SYLLABUS
(This syllabus is not part of the opinion of the Court. It has
been prepared by the Office of the Clerk for the convenience of the
reader. It has been neither reviewed nor approved by the Supreme Court. Please
note that, in the interests of brevity, portions of any opinion may not
have been summarized).
Ten-year-old W.C. of Morristown was reported missing after he failed to return
home from a visit to a carnival on May 20, 2001. His body
was discovered two days later near the Whippany River. W.C. had been bludgeoned
and stabbed, and there also was evidence that he had been sexually assaulted.
Police focused on defendant, Porfirio Jimenez, whose DNA matched DNA found on W.C.s
underpants. Jimenez confessed to the crime on May 28, 2001.
By pretrial motion, Jimenez claimed that he is mentally retarded and thus ineligible
for the death penalty pursuant to Atkins. On March 7, 2005, the trial
court issued its decision setting forth the procedure for adjudicating an Atkins claim.
First, the judge would hold a pretrial hearing in which Jimenez would have
the burden of proving mental retardation by a preponderance of the evidence. If
Jimenez demonstrates that it is more likely than not that he is mentally
retarded, the trial court would proceed as a capital case. If Jimenez is
found guilty of the murder, a sequential trial would be conducted where the
State would have the burden of disproving mental retardation unanimously beyond a reasonable
doubt. If the State fails to meet this burden, the jurys finding on
the Atkins claim would be considered the equivalent of a final verdict. If
the State did meet its burden, Jimenez would be eligible for the death
penalty and the penalty phase would continue. Jimenez would be permitted to raise
mental retardation as mitigating evidence in the penalty phase. Finally, if Jimenez proves
his mental retardation claim in the pretrial hearing by clear and convincing evidence,
the State would be foreclosed from seeking the death penalty. The trial court
imposed this higher standard of proof to justify depriving the State of an
opportunity to present its position to the jury on the retardation issue. If
Jimenez was unable to meet even the preponderance standard, the issue of mental
retardation would be available to Jimenez only as a mitigating factor that could
be presented to the jury at the penalty phase on a determination of
the court that the evidence of the alleged condition has been adequately and
sufficiently raised.
The Appellate Division granted leave to appeal the trial courts decision and reversed,
in part.
380 N.J. Super. 1 (2005). It determined that the New Jersey
constitution embraces the principles of Apprendi v. N.J.,
530 U.S. 466,
120 S.
Ct. 2348,
147 L. Ed.2d 435 (200), Blakley v. Washington,
542 U.S. 296,
124 S.Ct. 2531,
159 L. Ed.2d 403 (2004), and related cases,
and requires their application in an Atkins case. Those principles require that facts
necessary to the imposition of a sentence above the statutory maximum, other than
a prior conviction, must be found by a jury beyond a reasonable doubt.
The panel reasoned that when a defendant with a colorable claim of mental
retardation is found not retarded, that finding is tantamount to a sentencing enhancer.
Therefore, it held that the State is required to prove beyond a reasonable
doubt to a jury that the defendant is not retarded. In respect of
the procedures for adjudicating the Atkins issue, the Appellate Division stated:
In summary, we reverse the order of the trial court as it relates
to pre-trial procedures designed to resolve the issue of whether Jimenez is mentally
retarded, finding that a judge can make that decision pre-trial only in those
rare occasions in which reasonable minds cannot differ as to the existence of
retardation. We affirm his order as it relates to proceedings after the guilt
phase, finding on state constitutional and policy grounds that when the issue of
retardation has been properly raised, the lack of retardation functions in a manner
similar to a triggering factor to be determined by a jury in the
second, post-guilt, phase of a capital prosecution, with the State bearing the burden
of proof beyond a reasonable doubt. Even if the defendant is found by
a jury not to be mentally retarded, evidence of his mental status can
be introduced as a mitigating factor.
The Supreme Court granted the States motion for leave to appeal. It also
granted the amicus curiae motions of the Attorney General of New Jersey and
the Association of Criminal Defense Lawyers of New Jersey.
