion of the Chief Justice). 25 ever rationally supportable it may be, too offensive to stomach!” 21 The considerations which would affect the thinking of our hypothetical non-legal scholar are not, of course, legally dispositive, but they are also not legally irrelevant. We enumerate a few of them as a means of framing systematically what we see as the legal nub of this case: (1) Our scholar would look first at history; and, ac customed to the adage that the lessons of history are never clear, he would be surprised. For the lesson of Anglo-American history is clear beyond all mistaking that the advance of civilization has been marked precisely by the progressive abandonment of the death penalty. Our scholar would examine the course of England from the “bloody code” of the Eighteenth and Nineteenth Centuries to nearly total legal abolition in the mid-Twentieth, and the parallel history of the United States abutting, as we shall see, in virtually total abolition de facto.22 Such an examination could only reinforce his intuitive sense 21 Packer, Making the Punishment Fit the Crime, 77 H arv. L. Rev. 1071, 1076 (1964). 22 Concerning the English experience, see P hillipson , Three Criminal L aw Reformers (1923); R adzinowicz, A H istory of E nglish Criminal L aw and I ts A dministration F rom 1750 (1948); Scott, The H istory of Capital P unishment (1950); Tuttle, Th e Crusade A gainst Capital P unishm ent in Great B ritain (1961). Final abolition (except for a few obscure crimes for which the death penalty is not in fact used) came on October 28, 1965. See Dawtry, The Abolition of the Death Penalty in Britain, 6 B rit. J. Crim . 183 (1966). Concerning the American experience, see Bye, Capital P u nish ment in the United States (1919); B edau, The D eath P enalty in A merica (1964) [hereafter cited as Bedau], chaps. 1-2; Filler, Movements to Abolish the Death Penalty in the United States, 284 A nnals 124 (1952). The most recent developments—legal aboli tion in Oregon, Vermont, Iowa, West Virginia, and (with some re servations) New York—are reported in Bedau, The Issue of Capi tal Punishment, 53 Current H istory (No. 312) 82 (Aug. 1967). 26 that society’s ceasing to use death as a punishment for crime is—in Albert Camus’ phrase—“a great civilizing step.” 23 Is this intuition not frankly obvious! Can any one who thinks about it as a human being—(we postpone for a moment the more subtle task of legal judgment)— doubt the rightness of the same insight recently voiced by the Attorney General of the United States: “Surely the abolition of the death penalty is a major milestone in the long road up from barbarism” ? 24 (2) Our scholar would notice the history of thought as well as the history of events, and would be struck by the conceptions and ideals with which opposition to, and sup port for, the death penalty have respectively been long associated: “ . . . the struggle about this punishment has been one between ancient and deeply rooted beliefs in retri bution, atonement or vengeance on the one hand, and, on the other, beliefs in the personal value and dignity of the common man that were born of the democratic movement of the eighteenth century, as well as beliefs in the scientific approach to an understanding of the motive forces of human conduct, which are the result of the growth of the sciences of behavior during the nineteenth and twentieth centuries.” 25 23 Camtjs, Reflections on the Guillotine, in R esistance, R ebel lion and D eath (1961) 173 [hereafter cited as Camus], at 232. 24 Statement by Attorney General Ramsey Clark, Before the Sub committee on Criminal Laws and Procedures of the Senate Judi ciary Committee, on S. 1760, To Abolish the Death Penalty, July 2, 1968, Department of Justice Release, p. 2. 26 Sellin , The D eath P enalty (1959), published as an appen dix to A merican L aw I nstitute, Model P enal Code, Tent. Draft No. 9 (May 8, 1959) 15. This work is hereafter cited as Sellin (1959). 27 (This is not to say, of course, that no one does or can support the death penalty for other reasons than belief in retribution, atonement or vengeance; but it is signifi cant that these beliefs have been historically the main stays of support for the institution of capital punishment, while the movement for abolition has been spearheaded by concerns derived from conceptions of “the dignity of man,” Trop v. Dulles, 356 U.S. 86, 101 (1958) (plurality opinion of the Chief Justice).) (3) A related perception focuses upon the professional identification of those who have traditionally opposed, or supported, capital punishment: “In the first place, it will be noticed that, among the leading authorities in penal science, the supporters of abolition appreciably outnumber those who favour the retention of capital punishment. The specialists of the social sciences, criminologists, sociologists, penologists, psychologists, doctors and writers on social science and criminology are, in their great majority, abolitionists. The supporters of capital pun ishment, apart from a number of political figures and persons holding high public office, are generally jurists with a traditional training and judges.” (U n ited Na tio n s , D epa r t m e n t op E conom ic and S ocial A ffa ir s , Ca pita l P u n is h m e n t (ST/SOA/SD/9-10) (1968) [hereafter cited as U n it e d N a tio n s] 64.26 (Again, we postpone for later discussion the complicated question why judges, particularly, as distinguished from students of the human sciences and of penology, should 26 Accord: id., at 124; B e d a u 122-123; Louis J. West, M.D., “A Psychiatrist Looks at the Death Penalty,” Paper Presented at the 122nd Annual Meeting of the American Psychiatric Association, Atlantic City, New Jersey, May 11, 1966 [hereafter cited as West], p. 2. And see K o e s t l e r , R e f l e c t io n s o n H a n g in g (Amer. ed. 1957) [hereafter cited as Koestler] 21-40. 28 be numbered strongly among the historical supporters of the death penalty.) (4) Our suppositious scholar, of course, would also give attention to what is really involved in the execution of a human being. He would have in mind Arthur Koestler’s admonition that the question of the cruelty of killing men is not one that gains clarity from being wrapped in abstractions. “You could hardly have a nobler example of the true function of words, namely the partial conceal ment of fundamentals. The phrase ‘capital punish ment’ itself is a less obvious instance—less obvious because we have got so used to it. It means (in Eng land) disclocating a man’s neck by tying a six-foot rope around it and suddenly dropping him through a trap door with his arms and legs tied. If his neck happen not to break—it is certain at least to dislo cate—then he would strangle, which takes longer and turns his face dark blue. In either case he often defe cates, since people usually want to do this when they are frightened, and the huge shock to his nervous system when the rope tightens removes the last ves tige of self-control, together with the social need for it. “This is not a nice picture and few of us care to be reminded of it. Many of us can think calmly enough of capital punishment, because the phrase embodies what The Times would call ‘a decent reti cence.’ The reticence has been growing decently for about a century, beginning in 1868 with the decision to hang people in private instead of making it a public spectacle.” ( K oestleb & R o l p h , H anged by t h e N ec k (1961) 11-12. 29 Camus makes the point vividly: “The man who enjoys his coffee while reading that justice has been done would spit it out at the least detail.” C a m us 187. In candor, we must say that this question of presenting the reality of capital punishment to the Court has given us deep concern in the writing of this brief. We would consider it both logically and legally absurd for the Court to deliberate the question whether Edward Boykin’s death was a cruel and unusual punishment in terms of such decorous abstractions as “capital punishment” and “the death penalty.” For a while we were inclined to append to the brief at the least a few descriptions of the methods of American executions by electrocution and by gas. (Lest the description just given by Koestler be thought wide of the mark, it should be recalled that the Royal Commission in 1953 recommended that England retain hanging as a means of legal execution, because it was more humane and certain than the American methods.27) But, as we prepared the materials for the appendix, we realized that their inclusion here would certainly cause us to be charged with sensationalism and an appeal to passion and repulsion. Such is the character of this institution of killing men that it forces one who attacks it legally either to describe with particularity what he is attacking, and be bitterly resented, or to keep silent about it, and risk being mis understood. Finally, we have decided to join in the general “decent reticence,” and to do no more than provide the Court with citations to descriptions of the methods of 27 R oyal Commission on Capital P unishm ent 1949-1953, Re port (H.M.S.O. 1953) [Cmd. 8932] [hereafter cited as R oyal Commission] 246-261, particularly at 256. 30 executions.28 Our hypothetical scholar would read these materials and he would conclude, with Dr. Louis J. West, that: “The killing of a helpless captive is a brutally de grading experience. If only those who have partici pated in an execution could vote on the death penalty, it would be abolished tomorrow.” (West, at p. 2.) (5) This last observation leads naturally to a connected one, the significance of our modern practice of secret executions, and to Justice Bok’s trenchant question: “Why is the State so ashamed of its process that it must kill at dead of night, in an isolated place, and on an unnamed day?” B ok, S tar W ormwood (1959) 197. Notwithstand ing that virtually the only argument made in support of the death penalty in the Twentieth Century is its efficacy as a general deterrent (an argument which we shall later note is factually unfounded),29 the men killed for deter rence’s sake today are killed clandestinely, out of public 28 D uffy & H irshberg, 88 Men and 2 W omen (1962) 68-70, 100-106; L awes, L ife and D eath in S ing S ing (1928) 162-190; M cGehee & H ildebrand, eds., The D eath P enalty (1964) 81-85; D i Salle, Th e P ower of L ife and D eath (1965) 84-85; E shel- man , D eath R ow Chaplain (1962) 26-29, 101-104, 159-164; Chessman, Trial bY Ordeal (1955) 195-202; Testimony of Clinton T. Duffy, in United States Senate, Subcommittee on Criminal Laws and Procedures of the Committee on the Judiciary, Hearings on S. 1760, To Abolish the Death Penalty (unprinted Report of Pro ceedings, March 20, 1968) [hereafter cited as Hearings], vol. 1, pp. 34-39. 29 See note 53 infra. 