SUPREME
COURT OF THE UNITED STATES No. 00�6677
JOHNNY PAUL
PENRY,
PETITIONER v. GARY L. JOHNSON,
DIRECTOR, TEXAS DEPARTMENT OF CRIMINAL JUSTICE, INSTITUTIONAL
DIVISION ON WRIT OF CERTIORARI TO THE UNITED STATES COURT OF
APPEALS FOR THE FIFTH CIRCUIT [June 4, 2001]
JUSTICE O� CONNOR
delivered the opinion of the Court.
In
1989, we held that Johnny Paul Penry had been sentenced to death
in violation of the Eighth Amendment because his jury had not been
adequately instructed with respect to mitigating evidence. See Penry
v. Lynaugh, 492 U. S. 302 (1989) (Penry I). The
State of Texas retried Penry in 1990, and that jury also found him
guilty of capital murder and sentenced him to death. We now
consider whether the jury instructions at Penry� s resentencing
complied with our mandate in Penry I. We also consider
whether the admission into evidence of statements from a
psychiatric report based on an uncounseled interview with Penry
ran afoul of the Fifth Amendment.
I
Johnny Paul Penry brutally raped and murdered Pamela Carpenter on
October 25, 1979. In 1980, a Texas jury found him guilty of
capital murder. At the close of the penalty hearing, the jury was
instructed to answer three statutorily mandated "special
issues":" � (1) whether the conduct of the defendant
that caused the death of the deceased was committed deliberately
and with the reasonable expectation that the death of the deceased
or another would result; " � (2) whether there is a
probability that the defendant would commit criminal acts of
violence that would constitute a continuing threat to society; and
" � (3) if raised by the evidence, whether the conduct of
the defendant in killing the deceased was unreason-able in
response to the provocation, if any, by the de-ceased. � " Id.,
at 310 (quoting Tex. Code Crim. Proc.
Ann.,
Art. 37.071(b) (Vernon 1981 and Supp. 1989)). The jury answered
"yes" to each issue and, as required by statute, the
trial court sentenced Penry to death. 492 U. S., at 310�311.
Although
Penry had offered extensive evidence that he was mentally retarded
and had been severely abused as a child, the jury was never
instructed that it could consider and give mitigating effect to
that evidence in imposing sentence. Id., at 320. Nor was
any of the three special issues broad enough in scope that the
jury could consider and give effect to the mitigating evidence in
answering the special issue. Id., at 322�325. While
Penry� s mental retardation was potentially relevant to the
first special issue�whether he had acted deliberately�we found
no way to be sure that the jurors fully considered the miti-gating
evidence as it bore on the broader question of Penry� s moral
culpability. Id., at 322�323. As to the second issue�whether
Penry would be a future danger�the evidence of his mental
retardation and history of abuse was "relevant only as an aggravating
factor." Id., at 323 (emphasis in original). And
the evidence was simply not relevant in a mitigating way to the
third issue�whether Penry had unreasonably responded to any
provocation. Id., at 324�325.
The comments of counsel also failed to clarify
the jury� s role. Defense counsel had urged the jurors to vote
"no" on one of the special issues if they believed that
Penry, be-cause of the mitigating evidence, did not deserve to be
put to death. The prosecutor, however, had reminded them of their
"oath to follow the law and . . . answer[r] these questions
based on the evidence and following the law." Id., at
325 (internal quotation marks omitted).
"In
light of the prosecutor� s argument, and . . . in the absence of
instructions informing the jury that it could consider and give
effect to the mitigating evidence of Penry� s mental retardation
and abused background by declining to impose the death
penalty," we concluded that "a reasonable juror could
well have believed that there was no vehicle for expressing the
view that Penry did not deserve to be sentenced to death based
upon his mitigating evidence." Id., at 326, 328. We
thus vacated Penry� s sentence, confirming that in a capital
case, "[t]he sentencer must . . . be able to consider and
give effect to mitigating evidence in imposing sentence," so
that " � the sentence imposed . . . reflects a reasoned moral
response to the defendant� s background, character, and
crime.� " Id., at 319 (quoting California v. Brown,
479 U. S. 538, 545 (1987) (O� CONNOR, J., concurring) (emphasis
in original)). Penry was retried in 1990 and again found guilty of
capital murder. During the penalty phase, the defense again put on
extensive evidence regarding Penry� s mental impairments and
childhood abuse. One defense witness on the subject of Penry� s
mental impairments was Dr. Randall Price, a clinical
neuropsychologist. On direct examination, Dr. Price testified that
he believed Penry suffered from organic brain impairment and
mental retardation.