HELD: The absence of mental retardation is not akin to a capital trigger,
and Jimenez has the burden to prove by a preponderance of the evidence
that he is retarded.
1. In Atkins, the United States Supreme Court determined that objective evidence of
contemporary values, tempered by the Courts own judgment, prevented as excessively punitive the
execution of mentally retarded persons. The Atkins Court declined to establish minimum standards
to guide the states, but anticipated that the states would develop appropriate ways
to enforce the constitutional restriction. (pp. 10-14)
2. After Atkins a number of states implemented procedures for determining whether a
capital defendant is mentally retarded and, therefore, ineligible for execution. Every state that
has addressed the issue has found that the defendant should bear the burden
of proof in an Atkins claim, and most require proof by a preponderance
of the evidence. The State argues for that position, as well. It contends
that a claim of mental retardation should be presented to and decided by
a judge in a pretrial hearing. Jimenez argues that he has a Sixth
Amendment right to have a jury decide the Atkins claim and that a
hearing on the claim should take place after the guilt phase of the
trial. (pp. 14-18)
3. The Court finds that the absence of mental retardation is not akin
to a capital trigger, and that the defendant has the burden to prove
by a preponderance of the evidence that he is retarded. The potential for
the imposition of a death penalty inheres within the statute and to that
extent death constitutes the statutory maximum. In some sense, the finding of mental
retardation is like a dispositive mitigating factor. Once mental retardation is found it
automatically tips the scale against death in the weighing of mitigating and aggravating
factors. (pp. 18-20)
4. A claim of mental retardation is also in many respects akin to
a claim of insanity. Insanity is an affirmative defense which a defendant must
prove. This burden is properly placed on defendants because the claim is unrelated
to the underlying elements of the crime that the State must prove beyond
a reasonable doubt in every case.
In the case of mental retardation, the
State also must prove all of the elements of the crime of capital
murder, including a capital trigger, but if the defendant proves mental retardation, the
punishment is reduced. The Appellate Division found that a mental retardation claim was
more like a diminished capacity claim than a claim of insanity. Diminished capacity,
however, refers to a mental disease or defect that negates the mental state
necessary for the commission of the crime
. A defendant claiming diminished capacity argues
that the State cannot prove that he had the requisite intent to commit
the crime. In contrast, the insanity defense exculpates an actor from guilt for
conduct that would otherwise be criminal. (pp. 20-23)
5. The Court also holds that Jimenez must prove his claim of mental
retardation to the jury by a preponderance of the evidence at the close
of the guilt phase trial and before the penalty phase trial begins. The
requirement that the jury decide the issue is not constitutionally based, but rather,
is imposed by the Court in the exercise of its general supervisory authority
over trial administration. If the jury finds that Jimenez has met his burden,
he will be sentenced to a term of imprisonment. If Jimenez does not
meet his burden, a penalty-phase trial will be held and the jury must
determine whether the aggravating factors outweigh the mitigating factors beyond a reasonable doubt.
Jimenez then may present evidence of mental retardation during the penalty phase as
mitigation. (pp. 23-25)
Judgment of the Appellate Division is REVERSED.
JUSTICE ALBIN has filed a separate, dissenting opinion, in which JUSTICE LONG joins,
expressing the view that by placing the burden of proving mental retardation on
the defendant, the majority unnecessarily and unconstitutionally increases the likelihood of wrongly executing
a mentally retarded person.
JUSTICES LaVECCHIA, ZAZZALI, WALLACE, and RIVERA-SOTO join in CHIEF JUSTICE PORI
TZs opinion. JUSTICE
ALBIN
filed a separate, dissenting opinion, in which JUSTICE LONG joins.
SUPREME COURT OF NEW JERSEY
A-
50 September Term 2005
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
PORFIRIO JIMENEZ,
Defendant-Respondent.