31 view.30 Camus’ forthright analysis of all that this implies is hardly refutable: “As an example and for the sake of security, it would be wiser, instead of hiding the execution, to hold up the severed head in front of all who are shaving in the morning. “Nothing of the sort happens. The State disguises executions and keeps silent about these statements and eyewitness accounts [describing the death scene]. Hence it doesn’t really believe in the exemplary value of the penalty, except by tradition and because it has never bothered to think about the matter. . . . A law is being applied without being thought out and the condemned die in the name of a theory in which the executioners do not believe. If they believed in it, this would be obvious to all. But the publicity not only arouses sadistic instincts with incalculable re percussions eventually leading to another murder: it also runs the risk of provoking revolt and disgust in the public opinion. It would become harder to exe cute men one after another, as is done in our country today, if the executions were translated into vivid images in the popular imagination. . . . This is why 30 The first American State to abolish public executions was Penn sylvania, in 1834, see Filler, Movements to Abolish the Death Pen alty in the United States, 284 A nnals 124, 127 (1952), the year in which also Great Britain abolished gibbeting by 4&5 Will. IV, ehap. 26, §§ 1, 2. Public execution terminated in England in 1868, see Tuttle, Th e Ckusade A gainst Capital P unishm ent in Great B ritain (1961), 20; and such executions were _ progressively out lawed in the United States throughout the Nineteenth Century, B ye, Capital P unishm ent in the United States (1919) 6. The last public execution in the country seems to have occurred in Ken tucky in 1936. B arnes & Teeters, New H orizons in Criminology (3d ed. 1949) 307, 32 we must approve of the. position of Gambetta, who, as an adversary of the death penalty, voted against a bill involving suppression of publicity for executions, declaring: ‘If you suppress the horror of the spec tacle, if you execute inside prisons, you will smother the public outburst of revolt that has taken place of late and you will strengthen the death penalty. “Indeed, one must kill publicly or confess that one does not feel authorized to kill. If society justifies the death penalty by the necessity of the example, it must justify itself by making the publicity necessary. It must show the executioner’s hands each time and force everyone to look at them—the over-delicate citi zens and all those who had any responsibility in bringing the executioner into being. Otherwise, society admits that it kills without knowing what it is saying or doing. Or else it admits that such revolting cere monies can only excite crime or completely upset opinion.” (C a m us 186-188.) The relation between this practice of secret executions and the “evolving standards of decency that mark the progress of a maturing society,” Trop v. Dulles, supra, 356 II.S. at 101, should be obvious. We hide our execu tions because we are ashamed to show them, because they make men sick. To jump ahead for a moment to consid eration of the matter in constitutional terms, one wonders whether this Court would sustain today a public execution as consistent with the Eighth Amendment? We suggest that it would not; that constitutional law as well as public sentiment would condemn such barbarous shows. Does hiding the matter of execution make it any the more con sistent with our constitutional, and publie standards of decency ? Our legally untrained scholar would, We think, conclude with Gottlieb that it does not: 33 “It is of the greatest significance, I suggest, that executions are carried out away from the public eye and that the public spectacle of hangings and behead ings has been left behind to earlier centuries. This is evidence that if people were to witness the decay of the waiting man, to hear his cries and watch his final struggles, they would be affronted in their con sciences, and in their standards of human dignity and decency. Our systematic concealment of executions creates a strong inference that capital punishment now falls under our expanded definition of ‘cruelty,’ par ticularly when we contrast this present custom of secrecy with the one-time public display of execu tions.” 31 (6) G-ottlieb speaks of the “decay of the waiting man” ; and others too have recognized the torment of the thou sand days on death row. The length of time, of course, is not what is alone important here—although it is impor tant.52 Our hypothetical scholar would only have to imag- 31 Gerald H. Gottlieb on Capital P unishm ent (Center for the Study of Democratic Institutions 1967) 6, reprinted in 72 Case & Comment (N o. 4 ), 3, 8 (July-Aug., 1967). 32 “The devastating, degrading fear that is imposed on the con demned man for months or years is a punishment more terrible than death, and one that was not imposed on the victim.” Camus 200. Compare the comments of Charles Gardner, an inmate of San Quentin’s death row, reported in the New Y ork Law J ournal, November 27, 1968, p. 1, col. 4 : “Gardner has been on death row ten months, waiting, hoping that he could escape the gas chamber. ‘But rather than stay five to eight years on the row, I ’d rather be dead by gas/ Gardner said. ‘Waiting for it to come is worse than getting it.’ ” Of course, the delay in Gardner’s and other eases today is an incident of our protective system of criminal justice, and a neces sary incident of the appeals and post-conviction proceedings re quired by due process. But that makes it none the less tormenting. Surely, our Constitution could not tolerate capital punishment to day without due process. The question is whether, with due process and its necessary incidents, the punishment is cruel and unusual within the Eighth Amendment. 34 ine himself in the position of the condemned man for an hour prior to his execution, in order to appreciate the cruelty, the intolerable inhumanity, of the event that is occurring. Dostoyevski, who was actually in that position, thus described it: “But the chief and the worst pain may not be in the bodily suffering but in one’s knowing for certain that in an hour, and then in ten minutes, and then in half a minute, and then now, at the very moment, the soul will leave the body and that one will cease to be a man and that that’s bound to happen; the worst part of it is that it’s certain. When you lay your head down under the knife and hear the knife slide over your head, that quarter of a second is the most terrible of all.” D ostoyevsky , T h e I diot (Modern Li brary, 1935) 20 (original emphasis). Again, Camus has put the matter in characteristically clear perspective: “[In considering the argument from lex talionis] let us leave aside the fact that the law of retaliation is inapplicable and that it would seem just as exces sive to punish the incindiary by setting fire to his house as it would be insufficient to punish the thief by deducting from his bank account a sum equal to his theft. Let us admit that it is just and necessary to compensate for the murder of the victim by the death of the murderer. But beheading is not simply death. It is just as different, in essence, from the privation of life, as a concentration camp is from prison. It is a murder, to be sure, and one that arith metically pays for the murder committed. But it adds to death a rule, a public premeditation known to the future victim, an organization, in short, which is itself 35 a source of moral sufferings more terrible than death. Hence there is no equivalence. Many laws consider a premeditated crime more serious than a crime of pure violence. But what then is capital punishment but the most premeditated of murders, to which no criminal’s deed, however calculated it may be, can be compared? For there to be an equivalence, the death penalty would have to punish a criminal who had warned his victim of the date at which he would inflict a horrible death on him and who, from that moment onward, had confined him at his mercy for months. Such a monster is not encountered in private life.” (Camtjs 199.) (7) Finally, our scholar would consider the arguments which are put forward today in support of the death penalty. These rest for the most part upon the proposition that death is the most efficacious deterrent which—if used sufficiently infrequently and within the hiding of prison walls—a non-totalitarian society can stomach.38 Reading between the lines, he would come to the obvious conclu sion of Clarence Darrow: “That capital punishment is horrible and cruel is the reason for its existence.” Darrow, A Comment on Capital Punishment, in L aurence, A H is tory of Capital P unishm ent (1960), xv, xvii. And coming to his own conclusion, on the basis of all that we have said above, our scholar would most firmly disagree that death is a punishment which a non-totalitarian society can stomach at all. Aye, but there’s of course the rub. Our hypothetical student of culture is free to reach his own independent con- 33 See th e exhaustive summary in C a p it a l P u n is h m e n t : M a t e r ia l R e l a t in g to it s P u r p o s e a n d V a l u e (compiled by Hon. Guy Pavreau, Canadian Minister of Justice) (Queen’s Printer, Ottawa, 1965) [hereafter cited as P a v r e a u ] 23-28. 36 elusions about the death penalty in a manner that would be altogether inappropriate as a principle for decision by this Court construing the Eighth Amendment. For this Court does not sit to make the personal views of its Jus tices the rule of the Eighth Amendment or the Fourteenth; and, as it has often said, in matters of constitutional adjudi cation under such broad clauses as Cruel and Unusual Punishment or Due Process, much deference must be given by the Court to legislative judgment. See Spencer v. Texas, 385 U.S. 554 (1967). We come, therefore, to what we think lies at the heart of the question whether Edward Boykin’s sentence of death is a constitutionally forbidden cruel and unusual punish ment. That is a dilemma which is inherent in the Eighth Amendment. It derives from the circumstance that the Amendment plainly is a restriction upon the legislative enactment of cruel penalties, as well as upon the judicial imposition of them. This Court has so held by voiding statutes under the Cruel and Unusual Punishment Clause. Weems v. United States, 217 U.S. 349 (1910); Trop v. Dulles, 356 U.S. 86 (1958) (by a plurality); Robinson v. California, 370 U.S. 660 (1962). And the force of the Clause is not limited to prohibition of punishments that would have turned the stomachs of the Framers in the Eighteenth Century. “The clause of the Constitution . . ; may therefore be progressive, and is not fastened to the obsolete, but may acquire meaning as public opinion be comes enlightened by a humane justice.” Weems v. United States, supra, 217 U.S. at 378; see generally id., 369-373. We repeat the important observation with which Trop v. Dulles outlawed the hoary penalty of banishment: “The Amendment must draw its meaning from the evolving standards of decency that mark the progress of a matur ing society.” 