App.
276�279; 878. In the course of cross-examining Dr. Price, the
prosecutor asked what records.
Price
had reviewed in preparing his testimony. Price cited 14 reports,
including a psychiatric evaluation of Penry prepared by Dr. Felix
Peebles on May 19, 1977. Id., at 327. The Peebles report
had been prepared at the request of Penry� s then-counsel to
determine Penry� s competency to stand trial on a 1977 rape
charge�unrelated to the rape and murder of Pamela Carpenter. Id.,
at 55�60, 125. The prosecutor asked Dr. Price to read a
specific portion of the Peebles report for the jury. Over the
objection of defense counsel, Dr. Price recited that it was Dr.
Peebles� "professional opinion that if Johnny Paul Penry
were released from custody, that he would be dangerous to other
per-sons." Id., at 413. The prosecutor again recited
this portion of the Peebles report during his closing argument.
Id.,
at 668.
When it came time to submit the case to the
jury, the court instructed the jury to determine Penry� s
sentence by answering three special issues�the same three issues
that had been put before the jury in Penry I. Specifically,
the jury had to determine whether Penry acted deliberately when he
killed Pamela Carpenter; whether there was a probability that
Penry would be dangerous in the future; and whether Penry acted
unreasonably in response to provocation. App. 676�678. Cf. Penry
I, 492 U. S., at 320.
The
court told the jury how to determine its answers to those issues:
"Before any issue may be answered � Yes,� all jurors must
be convinced by the evidence beyond a reason-able doubt that the
answer to such issue should be � Yes.� . . . [I]f any juror,
after considering the evidence and these instructions, has a
reasonable doubt as to whether the answer to a Special Issue
should be answered � Yes,� then such juror should vote �
No� to that Special Issue." The court explained the consequences of the jury� s decision:
"If you return an affirmative finding on each of the special
issues submitted to you, the court shall sentence the defendant to
death. You are further instructed that if you return a negative
finding on any special issue submitted to you, the court shall
sentence the defendant to the Texas Department of Corrections for
life. You are therefore instructed that your answers to the
special issues, which determine the punishment to be assessed the
defendant by the court, should be reflective of your finding as to
the personal culpability of the defendant, JOHNNY PAUL PENRY, in
this case." Id., at 674�675.
The
court then gave the following "supplemental instruction":
"You are instructed that when you deliberate on the questions
posed in the special issues, you are to consider mitigating
circumstances, if any, supported by the evidence presented in both
phases of the trial, whether presented by the state or the
defendant. A mitigating circumstance may include, but is not
limited to, any aspect of the defendant� s character and record
or circumstances of the crime which you believe could make a death
sentence inappropriate in this case. If you find that there are
any mitigating circumstances in this case, you must decide how
much weight they deserve, if any, and therefore, give effect and
consideration to them in assessing the defendant� s personal
culpability at the time you answer the special issue. If you
determine, when giving effect to the mitigating evidence, if any,
that a life sentence, as reflected by a negative finding to the
issue under consideration, rather than a death sentence, is an
appropriate response to the personal culpability of the defendant,
a negative finding should be given to one of the special issues."
A complete copy of
the instructions was attached to the verdict form, and the jury
took the entire packet into the deliberation room. Tr. of Oral
Arg. 31. The verdict form itself, however, contained only the text
of the three special issues, and gave the jury two choices with
respect to each special issue: "We, the jury, unanimously
find and deter-mine beyond a reasonable doubt that the answer to
this Special Issue is � Yes,� " or "We, the jury,
because at least ten (10) jurors have a reasonable doubt as to the
matter inquired about in this Special Issue, find and determine
that the answer to this Special Issue is � No.� " App.
676�678.
After
deliberating for approximately 2� hours, the jury returned its
punishment verdict. See 51 Record 1948, 1950. The signed verdict
form confirmed that the jury had unanimously agreed that the
answer to each special issue was "yes." App. 676�678.