Argued November 29, 2005 Decided October 24, 2006
On appeal from the Superior Court, Appellate Division, whose opinion is reported at
380 N.J. Super. 1 (2005).
John K. McNamara, Jr., Assistant Prosecutor, argued the cause for appellant (Michael M.
Rubbinaccio, Morris County Prosecutor, attorney).
Joseph E. Krakora, Assistant Deputy Public Defender, argued the cause for respondent (Yvonne
Smith Segars, Public Defender, attorney; Mr. Krakora and Susan Remis Silver, Special Counsel
to the Public Defender, on the letter briefs).
Paul H. Heinzel, Deputy Attorney General, argued the cause for amicus curiae Attorney
General of New Jersey (Peter C. Harvey, Attorney General, attorney).
Jeffrey S. Mandel argued the cause for amicus curiae Association of Criminal Defense
Lawyers of New Jersey (Pitney Hardin, attorneys).
CHIEF JUSTICE PORITZ delivered the opinion of the Court.
This case presents an issue of first impression in New Jersey. In Atkins
v. Virginia,
536 U.S. 304,
122 S. Ct. 2242,
153 L. Ed.2d 335 (2002), the United States Supreme Court held that the execution of a
mentally retarded person violates the prohibition against cruel and unusual punishment found in
the Eighth Amendment. Atkins left to the states the procedures to be followed
by the courts when a capital defendant raises a claim of mental retardation.
This case requires that we establish such procedures in New Jersey.
In summary, we reverse the order of the trial court as it relates
to pre-trial procedures designed to resolve the issue of whether Jimenez is mentally
retarded, finding that a judge can make that decision pre-trial only in those
rare occasions in which reasonable minds cannot differ as to the existence of
retardation. We affirm his order as it relates to proceedings after the guilt
phase, finding on state constitutional and policy grounds that when the issue of
retardation has been properly raised, the lack of retardation functions in a manner
similar to a triggering factor to be determined by a jury in the
second, post-guilt, phase of a capital prosecution, with the State bearing the burden
of proof beyond a reasonable doubt. Even if the defendant is found by
a jury not to be mentally retarded, evidence of his mental status can
be introduced as a mitigating factor.
[Jimenez, supra, 380 N.J. Super. at 34.]
In a concurring opinion, Judge Fisher suggested that the result reached by the
majority was compelled not only under New Jersey law, but by the federal
constitution. Id. at 45-46.
We granted the States motion for leave to appeal on October 5, 2005.
185 N.J. 286 (2005). We also granted amicus curiae status to the Attorney
General of New Jersey and the Association of Criminal Defense Lawyers of New
Jersey.
[Id. at 311-12, 122 S. Ct. at 2247, 153 L. Ed. at 344
(quoting Trop v. Dulles,
356 U.S. 86, 100-01,
78 S. Ct. 590, 597-98,
2 L. Ed.2d 630, 642 (1958)).]
Through that prism, the Court determined that 'objective evidence of contemporary values[,]' tempered
by the Courts own judgment, prevented as excessively punitive the execution of mentally
retarded persons. Atkins, supra, 536 U.S. at 312-13, 321, 122 S. Ct. at
2247-48, 2252, 153 L. Ed.
2d at 344-45, 350 (quoting Penry v. Lynaugh,
492 U.S. 302, 331,
109 S. Ct. 2934, 2953,
106 L. Ed.2d 256, 286 (1989). In so deciding, the Supreme Court overruled its prior decision
in Penry, supra, 492 U.S. at 340, 109 S. Ct. at 2958, 106
L. Ed.
2d at 292, which had held that a national consensus against
executing the mentally retarded had not yet emerged.