356 U.S. at 101. - 37 But surely there lies the most extraordinary difficulty in a process of constitutional adjudication by which this Court must subject legislation to the test of enlightened public opinion, and must judge the validity of a legislature’s product according to society’s standards of decency. For, after all, both in constitutional contemplation and in fact, it is the legislature, not the Court, which responds to public opinion and immediately reflects the society’s standards of decency. If the question asked by the Eighth Amendment really be whether our democratic society can tolerate the existence of any particular penal law that is on the books, the Eighth Amendment’s answer will always be that it can —and for the simple reason that the law’ is on the books of a democratic society. So either the Eighth Amendment is not a judicially enforceable restriction upon legislation; or the Weems-Trop test referring to contemporary public standards of decency is not a usable measure of the Amend ment ; or else the question which we have just posed is not the proper question to which the Amendment and the Weems-Trop test respond. As this way of putting the matter suggests, we think that the question—which at first blush may appear to be the question presented by Boykin’s attack on Ala. Code, tit. 14, § 415 (1959)—is the wrong question. We suggest what we think is the right one below. For w7e cannot believe that the Eighth Amendment is not a restriction upon inhuman penal legislation rightfully enforceable by this Court. Nor do we believe that the Amendment’s prohibition is re stricted to drawing and quartering, and similar antiquated butcheries—nor, on the other hand, that it invokes the un assisted penological impressions of particular Justices. The Weems-Trop test is, we submit, the proper one. Com mon standards of decency in our contemporary society do set the limits of punishment allowable under the Eighth Amendment. The problem is how those standards are to 38 be ascertained, and with regard to what specific question. We begin with the specific question. When a man such as Edward Boykin comes before the Court claiming that the law under which he was sentenced provides for an unconstitutional cruel and unusual punishment, the ques tion is not: will contemporary standards of decency allow the existence of such a law on the books? The question is, rather: will contemporary standards of decency allow the execution of the law’s penalty in factf By this we do not mean that the Court is to review the penalty decision of the sentencing judge or jury in particular cases. Our concen tration upon the question whether public conscience will support the law’s application in fact does not mean to draw the distinction between general and specific applications of a penalty. It means to draw the distinction between what public conscience will allow the law to say and what it will allow the law to do—between what public decency will per mit a penal statute to threaten and what it will allow the law to carry out—between what common revulsion will forbid a government to put on its statute books as the ex treme, dire terror of the State (not to be ordinarily, regu larly or in other than a few freak cases enforced), and what public revulsion would forbid a government to do to its citizens if the penalty of the law were generally, even- handedly, non-arbitrarily enforced in all of the cases to which it applied. This last point—regarding general, even-handed, non- arbitrary application—is critical. For in it lies, we think, a large part of the need to have a Cruel and Unusual Pun ishment Clause in the Constitution, and of the need to have courts enforce it. The government envisaged for this country by the Constitution is a democratic one, and in a democracy there is little reason to fear that penal laws will be placed upon the books which, in their general applica- 39 tion, would affront the public conscience. The real danger concerning cruel and inhuman laws is that they will be en acted in a form such that they can be applied sparsely and spottily to unhappy minorities, whose numbers are so few, whose plight so invisible, and whose persons so unpopular, that society can readily bear to see them suffer torments which would not for a moment be accepted as penalties of general application to the populace. Herein is found the difference between the judgment which the legislator makes, responding politically to public conscience, and the judgment which a court must make under the obligation which the Eighth Amendment imposes upon it to respond rationally to public conscience. A leg islator may not scruple to put a law on the books whose general, even-handed, non-arbitrary application the public would abhor—precisely because both he and the public know that it will not be enforced generally, even-handedly, non-arbitrarily. But a court cannot sustain such a law under the Eighth Amendment. It cannot do so because both the Amendment itself and our most fundamental prin ciples of due process and equal protection forbid American governments the devices of arbitrariness and irregularity —even as a sop to public conscience. To put the matter another way, there is nothing in the political process by which public opinion manifests itself in legislated laws that protects the isolated individual from being cruelly treated by the state; and public conscience often will support laws enabling him to be so mistreated, provided that arbitrary selection can be made in such a fashion as to keep his numbers small and the horror of his condition mute. Legislators neither must nor do take ac count of such individuals. But it is the precise business of courts to take account of them, and to disallow under the Eighth Amendment the application to them of penalties so harsh that public conscience would be appalled by their less arbitrary application. 40 We shall develop this theme more fully, in the pages that follow, with regard to the death penalty. But we have said enough, at this point, to enable us to state our major sub mission on behalf of Edward Boykin. His sentence of death for simple robbery is, we think, a cruel and unusual punish ment because it affronts contemporary standards of de cency, universally felt, that would condemn the use of death as a penalty for the crime of robbery if such a penalty were uniformly, regularly, and even-handedly applied either to all robbers or to any non-arbitrarily selected sub-class of robbers. One may take any rational standard one wishes for selec tion among the perpetrators of the crime of simple robbery, apply it fairly, and imagine the execution of all the robbers who fall within the class. Since there were 202,053 robberies known to the police in the United States last year,84 we assume that our rational selection standard would net us at least a hundred robbers for the year—say, exactly one hundred. Imagine, now, their electrocutions and gassings in a single year. The number we have hit upon proves to be, as we shall see, four times the number of robbers actu ally executed in the United States during the thirty-eight years between 1930 and 1967. It is twelve and a half times the number of robbers actually executed in the eighteen years between 1950 and 1967. If these one hundred robbers were actually executed in the year 1968, we submit it is palpable that the public conscience of this Nation would be profoundly and fundamentally revolted, and that the death penalty for robbery would be abolished overnight for the atavistic horror that it is. Our reasons for this submission follow. First we pause for one additional paragraph to make our legal point clear. 34 United States D epartment of J ustice, F ederal B ureau of I nvestigation, Uniform Crime R eports (Crime in the United States) , 1967 (released August 27, 1968), p. 60. 41 We disagree not with the reasoning process, hut rather with the factual premise, of a statement made by this Court ten years ago in Trop v. Dulles, supra, 356 U.S., at 99: “Whatever the arguments may be against capital punishment—and they are forceful—the death penalty has been employed throughout our history, and, in a day when it is still widely accepted, it cannot be said to violate the constitutional concept of cruelty.” (Em phasis added.) We think that today it is simply not correct that the death penalty is “still widely accepted.” 36 We speak, for the reasons which we have just stated in detail, not of its ac ceptance on the pages of the statute books, but of its ac ceptance in actual usage—and of such acceptance as it does not illegitimately obtain by being irregularly and arbitrarily applied. Far from being “widely accepted,” the death pen alty today is with rare public unanimity rejected and re pudiated—particularly for such crimes as robbery. We proceed next to demonstrate this point and to develop its constitutional implications. (1) All informed observers of the death penalty agree in describing a world-wide trend toward its disuse that is nothing short of drastic. See E x it e d N ations 81-82, 96-97; S e l l ix (1959) 4-14; M a ttic k , T h e U n ex a m in ed D ea th (1966) [hereafter cited as M a t t ic k ] 5-6; Hartung, Trends in the TJse of Capital Punishment, 284 A n x a ls 8 (1952); Sellin, The Inevitable End of Capital Punishment, in S e l l in , C a pita l P u n is h m e x t (1967) 239-240; Bedau, Death Sen tences in New Jersey 1907-1960, 19 R utgers L. R ev . 1, 9-11 (1964). There are probably fewer legal executions per year 35 Apart from this observation in Trop, no decision of the Court stands in the way of holding Boykin’s death sentence invalid under the Eighth Amendment. Wilkerson v. Utah, 99 U.S. 130 (1878), 42 in the entire world today than the number estimated to have occurred each year in London and Middlesex County alone during the reign of Edward VI. See Patrick, The Status of Capital Punishment: A World Perspective, 56 J. Cb im . L., Cb im . & P ol. Sgi. 397, 408 (1965) [hereafter cited as Patrick']. Although Patrick reports more than one hundred capital crimes on the statute hooks of 107 different nations, id., at 406-407, “nearly all of the crimes which result in actual execution are murder in some form, whether as sassination, premeditated murder or felony murder. In fact, of the 1,033 reported executions [for the period 1961- 1965], some 929 appear to have been for murder.” U n ited N atio n s 97. In the United States, the decreasing trend of executions has been especially dramatic. The National Crime Commis sion recently noted that: “The most salient characteristic of capital punishment is that it is infrequently applied. . . . [A]ll available data indicate that judges, juries and governors are becoming increasingly reluctant to impose or authorize and In re Kemmler, 136 U.S. 436 (1890), do state, respectively, that shooting and electrocution as forms of execution are not cruel and unusual. The statements in both cases are dicta: no Eighth Amendment point was presented in Wilkerson, and the Eighth Amendment issue was put out of the ease in Kemmler by the now obsolete holding that the Eighth Amendment did not apply to the States. In both cases, the Court’s attention was focused upon the manner, not the propriety, of inflicting death; the latter question appears not to have been considered by the parties or the Justices. And, finally, the cases are three quarters of a century old, while the Eighth Amendment is, as the Court said in Weems v. United States, 217 U.S. 349, 378 (1910), “progressive.” McElnaine v. Brush, 142 U.S. 155 (1891), and Louisiana ex rel. Francis v. Resweber, 329 U.S. 459 (1947), also were concerned with particular incidents of the death penalty, not its essential permis sibility under the Eighth Amendment. The former case involved a challenge to solitary confinement prior to execution; the latter, a challenge to re-execution after the first attempt to kill Francis failed. 43 th e carrying out o f a death sentence.” ( P r esid en t’s C o m m issio n on L aw E n fo r c e m e n t and A d m in istra tio n of J u s t ic e , R eport ( T h e C h a llen g e of Cr im e in a F r ee S o ciety ) (1967) 143.) The extent to which this is true appears upon inspection of the highly reliable figures on executions maintained by the Federal Bureau of Prisons since 1930. Its latest cumulative report shows that 3,859 persons were executed under civil authority in the United States between 1930 and 1967. U n it e d S tates D e pa r t m e n t of J u st ic e , B urea u of P riso n s , N ational P riso n er S ta tistic s , No. 42, Executions 1930-1967 (June 1968) [hereafter cited as NPS (1968)], p. 7. Of these 3,859, only 191 were executed between 1960 and 1967; only 25 during the years 1964-1967. Ibid. The trend is shown quite adequately by setting out the figures for the number of executions during each of the following representative years: Total Number of Executions in the United States 1930 — 155 1935 — 199 1940 — 124 1945 — 117 1950 — 82 1955 — 76 1960 — 56 1961 — 42 1962 — 47 1963 — 21 1964 — 15 1965 — 7 1966 — 1 1967 — 2 44 During the calendar year 1968, there will be no executions in the United States. It is interesting to note the geographic distribution of the executions. (We shall return later to the racial figures.) Of the 3,859 persons killed since 1930, 33 were executed by the federal government; 608 by nine northeastern States; 403 by twelve north-central States; 509 by thirteen western States; and 2,306 by sixteen southern States and the District of Columbia. Since 1960, the corresponding figures for 191 executions are as follows: federal—1; northeastern States —17; north-central States—21; western States—48; south ern States and D.C.