In accordance with state law, the court sentenced Penry to death.
The
Texas Court of Criminal Appeals affirmed Penry� s conviction and
sentence. The court rejected Penry� s claim that the admission
of language from the 1977 Peebles report violated Penry� s Fifth
Amendment privilege against self-incrimination. The court reasoned
that because Dr. Peebles had examined Penry two years prior to the
mur-der of Pamela Carpenter, Penry had not at that time been
"confronted with someone who was essentially an agent for the
State whose function was to gather evidence that might be used
against him in connection with the crime for which he was
incarcerated." Penry v. State, 903 S. W. 2d
715, 759�760 (1995) (internal quotation marks and citation
omitted).
The
court also rejected Penry� s claim that the jury instructions
given at his second sentencing hearing were constitutionally
inadequate because they did not permit the jury to consider and
give effect to his mitigating evi-dence of mental retardation and
childhood abuse. The court cited Penry I for the
proposition that when a defen-dant proffers "mitigating
evidence that is not relevant to the special issues or that has
relevance to the defendant� s moral culpability beyond the scope
of the special issues . . . the jury must be given a special
instruction in order to allow it to consider and give effect to
such evidence." 903 S. W. 2d, at 765. Quoting the
supplemental jury instruc-tion given at Penry� s second trial,
see supra, at 5�6, the court overruled Penry� s claim
of error. The court stated that "a nullification instruction
such as this one is suff i-cient to meet the constitutional
requirements of [Penry I]." 903 S. W. 2d, at 765.
In
1998, after his petition for state habeas corpus relief was denied,
see App. 841 (trial court order); id., at 863 (Court of
Criminal Appeals order), Penry filed a petition for a writ of
habeas corpus pursuant to 28 U. S. C. .
2254
(1994 ed. and Supp. V) in the United States District Court for the
Southern District of Texas. The District Court rejected both of
Penry� s claims, finding that the Texas Court of Criminal
Appeals� conclusions on both points were neither contrary to,
nor an unreasonable application of, clearly established federal
law. App. 893, 920. After full briefing and argument, the United
States Court of Appeals for the Fifth Circuit denied a certificate
of appealability. 215 F. 3d 504 (2000).
We
stayed Penry� s execution and granted certiorari to consider
Penry� s constitutional arguments regarding the admission of the
Peebles report and the adequacy of the jury instructions. 531 U.
S. 1010 (2000).
II
Because Penry filed his federal habeas petition after the
enactment of the Antiterrorism and Effective Death Penalty Act of
1996, the provisions of that law govern the scope of our review.
Specifically, 28 U. S. C. .
2254(d)(1)
(1994 ed., Supp. V) prohibits a federal court from granting an
application for a writ of habeas corpus with respect to a claim
adjudicated on the merits in state court unless that adjudication
"resulted in a decision that was contrary to, or involved an
unreasonable application of, clearly estab-lished Federal law, as
determined by the Supreme Court of the United States." Last
Term in Williams v. Taylor, 529 U. S. 362 (2000), we
explained that the "contrary to" and "unreasonable
application" clauses of .
2254(d)(1)
have independent meaning. Id., at 404. A state court
decision will be "con-trary to" our clearly established
precedent if the state court either "applies a rule that
contradicts the governing law set forth in our cases," or
"confronts a set of facts that are materially
indistinguishable from a decision of this Court and nevertheless
arrives at a result different from our precedent." Id., at
405�406. A state court decision will be an "unreasonable
application of" our clearly estab-lished precedent if it
"correctly identifies the governing legal rule but applies it
unreasonably to the facts of a particular prisoner� s
case." Id., at 407�408.
"[A]
federal habeas court making the � unreasonable application�
inquiry should ask whether the state court� s application of
clearly established federal law was objec-tively unreasonable."
Id., at 409. Distinguishing between an unreasonable and an
incorrect application of federal law, we clarified that even if
the federal habeas court concludes that the state court decision
applied clearly established federal law incorrectly, relief is
appropriate only if that application is also objectively
unreasonable.
Id.,
at 410�411.
Although the District Court evaluated the Texas
Court of Criminal Appeals� disposition of Penry� s claims
under a standard we later rejected in Williams, see App.