Daryl Renard Atkins was convicted of the 1996 abduction, armed robbery, and capital
murder of Eric Nesbitt. In the penalty phase of his trial, defendant presented
one witness, a forensic psychologist who had evaluated Atkins before trial and who
testified that Atkins had a Full Scale I.Q. of 59 and was 'mildly
mentally retarded.' Atkins, supra, 536 U.S. at 308-09, 122 S. Ct. at 2245,
153 L. Ed.
2d at 342. The jury returned a death sentence that
was overturned by the Virginia Supreme Court for reasons unrelated to the question
of mental retardation. At the second penalty-phase hearing, the defense again presented the
testimony of its forensic psychologist. The State, in turn, offered an expert rebuttal
witness who testified that Atkins was of 'average intelligence, at least,' and was
not mentally retarded. The jury sentenced defendant to death a second time, and
the Supreme Court of Virginia affirmed. Id. at 307-10, 122 S. Ct. at
2244-46, 153 L. Ed.
2d at 341-43.
In reaching its decision in Atkins, the United States Supreme Court noted that,
since Penry, a growing number of states had passed legislation banning the execution
of the mentally retarded, and that the death penalty had been rarely used
during that period for offenders with a known I.Q. below seventy. Id. at
314-16, 122 S. Ct. at 2248-49, 153 L. Ed.
2d at 346-47. The
Court found additional support for a new understanding of the issue from the
official positions of organizations with germane expertise, representatives of widely diverse religious communities,
the international community, and national polling data, id. at 316 n.21, 122 S.
Ct. at 2249 n.21, 153 L. Ed.
2d at 347 n.21, and determined
that a country-wide consensus had emerged since Penry against the imposition of capital
punishment on the mentally retarded.
In the Court's view, that broad consensus reflected a judgment about the relative
culpability of mentally retarded offenders, . . . the relationship between mental retardation
and the penological purposes served by the death penalty[,] and the efficacy of
procedural protections when a mentally retarded defendants life is at stake. Id. at
317-21, 122 S. Ct. at 2250-52, 153 L. Ed.
2d at 348-50. The
Court pointed out that
[m]entally retarded persons frequently
know the difference between right and wrong and are competent to stand trial.
Because of their impairments, however, by
definition they have diminished capacities to understand and process information, to communicate, to
abstract from mistakes and learn from experience, to engage in logical reasoning, to
control impulses, and to understand the reactions of others. There is no evidence
that they are more likely to engage in criminal conduct than others, but
there is abundant evidence that they often act on impulse rather than pursuant
to a premeditated plan, and that in group settings they are followers rather
than leaders. Their deficiencies do not
warrant an exemption from criminal
sanctions, but they do diminish their personal culpability.
[Id. at 318, 122 S. Ct. at 2250-51, 153 L. Ed.
2d at 348 (footnotes omitted).]
Because of those factors, the Court found that neither the justification of retribution
nor the justification of deterrence is applicable to mentally retarded defendants. Because those
defendants are not likely to be fully capable of assisting counsel in their
defense, of providing convincing testimony, or of showing remorse before a jury, they
face a special risk of wrongful execution. Id. at 321, 122 S. Ct.
at 2252, 153 L. Ed.
2d at 350. The Court concluded that the
Constitution 'places a substantive restriction on the States power to take the life'
of a mentally retarded offender. Ibid. (quoting Ford v. Wainwright,
477 U.S. 399,
405,
106 S. Ct. 2595, 2599,
91 L. Ed. 335, 343 (1986)).
As in Ford, supra, in respect of the insanity defense, the Atkins Court
declined to establish minimum standards to guide the states, but rather, anticipated that
the states would develop[] appropriate ways to enforce the constitutional restriction.
See footnote 5
Atkins, supra,
536 U.S. at 317, 122 S. Ct. at 2250,
153 L. Ed 2d
at 348 (quoting Ford, supra, 477 U.S. at 416-17, 106 S. Ct. at
2605, 91 L. Ed.