—104. NPS (1968), pp. 8-9. As of December 31, 1967, there were 435 men on death row throughout the entire country. Two of these were federal prisoners; 62 were in the northeastern States; 55 were in the north-central States; 91 were in the western States; and 225 were in the southern States and D.C. Id., pp. 22-23. Of the 3,859 persons executed between 1930 and 1967, 3,334 died for the crime of murder, 455 for the crime of rape, and only 70 for other crimes. Id., p. 7. Twenty-five of these seventy died for robbery-like crimes, usually ag gravated forms of robbery. Id., pp. 10-11.36 Two of the 25 were executed by the federal government; the remaining 23, by six southern States. Ibid. Alabama has executed five men for robbery since 1930. Ibid. There have been only two executions for robbery-like crimes in the United States since 1960: one in that year, 36 The figure given at id., p. 7, n. (a), “23,” is incorrect. Con cerning the robbery-like crimes for which death may be inflicted in the. United States today, see note 54 infra. 45 and one in 1962.” Of 85 men sentenced to death in 1967, only one received that sentence for a robbery-like crime. NTS (1968), p. 13. Of the 435 men on death row as of December 31, 1967, only four were there for robbery-like crimes. Ibid. These four came from two southern States: Alabama and Texas. Id., pp. 22-23. (2) We summarize our conclusions from the available data as follows: Actual use of the death penalty throughout the world is on the decline; and, in the United States, precipitously on the decline. In this country, sentences of death and executions are predominately a southern phenom enon. Sentences of death and executions for other crimes than murder are virtually exclusively a southern phenome non.88 Since 1960, at the least, executions in the United States for any crime have been rare. During the last few years they have been freakishly rare. Executions for robbery-like crimes in the United States have been freak ishly rare since 1930. In the nine years from and including 1960 until today, there were two of them. At the last re ported count, four men in the Nation were on death row for crimes in the nature of robbery: Edward Boykin and three others. Boykin alone was on the row for simple rob bery.39 87 These two executions are reflected in Bedau 96, 108. That there have been no others since 1960 is established by examination of the yearly National Prisoner Statistics Bulletins on Executions since that year. 38 Of 525 persons executed between 1930 and 1967 for crimes other than murder, 482 were executed in sixteen southern States and the District of Columbia. NPS (1968), pp. 10-11. Of 78 per sons on death row as of December 31, 1967 for crimes other than murder, 69 were in the same sixteen southern States. Id., pp. 22-23. 39 The three others were on death row in Texas, which has not punished simple robbery capitally in this Century. 46 (3) But what do these almost incredible rarities in the use of capital punishment imply for the constitutional question before the Court! In the first place, they obviously imply—in the language of Trop v. Dulles, supra—that capi tal punishment is not “still widely accepted” in contempo rary America. Recently, this Court cited public opinion polls indicating that less than half of the American people believe in the death penalty. Witherspoon v. Illinois, 391 U.S. 510, 519-520 (1968). The value of such polls is very slight as a gauge of the standards of decency to which the Eighth Amendment bids this Court look. This is so be cause opinions tapped in this fashion are notoriously fickle ;40 and also because the citizen who deals with a poll- taker—-like the legislator who puts or maintains a capital statute on the books41—can have his cake and eat it too. He can afford to approve the principle of killing because in practice the persons selected to die will be so few as to go unnoticed. The real measure of American moral attitudes about the death penalty is reflected in what this Nation of 200 million people does. What it has done, in the years 1966-1968 is to execute three people—none for robbery. Of course, stays of execution and state and federal post conviction proceedings on behalf of condemned men affect these figures, but not very much. At the end of 1967, there were only 435 men on death row, notwithstanding the near cessation of executions since 1964. At the same date, there were only four men on death row for robbery-like crimes, notwithstanding America has executed no one for such a 40 “If the last victim happens to arouse pity—a feeble-minded boy for instance, unhinged by the movies, or a mother of two children, half-crazed by gin and jealousy—up go the ‘nays’ of mercy like a flight of doves; if he is a cool customer like Christie, up go the ‘ayes’ like a swarm of vultures.” K oestler 163. 41 See pp. 38-40 supra. 47 crime since 1962. Plainly, the processes of American justice through which the conscience of a people may he glimpsed are sending very, very few men onto death row, and taking most of them off again before execution day. What Ameri can acceptance of the death penalty now boils down to is that America can stomach a few legal killings a year. (4) One may look at these figures from another direction as well. No one knows or can estimate accurately how many convictions of capital crimes are returned in the United States yearly. But we do know that thirty-nine States, the District of Columbia, and the federal jurisdiction all retain on their books statutes of general applicability punishing one or more offenses with death. In some States, half a dozen or more crimes may be so punishable. (Appendix A to this brief sets out the penal provisions of the several States carrying the death penalty.) Yet, with all this capi tal armament in the arsenal of a Nation of enormous and burgeoning population, with a growing crime rate and a going crime scare, only a few, rare men are sentenced to death and fewer executed. This phenomenon reflects, we suggest, an overwhelming national repulsion against the penalty of death. Such a repulsion is all the more striking when one takes into account: (a) that for the past several years the country has undergone one of the most intense of its recurring periods of public agitation about and fear of crime; (b) that for a number of years there have been so few executions as to provide almost no focus for the mobili zation of public sentiments against the death penalty;42 (c) that during these years, and many more before them, American executions have been conducted in secret, their most horrible aspects carefully concealed from public view; (d) that the death penalty is sponsored by the State (in 42 See B edatj 23. 48 most jurisdictions), publicly approved by State officials,43 and supported by claims prevalent in law-enforcement quarters44 (although quite without basis in fact45) that the penalty has unique penological values, particularly as a deterrent. It strongly appears, we think, that even under the most favorable conditions for capital punishment—with the vices of the death penalty concealed and its virtues in accurately extolled—the American conscience has repudi ated it hands down. (5) Of course, the penalty remains on the statute books. But is it not obvious, as Warden Lawes observed long ago, that it does so only because of the rarity with which it is applied in fact? “ What would be the attitude of the American people if by good or ill circumstance the ten thousand men and women who in any one year commit our murders and manslaughters in these United States, would all be convicted of murder, sentenced to death, and that pun ishment actually inflicted?’ What, indeed, but an al most universal cry for abolition?” (L aw es, T w en ty T housand Y ears in S in g S in g (1932) 306-307.) It is, certainly, a matter of history that public acceptability of the death penalty has been maintained only by giving up its mandatory form and enacting statutes allowing jury or 43 “The primary support today for the death penalty comes from law enforcement groups, that is, from the police and from prosecu tors.” Bedau 120. See also note 53, para. (3), infra. 44 J. Edgar Hoover’s several releases on the subject of the death penalty are widely publicized examples of these claims. They are reprinted from the F.B.I. Law Enforcement Bulletin and the Uni form Crime Reports in B edau 130. 45 See note 53 infra. 49 court discretion in capital sentencing.46 The discretion given by these statutes is wholly arbitrary, as we shall see in Part III, infra, of this brief. And the evidence is over whelming that the discretion has been used arbitrarily.47 Whatever acceptability the death penalty may have today, then, appears to be purchased by both legal and practical concessions to arbitrariness. (6) We have already sketched, at pp. 38-40 supra, the general reasons why we believe that a legislated penalty cannot survive Eighth Amendment scrutiny if its accept ability to public conscience rests on such concessions. We shall develop the point further below, with specific refer ence to the death penalty, after we state here the reasons for our assertion that the penalty is in fact arbitrarily ap plied. The very rarity of death sentences and executions, cer tainly, gives rise to a strong inference of arbitrariness, since it is virtually impossible to conceive non-arbitrary standards by which the very few men chosen to die in America should have been singled out from the enormous class of their death-eligible peers. That inference is height ened by the fact that the selective judgments made at the three most critical stages of a capital proceeding—the prose cutor’s decision whether to seek the death penalty, the jury’s decision whether to impose it, and the governor’s 46 There are very few crimes in the United States today which carry a mandatory death penalty, and those few are for the most part of the obscure sort under which no one is ever charged (trea son, in several States; perjury in a capital case, etc.) See B edatt 48-52. And see Hartung, Trends in the Use of Capital Punishment, 284 A nnals 8 (1952); Knowlton, Problems of Jury Discretion in Capital Cases, 101 U. P a. L. R ev. 1099 (1953). Outside the United States, also, mandatory capital punishment is rapidly being re placed by grants of discretion. United N ations 13, 82, 87. 47 See the succeeding paragraph. 