882 (stating that an application of law to facts is "unreason-able
� only when it can be said that reasonable jurists considering
the question would be of one view that the state court ruling was
incorrect� " (citation omitted)), the Fifth Circuit
articulated the proper standard of review, as set forth in .
2254(d)(1)
and clarified in Williams, and denied Penry relief. Guided
by this same standard, we now turn to the substance of Penry� s
claims.
III
A Penry contends that the admission into evidence of the portion
of the 1977 Peebles report that referred to Penry� s future
dangerousness violated his Fifth Amendment privilege against
self-incrimination because he was never warned that the statements
he made to Dr. Peebles might later be used against him. The Texas
Court of Criminal Appeals disagreed, concluding that when Dr.
Peebles interviewed Penry, Peebles was not acting as an agent for
the State in order to gather evidence that might be used against
Penry. 903 S. W. 2d, at 759.Penry argues that this case is
indistinguishable fromEstelle v. Smith, 451 U. S.
454 (1981). In Estelle, we considered a situation in which
a psychiatrist conducted an ostensibly neutral competency
examination of a capital defendant, but drew conclusions from the
defendant� s uncounseled statements regarding his future
dangerousness, and later testified for the prosecution on hat
crucial issue. We likened the psychiatrist to "an agent f the
State recounting unwarned statements made in a postarrest
custodial setting," and held that "[a] criminal
defendant, who neither initiates a psychiatric evaluation nor
attempts to introduce any psychiatric evidence, may not be
compelled to respond to a psychiatrist if his statements can be
used against him at a capital sentencing proceeding."
chiatrist� s testimony under those "distinct circumstances"
violated the Fifth Amendment. Id., at 466.
This
case differs from Estelle in several respects. First, the
defendant in Estelle had not placed his mental condi-tion
at issue, id., at 457, n. 1, whereas Penry himself made his
mental status a central issue in both the 1977 rape case and his
trials for Pamela Carpenter� s rape and mur-der. Second, in Estelle,
the trial court had called for the competency evaluation and the
State had chosen the examining psychiatrist. Id., at
456�457. Here, however, it was Penry� s own counsel in the
1977 case who requested the psychiatric exam performed by Dr.
Peebles. Third, in Estelle, the State had called the
psychiatrist to testify as a part of its affirmative case. Id.,
at 459. Here, it was during the cross-examination of Penry�
s own psychological witness that the prosecutor elicited the
quotation from the Peebles report. And fourth, in Estelle,
the defendant was charged with a capital crime at the time of his
competency exam, and it was thus clear that his future
dangerousness would be a specific issue at sentencing. Penry,
however, had not yet murdered Pamela Carpenter at the time of his
interview with Dr. Peebles.
We
need not and do not decide whether these differences affect the
merits of Penry� s Fifth Amendment claim.
Rather,
the question is whether the Texas court� s decision was contrary
to or an unreasonable application of our precedent. 28 U. S. C. .
2254(d)(1)
(1994 ed., Supp. V). We think it was not. The differences between
this case and Estelle are substantial, and our opinion in Estelle
suggested that our holding was limited to the "distinct
cir-cumstances" presented there. It also indicated that the
Fifth Amendment analysis might be different where a defendant
"intends to introduce psychiatric evidence at the penalty
phase." 451 U. S., at 472. Indeed, we have never extended Estelle�
s Fifth Amendment holding beyond its particular facts. Cf. , e.g., Buchanan v. Kentucky, 483.
U. S. 402 (1987) (Estelle does not apply,
and it does not violate the Fifth Amendment, where a prosecutor
uses portions of a psychiatric evaluation requested by a
defen-dant to rebut psychiatric evidence presented by the
defen-dant at trial). We therefore cannot say that it was
objec-tively unreasonable for the Texas court to conclude that
Penry is not entitled to relief on his Fifth Amendment claim.
Even
if our precedent were to establish squarely that the
prosecution� s use of the Peebles report violated Penry� s
Fifth Amendment privilege against self-incrimination, that error
would justify overturning Penry� s sentence only if Penry could
establish that the error " � had substantial and injurious
effect or influence in determining the jury� s verdict.�
" Brecht v. Abrahamson, 507 U. S. 619, 637
(1993) (quoting Kotteakos v. United States, 328 U.