2d at 351). See Schriro v. Smith,
546 U.S. 6,
126 S. Ct. 9,
163 L. Ed.2d 6 (2005) (reaffirming Atkins).
First, the State must prove beyond a reasonable doubt that the defendant purposefully
or knowingly caused death or serious bodily injury resulting in death. N.J.S.A. 2C:11-3a(1),
(2). Second, the State must prove beyond a reasonable doubt one of the
capital triggers in order to advance the defendant to the penalty-phase trial....Third, in
the penalty-phase trial, the State must prove beyond a reasonable doubt the existence
of any alleged statutory aggravating factors. N.J.S.A. 2C:11-3c(2)(a). If the jury finds one
or more aggravating factors, it must then determine whether those outweigh all of
the mitigating factors beyond a reasonable doubt. N.J.S.A. 2C:11-3c(3)(a).
SUPREME COURT OF NEW JERSEY
A-
50 September Term 2005
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
PORFIRIO JIMENEZ,
Defendant-Respondent.
JUSTICE ALBIN, dissenting.
The Eighth Amendment of the United States Constitution forbids the State from executing
a criminal defendant who is mentally retarded. Atkins v. Virginia,
536 U.S. 304,
321,
122 S. Ct. 2242, 2252,
153 L. Ed.2d 335, 350 (2002).
In Atkins, supra, the United States Supreme Court left to the States the
task of developing ways to enforce the constitutional restriction against executing mentally retarded
defendants. Id. at 317, 122 S. Ct. at 2250,
153 L. Ed 2d
at 348. Relying on recent developments in federal and state constitutional sentencing jurisprudence,
as well as notions of fundamental fairness, the Appellate Division concluded that when
mental retardation is at issue, the State should bear the burden of proving
a capital defendants lack of mental retardation beyond a reasonable doubt as a
precondition to carrying out an execution. State v. Jimenez,
380 N.J. Super. 1,
26 (App. Div. 2005) (basing decision on State Constitution); see also id. at
37 (Fisher, J., concurring) (basing decision on Federal Constitution). In reversing the Appellate
Division, the majority has placed on the defendant the burden of proving by
a preponderance of evidence his mental retardation. Ante at __ (slip op. at
19). By shifting the burden of proof to the defendant, the majority unnecessarily,
and in my opinion unconstitutionally, increases the likelihood of wrongly executing a mentally
retarded person. Because that is a level of error that our system of
justice should not be willing to tolerate, I respectfully dissent.
Our judicial system demands a high degree of confidence in a correct outcome
in a criminal case because the stakes are enormous - the potential loss
of freedom. For that reason, even in a run-of-the-mill criminal case, the most
rigorous standard of proof applies, requiring the State to bear the burden of
proving guilt beyond a reasonable doubt. That standard recognizes an unwillingness to tolerate
a wide margin of error when a persons liberty hangs in the balance.
That standard accepts that it is better to err and let a guilty
person go free, than to wrongly incarcerate an innocent person.
In a capital case, the stakes are considerably higher than in the typical
criminal case. Life itself hangs in the balance. See State v. Feaster,
184 N.J. 235, 249 (2005) (Not only the defendant, but the state and its
citizens have an overwhelming interest in insuring that there is no mistake in
the imposition of the death penalty. (citation and internal quotation marks omitted)). It
therefore stands to reason that the finding of any fact that is a
necessary precondition to the execution of a criminal defendant, including lack of mental
retardation, should likewise be proven by the State beyond a reasonable doubt.
That conclusion is compelled by our federal and state constitutional sentencing jurisprudence. Because
the Eighth Amendment prohibits the execution of a mentally retarded person, a finding
of lack of mental retardation is a fact that must be submitted to
a jury and proven by the State beyond a reasonable doubt before a
death sentence can be imposed. The majoritys construct requires that the mental retardation
claim must be submitted to the jury after a defendant is found guilty
of murder in the guilt phase portion of a capital trial. Ante at
__ (slip op. at 23). At that stage, without any further factual finding,
the defendant cannot receive a sentence greater than life. N.J.S.A. 2C:11-3b, c; State
v. Fortin,
178 N.J. 540 (2004) (Fortin II). Instead of requiring the State
to carry the burden of proving lack of mental retardation, the majority permits
the defendant to be subject to execution if he fails to prove by
a preponderance of evidence his mental retardation. Ante at __ (slip op. at
24). That standard cannot be squared with federal or state case law. See
Apprendi v. New Jersey,
530 U.S. 466, 490
120 S. Ct. 2348, 2362-63,
147 L. Ed.2d 435, 455 (2000); State v. Natale,
184 N.J. 458,
466 (2005).