50 decision whether to commute it—are all made without the slightest pretense of standards or guidelines. Indeed, the entire course of a capital proceeding is attended by proce dures, common to virtually all American jurisdictions, that tend to make its rational disposition incomparably difficult. See note 6 supra. The result is what one might suspect. “Of all the uncertain manifestations of justice, capi tal punishment is the most inequitable. It is primarily carried out against the destitute, forlorn and forgotten. . . . Members of racial and cultural minority groups suffer most. The hundreds of extraneous factors, in cluding geography, that decide whether a convicted man will actually live or die, makes capital punishment a ghastly, brainless lottery.” (West, p. 2.) One may identify several dimensions of arbitrariness here. First, there is the simple matter of fluke—of baseless, ran dom choice in the matter of life or death. “A small and capricious selection of offenders have been put to death. Most persons convicted of the same crimes have been imprisoned. Experienced wardens know many prisoners serving life or less whose crimes were equally, or more atrocious, than those of men on death row.” (Statement by Attorney General Ramsey Clark, Before the Subcommittee on Criminal Laws and Procedures of the Senate Judiciary Committee, on S. 1760, To Abolish the Death Penalty, July 2, 1968, De partment of Justice Release, p. 2.) Accord: L aw es, T w e n t y T ho u sa n d Y ears in S in g S in g (1932) 302, 307-310; D u f f y & H irsh berg , 88 M e n and 2 51 W o m en (1962) 254-255; Testimony of Clinton T. Duffy, in Hearings, vol. 1, p p . 44-44A.48 And see B edau 410-411. Second, “the death penalty . . . almost always hits the little man, who is not only poor in material possessions but in background, education, and mental capacity as well. Father Daniel McAlister, former Catholic chaplain at San Quentin, points out that The death penalty seems to be meant for the poor, uneducated, and legally impotent of fender.” D u eey & H ib sh b er g , op. cit. supra, 256-257. See the testimony of former Governor Michael Di Salle, in Hearings, vol. 1, pp. 14-16; see also note 8, supra. Third, there is persuasive evidence of racial discrimina tion in the selection of the men who will die. This is gen erally difficult or impossible to prove in judicially cognizable ways. But it is strongly suggested by the National Prisoner Statistics;49 it has been borne out in a number of discrete 48 “I have often said, and I repeat here, that I can take you into San Quentin Prison or to Sing Sing, Leavenworth or Atlanta Pri sons and I can pick out many prisoners in each institution serving life sentences or less, and can prove that their crimes were just as atrocious, and sometimes more so, than most of those men on the row.” 49 The following are the total number of persons executed between 1930 and 1967 (3,859), broken down by offense and race, as they appear in NPS (1968), p. 7: Murder Eape Other Total White 1664 (49.9%) 48 (10.6%) 39 (55.7%) 1751 (45.4%) Negro 1630 (48.9%) 405 (89.0%) 31 (44.3%) 2066 (53.1%) Other 40 ( 1.2%) 2 ( 0.4%) 0 ( 0.0%) 42 ( 1.1%) Total 3334 (100%) 455 (100%) 70 (100%) 3859 (100%) Between 1930 and 1967, there were 25 executions in the United States for robbery-like crimes. The federal government executed two white men; Kentucky executed three; and Oklahoma, one. Nineteen Negroes were executed for these crimes: six in Georgia; 52 and limited, but carefully done studies ;60 and it has seemed apparent to responsible commissions and individuals study ing the administration of the death penalty in this country.61 In 1965, amicus Legal Defense Fund determined to make a more refined and systematic study of the question of racial discrimination in capital sentencing than had there tofore been attempted. It requested Dr. Marvin E. Wolf gang, Chairman of the Department of Sociology at the University of Pennsylvania, one of the country’s most emi nent criminologists, to conduct an investigation of the in fluence of race upon sentencing for the crime of rape in those States where rape is punishable by death. Dr. Wolf- five in Alabama; three in Mississippi; three in Texas, and two in Kentucky. Id., pp. 10-11. The following is the breakdown of the 435 men reported under sentence of death in the country as of December 31, 1967 (id., pp. 22-23) : White Negro Other Total Nine northeastern States 29 33 0 62 Twelve north-central States 31 24 0 55 Thirteen western States 68 21 2 91 Sixteen southern States 66 159 0 225 Federal 1 1 0 2 Total 195 238 2 435 50 Johnson, The Negro and Crime, 271 A nnals 93 (1941); Gar- finkel. Research Note on Inter- and Intra-Racial Homicides, 26 Social F orces 369 (1949); Johnson, Selective Factors in Capital Punishment, 36 Social F orces 165 (1957); Wolfgang, Kelly & Nolde, Comparison of the Executed and the Commuted Among Ad missions to Death Row, 53 J. Grim . L., Crim . & P ol. Sci. 301 (1962) ; Bedau, Death Sentences in New Jersey 1907-1960, 19 R utgers L. R ev. 1, 18-21, 52-53 (1964). 61 P resident’s Commission on L aw E nforcement and Admin istration of J ustice, Report (T h e Challenge of Crime in a F ree Society) (1967) 143; P ennsylvania, J oint Legislative Committee on Capital P unishm ent , Report (1961) 14-15• U nited Nations 32, 98; Bedau 411-413 ; Mattick 5, 17; Hartung, Trends in the Use of Capital Punishment, 284 A nnals 8, 14-17 (1952); Bedau, A Social Philosopher Looks at the Death Penalty, 123 A m . J. P sychiatry 1361, 1362 (1967). 53 gang’s research covered eleven States during a period of twenty years, 1945-1965. His findings with respect to the State of Arkansas are presently before this Court in the Petition for Certiorari, in Maxwell v. Bishop, O.T. 1968, No. 622. To summarize them, I)r. Wolfgang found a twenty- year pattern of racially differential sentencing pursuant to which Negro defendants convicted of rape—and par ticularly Negro defendants convicted of the rape of white complainants—were disproportionately frequently sen tenced to die. Exhaustive efforts to explain the sentencing differentials on other grounds than race failed; Dr. Wolf gang concluded that, in Arkansas, Negroes had been dis- criminatorily sentenced to death for rape on account of race. Dr. Wolfgang’s findings for the other States he studied are neither of record here nor in judicially noticeable form, so we pretermit discussion of them. Based upon his testimony relating to Arkansas, the Court of Appeals for the Eighth Circuit admitted that there were “recognizable indicators” that “the death penalty for rape may have been discriminatorily applied over the decades, in that large area of states whose statutes provide for it,” Max well v. Bishop, 398 F.2d 138, 148 (1968). The study pro vides grounds for “suspicion . . . with respect to southern interracial rape trials as a group over a long period of time.” Id., at 147. These conclusions are sufficient for our present purposes. (7) Of course, what is true for Arkansas or for the South as a whole may not be true for Alabama, and what is true for rape may not be true for robbery. The execu tion figures do show a remarkable similarity in the racial breakdown of men put to death in sixteen southern States as a group and in Arkansas and Alabama, and for rape and for robbery: 54 Executions in the South, 1930-196752 Rape Robbery Murder Other Total Sixteen Southern W hite Negro W hite Negro W hite Negro W hite Negro W hite Negro States 43 398 4 19 585 1,231 5 11 637 1,659 Alabama 2 20 0 5 26 80 0 2 28 107 Arkansas 2 17 0 0 25 73 0 0 27 90 Also, the procedure by which the life-death sentencing choice is principally made, unfettered jury discretion, is the same throughout the South and in Arkansas and Ala bama, for both rape and robbery. From these circum stances, one might infer that if the opportunity it gives for racial discrimination is being seized upon in rape cases throughout the South, it is also seized upon in robbery cases in Alabama. But we are quick to admit that this is inference; and that in Boykin’s case, unlike the case of a Southern Negro sentenced to die for rape, strict scientific proof of racial discrimination is hard to come by. The reason for this is not that there is no discrimination, but that—as the figures in the chart above reveal—the total number of persons sentenced to death for robbery in any State (or even in all the States) is likely too small for reliable statistical analysis. Obviously, a State can discriminate racially and not get caught at it if it kills men only sporadically, not too often. By being arbitrary in selecting the victims of discrimination, a State can get away with both arbitrariness and discrimination. Or, to put the matter another way, if a State invokes a par ticular penalty sufficiently rarely so that no regular pat tern of its use develops, the State must be acting arbi trarily; it may be acting discriminatorily; it likely will be 62 NPS (1968), pp. 10-11. 55 acting in a fashion such that the penalty falls most harshly on the poor and disadvantaged; but it surely will be acting in a way that escapes the safeguards of the Constitution, unless the Eighth Amendment forbids. Equal Protection and Due Process provide no judicially usable devices to protect the individual from the arbitrariness of the freak ishly rare, harsh penalty. This is all the more reason, we believe, for application of the constitutional guarantee against cruel and unusual punishments. (8) But there are other consequences, as well, of the freakishly rare use of a harsh criminal penalty. We have pointed out above that such use escapes not only meaning ful control under the constitutional guarantees of Equal Protection and Due Process; it escapes also the fair scrutiny of public conscience, with its attendant pressure to keep the legislature acting decently. A public can easily bear the rare, random occurrence of a punishment which, if applied regularly, would make the common gorge rise. It seems to us that this is just the kind of penalty at which a prohibition of cruel and unusual punishments must aim. The unusual character of the death penalty for robbery permits public and political acceptance of its cruelty, but, for that very reason, requires judicial condemnation under the Eighth Amendment. Rare and arbitrary usage which evades the public conscience politically demands the super vision by the public conscience, speaking through the courts, which the Eighth Amendment promises. This is the more true because, we think, rare and arbitrary usage, itself affronts “the dignity of man,” Troy v. Dulles, supra, and those cherished principles of fair and regular, non- arbitrary treatment of the citizen which the Eighth Amend ment, no less than the Fourteenth, supposes. 