S. 750, 776 (1946)). We think it unlikely that Penry could make
such a showing.
The
excerpt from the Peebles report bolstered the State� s argument
that Penry posed a future danger, but it was neither the first nor
the last opinion the jury heard on that point. Four prison
officials testified that they were of the opinion that Penry
"would commit criminal acts of violence that would constitute
a continuing threat to society." App. 94, 104, 138; 47 Record
970. Three psychiatrists testified that Penry was a dangerous
individual and likely to remain so. Two were the State� s own
witnesses. See App. 487, 557. The third was Dr. Price�the same
defense witness whom the prosecutor had asked to read from the
Peebles report. Before that recitation, Dr. Price had stated his
own opinion that "[i]f [Penry] was in the free world, I would
consider him dangerous." Id., at 392.
While
the Peebles report was an effective rhetorical tool, it was by no
means the key to the State� s case on the question whether Penry
was likely to commit future acts of violence. We therefore have
considerable doubt that the admission of the Peebles report, even
if erroneous, had a "substantial and injurious effect"
on the verdict. Brecht v. Abrahamson, supra, at 637.
Accordingly, we will not disturb the Texas Court of Criminal
Appeals� rejection of Penry� s Fifth Amendment claim.
B
Penry also contends that the jury instructions given at his second
sentencing hearing did not comport with our holding in Penry I because
they did not provide the jury with a vehicle for expressing its
reasoned moral response to the mitigating evidence of Penry� s
mental retardation and childhood abuse. The Texas Court of
Criminal Ap-peals disagreed. The court summarized Penry I as
holding that when a defendant proffers "mitigating evidence
that is not relevant to the special issues or that has relevance
to the defendant� s moral culpability beyond the scope of the
special issues . . . the jury must be given a special instruction
in order to allow it to consider and give effect to such
evidence." 903 S. W. 2d, at 765. The court then stated that
the supplemental jury instruction given at Penry� s second
sentencing hearing satisfied that mandate.
Ibid.
The Texas court did not make the rationale of
its hold-ing entirely clear. On one hand, it might have believed
that Penry I was satisfied merely by virtue of the fact
that a supplemental instruction had been given. On the other hand,
it might have believed that it was the substance of that
instruction which satisfied Penry I.
While
the latter seems to be more likely, to the extent it was the
former, the Texas court clearly misapprehended our prior decision.
Penry I did not hold that the mere mention of
"mitigating circumstances" to a capital sentencing jury
satisfies the Eighth Amendment. Nor does it stand for the
proposition that it is constitutionally sufficient to inform the
jury that it may "consider" mitigating circumstances in
deciding the appropriate sentence. Rather, the key under Penry
I is that the jury be able to "consider and give
effect to [a defendant� s mitigating] evidence in imposing
sentence." 492 U. S., at 319 (emphasis added). See
also Johnson v. Texas, 509 U. S. 350, 381 (1993)
(O� CONNOR, J., dissenting) ("[A] sentencer [must] be
allowed to give full consideration and full effect
to mitigating circumstances" (emphasis in original)). For it
is only when the jury is given a "vehicle for expressing its
� reasoned moral response� to that evidence in rendering its
sentencing decision," Penry I, 492 U. S., at 328, that
we can be sure that the jury "has treated the defendant as a
� uniquely individual human bein[g]� and has made a reliable
determination that death is the appropriate sentence," id.,
at 319 (quoting Woodson v. North Carolina, 428
U. S. 280, 304, 305 (1976)).
The
State contends that the substance of the supple-mental instruction
satisfied Penry I because it provided the jury with the
requisite vehicle for expressing its reasoned moral response to
Penry� s particular mitigating evidence. Specifically, the State
points to the admittedly "less than artful" portion of
the supplemental instruction which says: "If you find that
there are any mitigating circumstances in this case, you must
decide how much weight they deserve, if any, and therefore, give
effect and consideration to them in assessing the defendant�s
personal culpability at the time you answer the special issue.