The Federal Due Process Clause requires that the State bear the burden of
proving all elements of an offense beyond a reasonable doubt. Sullivan v. Louisiana,
508 U.S. 275, 277-78,
113 S. Ct. 2078, 2080,
124 L. Ed.2d 182, 188 (1993).
Once an element of an offense has been identified, it
is never permissible to shift the burden of proof to the defendant. See
Mullaney v. Wilbur,
421 U.S. 684, 699-702,
95 S. Ct. 1881, 1890-91,
44 L. Ed.2d 501, 520-22 (1975).
In
Apprendi, the United States Supreme Court
declared: Other than the fact of a prior conviction, any fact that increases
the penalty for a crime beyond the prescribed statutory maximum must be submitted
to a jury, and proved beyond a reasonable doubt. Apprendi, supra, 530 U.S.
at 490, 120 S. Ct. at 2362-63, 147 L. Ed.
2d at 455.
In refining that formulation, the Court in Blakely v. Washington explained that the
statutory maximum for Apprendi purposes is the maximum sentence a judge may impose
solely on the basis of the facts reflected in the jury verdict or
admitted by the defendant.
542 U.S. 296, 303,
124 S. Ct. 2531, 2537,
159 L. Ed.2d 403, 413 (2004) (emphasis omitted).
In Ring v. Arizona, the Court applied the Apprendi test in striking down
provisions of Arizonas capital sentencing scheme that allowed a judge to impose the
death penalty based solely on a judicial finding of aggravating circumstances.
536 U.S. 584, 588-89,
122 S. Ct. 2428, 2432,
153 L. Ed.2d 556, 563-64
(2002). In that case, the defendant was convicted by a jury of first-degree
felony murder. Id. at 591-92, 122 S. Ct. at 2433-34,
153 L. Ed. 2d at 565. In the absence of any additional judicial factfinding, the maximum
allowable sentence under Arizona law was life imprisonment. Id. at 582, 122 S.
Ct. at 2434, 153 L. Ed.
2d at 566. Defendant was sentenced to
death based on a judicial finding of aggravating circumstances. Id. at 594-95, 122
S. Ct. at 2435-36, 153 L. Ed.
2d at 567-68. Because Arizona's enumerated
aggravating factors operate[d] as the functional equivalent of an element of a greater
offense, increasing a sentence of life to death, the Court found that the
Sixth Amendment required that those factors be submitted to a jury, which under
the Apprendi formulation also requires that all elements be proven by the State
beyond a reasonable doubt. Id. at 609, 122 S. Ct. at 2443, 153
L. Ed.
2d at 576-77 (internal quotation marks omitted); Apprendi, supra, 530 U.S.
at 490, 120 S. Ct. at 2362-63, 147 L. Ed.
2d at 455;
Natale, supra, 184 N.J. at 473; see also In re Winship,
397 U.S. 358, 364,
90 S. Ct. 1068, 1073,
25 L. Ed.2d 368, 375
(1970) (holding that under Due Process Clause, State must prove all elements of
crime beyond a reasonable doubt).
As with the aggravating factors in Ring, the finding of lack of mental
retardation is the functional equivalent of an element of an offense because without
that factfinding a sentence of life imprisonment cannot be increased to death. N.J.S.A.
2C:11-3b, c; Fortin II, supra, 178 N.J. at 635-36. Before the death penalty
can be imposed in New Jersey, the State must prove beyond a reasonable
doubt the existence of any alleged statutory aggravating factors in the penalty-phase trial.
Fortin II, supra, 178 N.J. at 635 (citing N.J.S.A. 2C:11-3c(2)(a)). If the jury
finds one or more aggravating factors, it must then determine whether those outweigh
all of the mitigating factors beyond a reasonable doubt. Ibid. (citing N.J.S.A. 3C:11-3c(3)(a)).