56 The coupling of “cruel” with “unusual” punishments is no logical accident within the Amendment. When harsh penalties are used unusually, they inevitably become ar bitrary; and arbitrary use of harsh punishments is cruel. What would this Court say, under the Eighth Amendment, of an Alabama statute that condemned convicted robbers to play Russian roulette with a thousand-chambered re volver, or to draw long straws for electrocution, one in every thousand to die? In actuality, of course, this is precisely what Alabama has done, and Edward Boykin has drawn the long straw. (9) It is also important, we think, that the rare, un usual, arbitrary use of a harsh penalty operates to deprive it of any functional place in the rational scheme of a state’s penal law. Punishment used in this manner ceases to be an instrument of public justice or of reasoned penal policy, and hence it ceases to have any claim to legitimacy that might be set off against the commands of the Eighth Amendment. As it is, capital punishment generally can be shown to have no particular efficacy, in achieving the legitimate aims of criminal law, that less harsh penalties do not have.63 If it has any such efficacy with regard to 63 The legitimate aims of the criminal law are (1) moral rein- foreeement or reprobation, (2) isolation, reformation, rehabilita tion of the offender, and (3) deterrence. “Modern penological thought discounts retribution in the sense of vengeance.” R oyal Commission 17. Accord: Williams v. New York, 337 U.S. 241, 248 (1949); Morrissette v. United States, 342 U.S. 246, 251 (1952) ; People v. Lone, 53 Cal.2d 843, 856-857 n.3, 350 P.2d 705, 713 n.3 (1960) ; People v. Oliver, 1 N.Y.2d 152, ----- , 151 N.Y.S.2d 367, 373, 134 N.E.2d 197, 201-202 (1956). So also must the Eighth Amendment discount retribution in the sense of vengeance; for the propriety of vengeance, if recognized, would authorize all cruel and unusual punishments. (1) Moral reinforcement or reprobation doubtless requires that the most serious crimes be punished most seriously. But, obviously, 57 the crime of simple robbery, Alabama alone among the “Grading punishments according to the severity of the crime does not require that the upper limit of severity be the death penalty.” B edau 268. The reprobation function, therefore, hardly needs or warrants capital punishment. See Aneel, The Problem of the Death Penalty, in Sellin , Capital P unishm ent (1967) 3 ,16-17,19. (2) “ [R] eformation . . . can have no application where the death penalty is exacted.” R oyal Commission 18. As for isola tion, the evidence is clear and overwhelming that, for no class of criminals, is death required to render them socially safe. Lesser alternatives are ample. Sellin (1959) 69-79; K oestler 144-152; Bedau 395-405; Bedau, Death Sentences in New Jersey 1907-1960, 19 Rutgers L. Rev. 1, 47 (1964). This, notably, is the dimension in which Twentieth Century society differs radically from the society of two hundred or even a hundred years ago. In earlier times, imprisonment was not a safe, humane or economically feasible alternative to capital pun ishment. See 1 R adzinowicz, A H istory op E nglish Criminal L aw and I ts A dministration F rom 1750 (1948) 31-33; Bedau, The Courts, The Constitution, and Capital Punishment, 1968 Utah L. Rev. 201, 232 (1968). Today it is. The conclusion has been drawn by the Attorney General in these words: “There was a time when self-preservation necessitated [the] . . . imposition [of the death penalty]. Later inordinate sacrifices by the innocent would have been required to isolate dangerous persons from the public. Our civilization has no such excuse.” Statement by Attor ney General Ramsey Clark, Before the Subcommittee on Criminal Laws and Procedures of the Senate Judiciary Committee, on S. 1760, To Abolish the Death Penalty, July 2, 1968, Department of Justice Release, p. 2. (3) As for deterrence, there is simply no evidence—despite the most exhaustive inquiry into the subject—that the death penalty is a superior deterrent to lesser punishments. See Sellin (1959) 19-63; Sellin , Capital P unishm ent (1967) 135-186, 244-253; Mattick 8-28; K oestler 48-61,171-178; Calvert, Capital P u nish ment in the Tw entieth Century (3d ed. 1928) 51-90; B edau 214, 258-343; Bedau, A Social Philosopher Looks at the Death Penalty, 123 Am. J. P sychiatry 1361, 1362 (1967); Hook, The Death Sentence, in B edau 146, 147-148, 151. A few law enforce ment officials and others who support the death penalty sometimes appear to argue that this proposition is factually debatable. It is not, as more candid proponents of capital punishment admit. “It is generally agreed between the retentionists and abolitionists, what ever their opinions about the value of comparative studies of de terrence, that the data which now exist show no correlation be- 58 States has perceived this virtue.64 But we may put aside tweeiy the existence of capital punishment and lower rates of capi tal crime.” United Nations 123. Every serious inquiry into the death penalty has accepted this conclusion. United Nations 55- 58, 115-119; R oyal Commission 18-24, 58-59, 328-380; P resident’s Commission on Law E nforcement and A dministration of J us tice, Report (T h e Challenge of Crime in a F ree Society) (1967) 143; New York State, Temporary Commission on Revi sion of th e P enal L aw and Criminal Code, Special Report on Capital P unishm ent (1965) 2; P ennsylvania J oint Legislative Committee on Capital P unishm ent , R eport (1961) 9, 20-29; F avreau 36-37; and see the debates collected in Sellin , Capital P unishm ent (1967) 55-104, and in F avreau, passim. Significantly, wherever serious official inquiries have found some support for the thesis that capital punishment may have greater deterrent efficacy _ than imprisonment, that support has been found in the impressionistic opinions of police, prosecutors and other law enforcement officials, unsustained by objective evidence. See Can ada, J oint Committee of the Senate and H ouse of Commons on Capital P unishm ent , Report (1956) paras. 29-33, 43-52; New J ersey, Commission to Study Capital P unishm ent , R eport (1964) 8-10; F avreau 4, 23. The Royal Commission also gave some weight to such impressionistic opinions, while explicitly rec ognizing that there was no objective evidence behind them. R oyal Commission 18-24. Interestingly, corrections personnel appear very preponderately to believe that capital punishment has no particu lar deterrent efficacy. D uffy & H irschberg, 88 Men and 2 W omen (1962) 257; Testimony of Clinton T. Duffy, in Hearings, vol. 1, pp. 42-45; Thomas, Attitudes of Wardens Toward the Heath Penalty, in B edau 242. 64 There are nine States which presently provide the death pen alty as the maximum punishment for some form of robbery. Only Alabama provides death as the maximum punishment for simple robbery. Ala. Code, tit. 14, §415 (1959). The other eight States utilize capital punishment for forms of aggravated robbery. Ga. Code Ann. §26-2502 (Supp. 1967) (by force or with offensive weapon); Ky. Rev. Stat. Ann. §433.140 (Supp. 1966) (armed); Miss. Code Ann. §2367 (1957) (with deadly weapon); Mo. Ann. Stat. §§560.120, 560.135 (1953) (with deadly weapon); Okla. Stat. Ann. tit. 21, §801 (1958) (with dangerous weapon); Tenn. Code Ann. 39-3901 (Supp. 1968) (with deadly weapon); Tex. Pen. Code art. 1408 (1948) (with deadly weapon); Ya. Code Ann §18.1-91 (1960) (by force or with deadly weapon); see also §18.1-90 (armed bank robbery). As a result of a revision of its penal code this year, Georgia will cease to punish aggravated 59 the broader question whether—if regularly, fairly, even- handedly and non-arbitrarily applied—capital punishment robbery with the death penalty as of July 1, 1969. Ga. Code Ann. §26-1901 (1968). (Perhaps it should be noted, for the sake of completeness, that Kentucky makes capital the offense of assault with intent to rob while armed with a deadly weapon, Ky. Rev. Stat. §433.150 (Supp. 1966); while in several other states, train robbery is capital, see Bed ait 44.) There are sixteen states which punish simple robbery with a maximum term of ten years or less. Conn. Gen. Stat. Ann. §53-67 (1960) ; Iowa Code Ann. §711.3 (1950) ■ Kan. Gen. Stat. Ann. §§21-528, -529 (1964) ; Ky. Rev. Stat. §433.120 (1962) ; La. Rev. Stat., tit. 14, §65 (1951) ; Md. Ann. Code, art. 27, §486 (1957); Minn. Stat. Ann. §609.24 (1964); N.M. Gen. Stat. §§40A-16-2, 40A-29-3; N.Y. Pen. Law §§160.05, 70.00 (1967); N.C. Gen. Stat. §14-2 (1953) (see State v. Stewart, 255 N.C. 571, 122 S.E.2J 355 (1961) ); Okla. Stat. Ann., tit. 21, §§797, 799 (1958); Pa. Stat. Ann., tit. 18, §4704 (1963); S.C. Code Ann. §§16-11, 17-552 (1962) (see Dukes v. State, 248 S.C. 227, 149 S.E.2d 598 (1966); Vt. Stat. Ann., tit. 13, §603 (1958); Ya. Code Ann. §18.1-91 (1960) ; Wis. Stat. Ann. §943.32 (1958). There are fourteen states and three federal territories which pro vide a maximum term of between ten and twenty years for simple robbery. Alaska Stat. §11.15.240 (1962); C.Z. Code, tit. 6, §2361 (1963) ; Colo. Rev. Stat. Ann. §40-5-1 (Supp. 1967); D.C. Code Ann. §22-2901 (1967) ; Ga. Code Ann. §26-2502 (Supp. 1967) (also Ga. Code Ann. §26-1901 (1968)); Hawaii Rev. Laws §§306- 8-11 (1955); 111. Ann. Stat., ch. 38, §18-1 (Smith-Hurd 1964); Mich. Comp. Laws Ann. §750.529 (1968) ; Miss. Code Ann. §2364 (1957); Nev. Rev. Stat. §200.380 (1967); N.J. Rev. Stat. §2A-.141-1 (1937); Ore. Rev. Stat. §163.290 (1967) ; P.R. Laws Ann., tit. 33, §§851, 853 (1956); S.D. Code §§13.2601-03 (1939) Tenn. Code Ann. §39-3901 (Supp. 1968); W. Va. Code Ann. §61-2-12 (1966); Wyo. Stat. Ann. §6-65 (1959). There are six states which punish simple robbery with a maxi mum term of more than twenty years. Ark. Stat. Ann. §41-3602 (1964) ; Del. Code Ann., tit. 11, §811 (1953); Ind. Ann. Stat. §10-4101 (1956); Neb. Rev. Stat. §28-414 (1943); N.H. Rev. Stat. Ann. §585:18 (1955); Ohio Rev. Code Ann. §2901.12 (1954). There are also thirteen states which provide a maximum pen alty of life imprisonment for simple robbery. Ariz. Rev. Stat. Ann. §13-643 (Supp. 1967); Cal. Pen. Code §§211a, 213 (West 1955); Fla. Stat. §813.011 (1965); Idaho Code Ann. §18-6503 (1949); Me. Rev. Stat. Ann., tit. 17, §3401 (1964) (any term of years); 60 for robbery would serve some valid function that tbe State of Alabama is constitutionally free to pursue. Used as Mass. Gen. Laws Ann., ch. 265, §19 (1959); Mo. Ann. Stat. §560.135 (1953); Mont. Rev. Code Ann. §94-4303 (1949); N.D. Cent. Code §§12-31-07 to -09 (1960); R.I. Gen. Laws Ann. §11-39-1 (1956); Texas Pen. Code, art. 1408 (1948); Utah Code Ann. §§76-51-1-2 (1953); Wash. Rev. Code Ann. §9.75.010 (1961). There are twenty-seven States which punish aggravated robbery with higher maximum penalties than they do simple robbery. As noted above, eight States provide the death penalty as the maxi mum punishment for aggravated robbery. Of the remaining twenty-one States, eight punish aggravated robbery with a maxi mum punishment of life imprisonment. Colo. Rev. Stat. Ann §40- 5-1 (Supp. 1967) (armed with intent, if resisted, to kill or injure; wounds or threatens injury with weapon; with armed confederate; robbery of bus driver); Hawaii Rev. Laws §§ 306-8-11 (1955) (armed with intent to kill or wound, if resisted; or does wound, strike, or severely injure); 111. Ann. Stat., ch. 38, §18-2 (Smith- Hurd 1964) (armed); Ind. Ann. Stat. §10-4101 (1956) (with in ju ry ) ; La. Rev. Stat., tit. 14, §64 (Supp. 1967) (armed: 1-99 years) ; Mich. Comp. Laws Ann. §750.529 (1968) (armed; aggra vated assault; serious injury); Ore. Rev. Stat. §163.280 (1967) (armed) ; W. Va. Code Ann. §61-2-12 (1966) (by strangulation, beating, or violence to person; by threat of deadly weapon). The remaining twelve states provide for maximum punishments for aggravated robbery of terms from twenty to fifty years. Iowa Code Ann. §711.2 (1950) (25 years: armed with intent to maim if resisted or confederate so armed; strikes victim); Kan. Gen Stat. Ann. §21-527 (1964) (21 years maximum: by violence or fear of immediate in jury); Md. Ann. Code, art. 27, §488 (1957) (20 years maximum: armed); Minn. Stat. Ann. §609.245 (1964) (20 years maximum: armed; injures victim); N.M. Gen. Stat. §§40A-16-2, 40A-29-3 (50 years maximum: armed); N.Y. Pen. Law §§160.15, 70.00 (1967) (25 years maximum: serious injury; armed; uses or threatens with weapon); N.C. Gen. Stat. §14-87 (1953) (30 years maximum: armed); Pa. Stat. Ann., tit. 18, §4705 (20 years maximum: armed or with accomplice; by violence); S.C. Code Ann. §16-333 (Supp. 1967) (25 years maximum: armed with deadly weapon); Yt. Stat. Ann., tit. 13, §603 (20 years maximum: with armed assault) ; Wise. Stat. Ann. §943.32 (1958) (30 years maximum: armed with dangerous weapon); Wyo. Stat. Ann. §6-66 (1959) (50 years maximum: with deadly weapon). The. status of capital punishment generally in the United States is described in Appendix A to this brief. See also B edau 39-52; 61 Alabama has used it—irregularly, unfairly, unevenly and arbitrarily—to execute five men in thirty-nine years, capi tal punishment for robbery palpably has no such valid function,65 (10) We must conclude, then, that the death penalty for robbery imposed by Alabama upon Edward Boykin is no part of the regular criminal-law machinery of the State. It is a freakish aberration, a rare, extreme act of violence, visibly arbitrary, probably racially discriminatory—a pen alty reserved for wholly arbitrary application because, if it were regularly used against robbers, it would affront universally shared standards of public decency. Such a penalty—not Law, but Terror-—is the instrument of totali tarian government. It is a cruel and unusual punishment, forbidden by the Eighth Amendment. NFS (1968), p p . 30-32; 108 C o n g . R e c . 3300-3305, 87th C o n g ., 2d Sess. (March 1, 1962). It appears that, outside of the United States also, capital pun ishment for robbery is seldom legally available. In 128 nations surveyed, Patrick found that 18 had laws punishing some form of robbery (usually an aggravated form) capitally. Patrick 398- 404, 409. This is a somewhat larger number than reported in United Nations 41. 66 This is a characteristic of cruel and unusual punishments. “ [WJhenever social progress outpaces the Law, so that its penal ties appear disproportionately severe to the public conscience, juries become reluctant to convict [or to impose the penalty], and reprieves, instead of being an exceptional act of mercy, become virtually the rule, so that only a small proportion of the sentences are actually carried out and the threat accordingly loses its deter rent effect.” K oestler 36. See Bedau 31, 33, 270; Mattick 16. 62 III. The Alabama Procedure Under Which Boykin Was Sentenced to Die in the Unregulated, Lawless Discre tion of the Jury Violates the Rule of Law Basic to Due Process. We noted in Part II of this brief that the principal legal device by which Alabama (like most States) permits the arbitrary administration of capital punishment is un restricted jury discretion. Our present submission attacks the constitutionality of the device. The discretion given Alabama jurors to sentence men whom they convict of robbery to live or die is absolute. I t is totally unguided, unprincipled, unconstrained, uncontrolled, and unreview- able. We invite the Court’s attention, once again, to the fashion in which the decision to take Edward Boykin’s life was submitted to the jury. Pp. 13-14, supra. The trial judge simply gave the jurors two forms—a form for life and a form for death—and told them: “You can use either one form or the other when you arrive at your verdict.” App. 32. We think there can be no doubt about the unconstitu tionality of such a procedure. We have made the argument to the Court before,66 and we urge it again here. Just last month, it was rejected by the Supreme Court of Cali fornia by a four-to-three vote. The California opinions are attached as Appendix B hereto. With deference, we submit that Justice Tobriner’s dissenting opinion, in which Chief Justice Traynor and Justice Peters concur, states the law of the Fourteenth Amendment. It does so with uncomparable lucidity, and we hope that it will be read by this Court. 66 See the documents cited in note 7, para. (2), supra. 63 The issues to which it speaks could not be more impor tant or more fundamental. For, whatever else “due process of law” may encompass, it has always been thought to impose some demand of fundamental procedural regularity in decision-making, some insistence upon the rule of law, some adherence to the principle established by Magna Carta that the life and liberty of the subject should not be taken but by the law of the land. This Court has long condemned the sort of vagueness in criminal statutes that “licenses the jury to create its own standard in each case,” Herndon v. Lowry, 301 U.S. 242, 263 (1937). See e.g., Smith v. Cahoon, 283 TJ.S. 552 (1931); Cline v. Frink Dairy Co., 247 U.S. 445 (1927); Connally v. General Con struction Co., 269 U.S. 385 (1926); Winters v. New York, 333 U.S. 507 (1948). The vice of such statutes is not alone their failure to give fair warning of prohibited con duct, but the breadth of room they leave for jury arbitrari ness and the influence of impermissible considerations, N.A.A.C.P. v. Button, 371 U.S. 415, 432-433 (1963); Freed man v. Maryland, 380 U.S. 51, 56 (1965); Lewis, The Sit-In Cases: Great Expectations, 1963 S u p r e m e C ourt R ev iew 101, 110; Note, 109 U. Pa. L. Rev. 67, 90 (1960), including racial considerations, see Louisiana v. United States, 380 U.S. 145 (1965); Dombrowski v. Pfister, 380 U.S. 479 (1965); Cox v. Louisiana, 379 U.S. 536 (1965), and every other insidious urging of caprice or prejudice. Under these decisions, it could scarcely be contended that an Alabama statute would be valid which provided: “who ever is found condemnable in the discretion of a jury shall be guilty of an offense.” Yet we submit that this supposi tious statute stands no differently in light of the concerns of the Due Process Clause than the unregulated sentencing practice under which petitioner was condemned to die. The statute, it is true, deals with crime, and Alabama’s sentenc- 64 ing practice with punishment. But a practice that jeop ardizes the integrity and reliability of the sentencing process is as unconstitutionl as one that similarly affects the guilt-determining process. Witherspoon v. Illinois, 391 TT.S. 510 (1968); Mempa v. Rhay, 389 U.S. 128 (1967); McConnell v. Rhay and Stiltner v. Rhay, 37 U.S. L. Week 3131 (U.S., Oct. 14, 1968). In Witherspoon, 391 U.S. at 521 n. 20, this Court noted that while sentencing choice— and, in particular, the choice of life or death may be: “different in kind from a finding that the defendant com mitted a specified criminal offense, . . . this does not mean that basic requirements of procedural fairness can be ignored simply because the determination in volved in this case differs in some respects from the traditional assessment of whether the defendant en gaged in a proscribed course of conduct.” Traditionally, of course, it may have been thought that “fair notice” questions were raised by regulations defining offenses but not by those prescribing punishment. Yet, is it not apparent that the vice of the “whoever-is-found-con- demnable” statute has little to do with notice? The statute is bad not because a man does not know how to behave con sistently with it, but because, however he behaves, he may he arbitrarily and capriciously taken by the heels. The precise vice inheres in unregulated jury discretion to sentence a convicted robber to life or death. He too may be dealt with arbitrarily, his life extinguished for any reason or none. Surely he is, at the same time, under Alabama’s single ver dict practice, found guilty of a defined crime. That con viction, however, cannot constitutionally be given the effect of stripping him of every civil right, including the funda mental right to due process of law. E.g., Specht v. Patter son, 386 U.S. 605 (1967). 65 Giaccio v. Pennsylvania, 382 U.S. 399 (1966), supports, if it does not compel, the conclusion that unfettered jury dis cretion in capital sentencing is unconstitutional. What was at issue there, as here, was a state practice governing dis position. No “fair notice” problem was involved—except, of course, the problem, noted by the Court, that it was im possible for defense counsel at trial to know what issues he was trying, as it is in a capital case tried to a jury having limitless sentencing power.57 That decision turned squarely on the proposition that the Fourteenth Amendment forbade Pennsylvania to leave its “jurors free to decide, without any legally fixed standards,” 382 U.S. at 402-403, whether to impose upon a defendant a rather small item of costs.68 It is not evident why, in the infinitely more significant mat ter of sentencing men to death, Alabama juries can be per mitted the same lawless and standardless freedom. Nor does footnote 8 in the Giaccio opinion blunt the implications of the Giaccio holding for our present pur poses. In that footnote, a majority of this Court noted that it intended to cast no doubt on the constitutionality of leaving to juries finding defendants guilty of a crime the power to fix punishment “within legally prescribed limits.” The precise problem in this case is that there were no “legally prescribed limits,” in any realistic sense, to 57 The Court noted specifically that the problem of fair notice was only one of the problems with vague, standardless laws: “It is established that a law fails to meet the requirements of the Due Process Clause if it is so vague and standardless that it leaves the public uncertain as to the conduct it prohibits or leaves judges and jurors free to decide, without any legally fixed standards, what is prohibited and what is not in each particular case.” (382 U.S. at 402-403; emphasis added.) 68 No First Amendment or other federal rights demanding the special protection afforded by a heightened requirement of statu tory specificity, see United States v. National Dairy Prods. Corp., 372 U.S. 29, 36 (1963), were involved in Giaccio. 66 the jury’s discretion. Further, that footnote speaks to jury sentencing generally, not capital sentencing. “It should be understood that much more is involved here than a simple determination of sentence. The State . . . empowered the jury in this case to answer ‘yes’ or ‘no’ to the question whether this defendant was fit to live.” (Witherspoon v. Illinois, 391 U.S. 510, 521 n. 20 (1968).) Given the imprecision of the sentencing art, even when per formed by judges, see Tigner v. Texas, 310 U.S. 141, 148- 149 (1940), it may well be that juries can constitutionally be given some discretion in selecting a smaller or larger fine, a longer or shorter term of years, particularly where the range of choice is relatively circumscribed and the effect of the choice somewhat qualified by parole statutes and the continuing availability of post-conviction process to rectify after-discovered mistakes made at the trial. But the degree of arbitrariness allowed a State is not so liberal where grave and irremediable punitive exactions are at stake, see Skinner v. Oklahoma, 316 U.S. 535 (1942); and none is graver or more irremediable than the sentence of death by electrocution. Nor did the Court in Giaccio have before it what has been presented here: evidence that in fact the sentencing dis cretion given juries has been exercised arbitrarily. See Part II, supra, of this brief. We do not hesitate to con tend that the arbitrary and standardless discretion afforded Alabama juries constituted per se a deprivation of Boykin’s constitutional rights. But evidence that abuse has in fact occurred in its administration—that only five men, all Negro, have been sent to death for robbery in the past thirty-eight years in this State—has considerable bearing on the issue whether a practice challenged on the grounds 67 of lawlessness tending to abuse is susceptible to that chal lenge, e.g., YicJc Wo v. Hopkins, 118 TLS. 356 (1886); Niemotko v. Maryland, 340 U.S. 268 (1951); Hague v. C.I.O., 307 U.S. 496 (1939); Louisiana v. United States, 380 U.S. 145 (1965). We do not contend here that the Due Process Clause forbids entirely the exercise of discretion in sentencing— even by a jury and even in a capital case. Ways may be found to delimit and guide discretion, narrow its scope, and subject it to review; and these may bring a grant of discretion within constitutionally tolerable limits. Whether the approach taken by a State such as Nevada, which makes certain reviewable findings of fact the indispensable condition of imposing capital punishment (see Nev. Eev. Stat. §200.363 (1967)); or the approach of California, which has adumbrated by judicial decision at least some of the impermissible considerations against which jurors are to be cautioned (see People v. Love, 53 Cal.2d 843, 350 P.2d 705 (I960)); or that of the Model Penal Code, which both establishes prerequisite findings and enumerates ag