Without those findings, life imprisonment is the maximum allowable sentence under the capital-murder
statute. Id. at 636.
The absence of mental retardation functions in a way similar to an aggravating
factor in our capital sentencing system. Lack of mental retardation, like an aggravating
factor, is a fact necessary to increase a sentence beyond life imprisonment, the
maximum sentence authorized by a murder conviction in the guilt phase of the
trial. Because information regarding mental retardation may be in the exclusive control of
the defendant, I would place on him the initial burden of production of
evidence to raise the issue. Once the defendant raises the issue, however, the
State should be required to prove the absence of mental retardation beyond a
reasonable doubt. Cf. State v. Kelly,
97 N.J. 178, 200 (1984) (requiring that
once issue of self-defense is adduced in State or defendants case, State is
required to prove absence of self-defense beyond reasonable doubt). Without a beyond-a-reasonable-doubt finding
by a jury, a defendant should not be subject to the death penalty.
Stated differently, a reasonable doubt about a defendants mental retardation must weigh in
favor of life.
Unlike the majority, I do not believe that this States statutory insanity defense
is the proper paradigm for allocating the burden of proof when lack of
mental retardation is a constitutional prerequisite for the execution of a criminal defendant.
See ante at (slip op. at 21-23). To say that the defendant bears
the burden of proving insanity as a defense at trial pursuant to N.J.S.A.
2C:4-1 is quite different from saying that the State can execute an insane
person if a jury has a reasonable doubt about his insanity. In Ford
v. Wainwright,
477 U.S. 399, 409-10, 106 S. Ct. 2595, 2602, 91 L.
Ed.2d 335, 346 (1986), the United States Supreme Court declared that insane
defendants could not be executed under the Eighth Amendment. There too the Court
left it to the States to develop ways to implement its decision. Id.
at 416-17, 106 S. Ct. at 2605, 91 L. Ed.
2d at 351.
In my view, because neither an insane nor mentally retarded defendant can be
executed under Ford, supra, and Atkins, supra, when the issue is properly raised,
the State must carry the burden of disproving beyond a reasonable doubt the
existence of those disabling conditions of the mind.
Even if I were persuaded that the beyond-a-reasonable-doubt standard was not constitutionally compelled,
I would maintain that this Court should mandate that standard pursuant to the
Courts general supervisory authority over trial administration. See State v. Cook,
179 N.J. 533, 539 (2004). This Court should take every reasonable precaution to minimize the
potential of wrongly executing a mentally retarded defendant. The majoritys approach today is
not in keeping with the rigorous procedural protections that should apply in capital
cases. See Feaster, supra, 184 N.J. at 250 (We are mindful that a
death sentence is profoundly different from all other penalties, and of the heightened
need for reliability in the determination that death is the appropriate punishment in
a specific case. (citations and internal quotation marks omitted)).
In conclusion, I agree with the Appellate Division that when a defendant adequately
raises the issue of mental retardation, our federal and state constitutional jurisprudence require
that the State bear the burden of proving beyond a reasonable doubt to
a jury that the defendant is not mentally retarded. See Jimenez, supra, 380
N.J. Super. at 26, 37. Because I believe that the majority has unconstitutionally
shifted the burden of proof to the defendant, therefore increasing the likelihood of
an erroneous execution, I respectfully dissent.
Justice Long joins in this opinion.
SUPREME COURT OF NEW JERSEY
NO. A-50 SEPTEMBER TERM 2005
ON APPEAL FROM Appellate Division, Superior Court
STATE OF NEW JERSEY,
Plaintiff-Appellant,
v.
PORFIRIO JIMENEZ,
Defendant-Respondent.