gravating and mitigating circumstances (see A m erican L aw I n st it u t e , M odel P e n a l C ode, §210.6 (P.O.D. May 4, 1962), pp. 128-132); or that of the numerous States which provide plenary review of capital jury sentencing by trial and/or appellate courts, would be constitutional, is not the question presented. Concededly, the goals of sentencing are complex and in designing devices for achieving them the States must have some tolerance. But as the issue of petitioner’s sentence was submitted to the jury in its sole discretion under Alabama procedure, the attention of the jurors was directed to none of the purposes of criminal punishment, nor to any pertinent as pect or aspects of the defendant’s conduct. They were not 68 invited to consider the extent of harm to the robbery victims, the moral heinousness of the defendant’s acts, his susceptibility or lack of susceptibility to reformation, the extent of the deterrent effect of killing the defendant “pour decourager les autres.” Cf. Packer, Making the Punishment Fit the Crime, 77 Harv. L. Eev. 1071 (1964). They were permitted to choose between life and death upon conviction for any reason, rational or irrational, or for no reason at all; at a whim, a vague caprice, or because of the color of Boykin’s skin. In making the determination to impose the death sentence, they acted wilfully and unre- viewably, without standards and without direction. Noth ing assured that there would be the slightest thread of con nection between the sentence they exacted and any rea sonable justification for exacting it. Cf. Skinner v. Okla homa, supra. To concede the complexity and interrelation of sentencing goals, see Packer, supra, is no reason to sus tain a procedure which ignores them all. It is futile to put forward justification for a death so inflicted; there is no assurance that the infliction responds to the justification or will conform to it in operation. Inevitably, under such a sentencing regime, capital punishment in those few, ar bitrarily selected cases where it is applied, is both un justifiable and lawless, and, as shown by Alabama’s record, pp. 53-54, supra, conventionally imposed only on the mem bers of minority groups. We submit that its imposition in the unfettered discre tion of a jury violates the rule of law that is fundamental to Due Process. 69 IV. Issues Not Presented Before closing this brief, we think it is imperative to notice explicitly several issues which, in our judgment, the Court is not now called upon to decide. We venture with the utmost deference to identify these issues because of their extreme importance to the many condemned men whom we represent. Numerous of these men have stays of execution granted upon post-conviction petitions raising the issues. If, as we submit, none of the issues is presented in this Boykin case, we know that the Court would not want inadvertently to prejudice their subsequent presentation. Because of the nature of the issues and their relation to those briefed herein, there is some danger of this if we are negligent in failing to bring to the Court’s attention pre cisely what these issues are. First, the Court is not now called upon to determine whether the death penalty is cruel and unusual punishment for the crime of murder. Most of the men on death row today are there for murder, and they are presenting to a number of courts varying contentions attacking their death sentences under the Eighth Amendment. Some of these contentions stress the physical and psychological cruelties of execution, or its indignities; others focus upon the for tuity and apparent purposelessness of its application ■ still others press the unnecessary severity of capital punish ment in view of the alternative means available to the state for achieving all of the legitimate ends of criminal sanctioning, either in particular cases or generally. We note that one of the very convincing points made by counsel for Boykin is that the death sentence for robbery is con stitutionally disproportionate. Our own Eighth Amend- 70 ment argument in support of Boykin takes a different ap proach. See part II, supra, of this brief. But, if the Court should see fit to adopt reasoning of proportionality in ap plying the Eighth Amendment to Boykin’s case, we earn estly hope that it will make clear what a proportionality rationale does not imply. Specifically, if the death penalty violates the Eighth Amendment because it is dispropor tionately severe for the crime of robbery, that does not imply that the death penalty is constitutionally acceptable for the crime of murder. This is so for at least two reasons. (1) Even were pro portionality theory the full measure of the Eighth Amend ment, this Court is not now in a position to determine whether the death penalty is proportioned to the crime of murder. The determination that it is disproportioned to robbery does not necessarily establish that it is propor tioned to murder; and there are some very good reasons to believe that it is not. A few reasons are suggested at pp. 33-35, supra, but they can hardly be adequately developed or considered in a case where the issue is not presented. (2) In any event, though proportionality be one command of the Eighth Amendment, it is surely not the sole com mand of the Eighth Amendment. Court-ordered maiming is arguably proportioned to the crime of mayhem, but we have no doubt that maiming would be held to violate the prohibition of cruel and unusual punishments. So, if the death penalty is unconstitutional when disproportioned, it is not thereby constitutional when proportioned. Other Eighth Amendment principles may yet condemn it. Second, and in the same vein, the Court is not now called upon to determine whether the death penalty might be shown to be a cruel and unusual punishment’ on other grounds than those urged here, and on another record; nor to determine the right of a condemned man to make 71 such a record. In this connection, we note that we have been seeking in various courts the opportunity for an evi dentiary hearing at which expert testimony relating to the actual physical and psychological effects of capital punish ment might be received, together with similar testimony relating to the validity of the several state interests usu ally asserted to justify the state-ordered executions which have these effects. The refusal of one court to allow us such a hearing is at issue in one pending petition for certio rari here. Forcella and Funicello v. New Jersey, O.T. 1968, No. 947 Misc. Whatever the disposition of that particular petition, we would hope that courts will not universally and perpetually decline to hear constitutionally relevant evidence. But no such evidence is contained in the remarkably spare Boykin record, and none was proffered by Boykin’s court-appointed counsel. We think it important that this be made clear, so that nothing in the Court’s deliberations here prejudices the right to offer evidence of the sort described, or pre judges the constitutional case which could be made by evi dence. Third, Boykin’s petition for certiorari presents as a dis tinct question (number 6 among the Questions Presented) a claim of racial discrimination in the application of the death penalty to Alabama Negroes. In Boykin’s brief, the claim and the evidence supporting it are put forward as part of his argument that the death penalty, in his case, is a cruel and unusual punishment. We agree that the appar ent racial discrimination in the selection of the few, other wise arbitrarily chosen men sentenced to die for robbery in Alabama and the handful of Southern States which retain capital punishment for this crime is highly relevant to the claim of cruel and unusual punishment, for reasons which We have developed in Part II, supra, of this brief. Racial 72 discrimination also appears to us germane to Boykin’s con tention that unfettered jury discretion in capital sentencing violates the rule of law fundamental to the Due Process Clause, as we have shown in Part III, supra. But these submissions—properly resting upon evidence of racially differencial sentencing less exact and scientific than that which would be proffered to support a claim of discrimination under the Equal Protection Clause—should not be confused with the latter claim. Judicially noticeable indications of pervasive racial discrimination in the admin istration of the death penalty throughout the United States abound (see pp. 51-53, supra), and are quite legitimately noticed as matters of “constitutional fact” going to the Eighth Amendment argument. They would not generally, and without more, suffice to prove an out-and-out Equal Protection violation by a particular State, under YicJc Wo v. Hopkins, 118 U.S. 356 (1886). Elaborate—and exceedingly expensive—scientific re search efforts may, however, result in proof which (to gether with the noticeable publications) amply carries the day under the Equal Protection Clause. Our Petition for Certiorari, in Maxwell v. Bishop, O.T. 1968, No. 622, sub mits that such a case was proved in Arkansas relating to capital sentencing for the crime of rape. A still more con vincing case might be made in Alabama with regard to cap ital rape sentencing. But that evidence is not in this rec ord. We have pointed out above that—apart from the fact that its procurement would have been beyond Boykin’s re sources—scientific analysis of racial patterns for capital robbery sentencing in Alabama would be virtually impos sible, by reason of the infinitesimally small number of per sons sentenced to death for robbery in that State (or any State) in recent years. This latter circumstance highlights the force of Boykin’s contention under the Cruel and Un- 73 usual Punishment Clause; it also makes imperative an ap preciation of the distinction between the Eighth Amend ment contention and an Equal Protection claim. Finally, Boykin’s petition for certiorari presents (as question number 4 among the Questions Presented) a con stitutional challenge to the “unitary” or single-verdict method of trying the issues of guilt and punishment in a capital case. On a proper record, that question would be a very substantial one. See the petitions for certiorari in the Johnson, Mathis and Maxwell cases, cited at note 7, para. (3), supra. But the issue is not briefed by counsel for Boykin, for the reason, we would think, that it is hardly presented on this record. Boykin pleaded guilty; and, for aught that appears, the jury trial which followed his plea was for the sole purpose of fixing punishment. At the most, the guilt question was tried in a formal sense, on judicial confes sion. And so—although, again, Boykin’s case might look dif ferent on a different record—it is apparent that the present record raises no question of the constitutionality of trying guilt and punishment simultaneously in a capital case. That question will properly arise in a capital case where guilt is tried. CONCLUSION Edward Boykin’s guilty plea was accepted without the safeguards required by the Due Process Clause. His sen tence to death for the crime of robbery violates the Eighth Amendment’s prohibition of cruel and unusual punishment. The method by which his sentence was determined, in the unregulated and lawless discretion of the jury, violates the rule of law fundamental to due process. The judgment below should be reversed. Respectfully submitted, J ack Greenberg J a m es M . N abrit , TIT M ic h a e l M e l t sn e r M elvyn Z arr J ack H im m e l s t e in 10 Columbus Circle New York, New York 10019 A n t h o n y G. A msterdam 3400 Chestnut Street Philadelphia, Pa. 19104 Attorneys for the N.A.A.C.P. Legal Defense and Educational MEILEN PRESS IN C — N. Y. C. >219