DECIDED October 24, 2006
Chief Justice Poritz PRESIDING
OPINION BY Chief Justice Poritz
CONCURRING OPINION BY
DISSENTING OPINION BY Justice Albin
CHECKLIST
REVERSE
Footnote: 1
The facts of this case are set forth in detail in State
v. Jimenez,
175 N.J. 475 (2003) (Jimenez I).
Footnote: 2
An assessment tool for measuring intelligence (I.Q.), the Wechsler Adult Intelligence Test (WAIS),
consists of fourteen verbal and performance subtests. Alan S. Kaufman & Elizabeth O.
Lichtenberger, Essentials of WAIS-III Assessment 1, 6, 8 (1999). The raw scores from
the subtests are turned into standard scores for purposes of interpret[ing] an examinee's
performance. Id. at 60. Of those tested, two-thirds [score] . . . between
85 and 115. Ibid.
Footnote: 3
Both the trial court and the Appellate Division accepted the definition of mental
retardation found in the DSM-IV as the standard to be met when an
Atkins claim is raised. See State v. Jimenez,
380 N.J. Super. 1, 12-15
(App. Div. 2005). That standard has not been challenged by the defendant or
the State. Under the DSM-IV definition, mental retardation is evidenced by significantly subaverage
general intellectual functioning; an I.Q. of 70 or below on an individually administered
I.Q. test; significant limitations in adaptive functioning in at least two of the
following skill areas: communication, self-care, home living, social/interpersonal skills, use of community resources,
self-direction, functional academic skills, work, leisure, health, and safety; and onset before the
age of eighteen years. Because the DSM-IV definition recognizes a measurement error of
five points in assessing I.Q., persons with I.Q.s between 70 and 75 who
exhibit significant deficits in adaptive behavior may be mentally retarded. Moreover, impairments in
adaptive functioning, and not low I.Q., are generally the presenting indicators of mental
retardation. Persons with mild mental retardation I.Q. levels of 50-55 to approximately 70
represent the largest sub-group (about 85%) of the mentally retarded. DSM-IV, supra, at
41-43.
Footnote: 4
In Harris III, supra, we held that defendants have the burden of demonstrating
mental retardation through the presentation of evidence in respect of limited intellectual functioning,
e.g., standard I.Q. tests, and adaptive deficiencies that have been manifest since childhood.
Id. at 528-29.
Footnote: 5
Atkins, supra, left to the individual states the task of defining mental retardation,
although it specifically noted formulations adopted by the American Association of Mental Retardation
and the American Psychiatric Association. 536 U.S. at 308 n.3, 317 n.22; 122
S. Ct. at 2245 n.3, 2250 n.22;
153 L. Ed.2d 342 n.3,
348 n.22.
Footnote: 6
Several states have not addressed the burden of proof issue. See Pruitt v.
State,
834 N.E.2d 90, 102 n.1 (Ind. 2005) (listing states that have not
established burden of proof); Ex parte Briseno, supra, 135 S.W.
3d at 12 n.44
(same).
Footnote: 7
The dissent asserts that a defendant found guilty of murder in his
or her guilt-phase trial cannot receive a sentence greater than life unless additional
facts are found. Post at ___ (slip op. at 3). As far as
it goes, that assertion is correct -- but it is irrelevant. State v.
Abdullah,
184 N.J. 497, 507 (2005), explains that New Jersey's Criminal Code does
not establish a presumptive term for murder. The defendant in Abdullah objected to
the imposition by a judge of a life sentence without fact finding by
a jury, alleging that under N.J.S.A. 2C:11-3b(1) thirty years served as a presumptive
sentence. Ibid. However, as the Court pointed out, the statute states that 'except
as provided in subsection c of this section' (the death penalty provision), the
term for persons convicted of murder 'shall be between 30 years and life
imprisonment', and held that thirty years is not a presumptive sentence, but rather,
the lower end of the range. Id. at 507-08. Subsection c extends the
possible maximum based on capital triggers found beyond a reasonable doubt, see N.J.S.A.
2C:11-3c; a determination of mental retardation reduces the maximum to life in prison
even when capital triggers or aggravating factors are found. Due process concerns are
not implicated in such cases.