If you determine, when giving effect to the mitigating evidence,
if any, that a life sentence, as reflected by a negative
finding to the issue under consideration, rather than a death
sentence, is an appropriate response to the personal culpability
of the defendant, a negative finding should be given to one of
the special issues." App. 675 (emphasis added). See also
Brief for Respondent italicized above indicate, it can be
understood as telling the jurors to take Penry� s mitigating
evidence into account in determining their truthful answers to
each special issue. Viewed in this light, however, the
supplemental instruction placed the jury in no better position
than was the jury in Penry I. As we made clear in Penry I,
none of the special issues is broad enough to provide a vehicle
for the jury to give mitigating effect to the evidence of Penry�
s mental retardation and childhood abuse. Cf. 492 U. S., at
322�325. In the words of Judge Dennis below, the jury� s
ability to consider and give effect to Penry� s mitigating
evidence was still "shackled and confined within the scope of
the three special issues." 215 F. 3d, at 514 (dissenting
opinion). Thus, because the supplemental instruction had no
practi-cal effect, the jury instructions at Penry� s second
sentencing were not meaningfully different from the ones we found
constitutionally inadequate in Penry I.
Alternatively,
the State urges, it is possible to under-stand the supplemental
instruction as informing the jury that it could "simply
answer one of the special issues � no� if it believed that
mitigating circumstances made a life sentence . . . appropriate .
. . regardless of its initial a n-swers to the questions."
Brief for Respondent 16. The Texas Court of Criminal Appeals
appeared to understand the instruction in this sense, when it
termed the supple-mental instruction a "nullification
instruction." 903 S. W. 2d, at 765. Even assuming the jurors
could have understood the instruction to operate in this way, the
instruction was not as simple to implement as the State contends.
Rather, it made the jury charge as a whole internally
contradictory, and placed law-abiding jurors in an impossible
situation.
The
jury was clearly instructed that a "yes" answer to a
special issue was appropriate only when supported "by the
evidence beyond a reasonable doubt." App. 672. A
"no" answer was appropriate only when there was "a
reason-able doubt as to whether the answer to a Special Issue
should be . . . � Yes.� " Id., at 673. The verdict
form listed the three special issues and, with no mention of
mitigating circumstances, confirmed and clarified the jury� s
two choices with respect to each special issue. The jury could
swear that it had unanimously determined "beyond a reasonable
doubt that the answer to this Special Issue is � Yes.� " Id.,
at 676�678. Or it could swear that at least 10 jurors had
"a reasonable doubt as to the matter inquired about in
this Special Issue" and that the jury thus had
"determin[ed] that the answer to this Special Issue is �
No.� " Ibid. (emphasis added).
In
the State� s view, however, the jury was also told that it could
ignore these clear guidelines and�even if there was in fact no
reasonable doubt as to the matter inquired about�answer any
special issue in the negative if the mitigating circumstances
warranted a life sentence. In other words, the jury could change
one or more truthful "yes" answers to an untruthful
"no" answer in order to avoid a death sentence for
Penry.
We
generally presume that jurors follow their instructions. See, e.g.,
Richardson v. Marsh, 481 U. S. 200, 211 (1987). Here,
however, it would have been both logically and ethically
impossible for a juror to follow both sets of instructions.
Because Penry� s mitigating evidence did not fit within the
scope of the special issues, answering those issues in the manner
prescribed on the verdict form necessarily meant ignoring the
command of the supplemental instruction. And answering the special
issues in the mode prescribed by the supplemental instruction
necessarily meant ignoring the verdict form instructions. Indeed,
jurors who wanted to answer one of the special issues falsely to
give effect to the mitigating evidence would have had to violate
their oath to render a " � true verdict.� "
Crim. Proc. Code Ann., Art. 35.22 (Vernon 1989). The
mechanism created by the supplemental instruction thus inserted
"an element of capriciousness" into the sentencing
decision, "making the jurors� power to avoid the death
penalty dependent on their willingness" to elevate the
supplemental instruction over the verdict form in-structions. Roberts
v. Louisiana, 428 U. S. 325, 335 (1976) (plurality
opinion). There is, at the very least, "a reasonable
likelihood that the jury . . . applied the challenged instruction
in a way that prevent[ed] the consideration" of Penry� s
mental retardation and childhood abuse. Boyde v. California, 494
U. S. 370, 380 (1990). The supplemental instruction therefore provided an
inadequate vehicle for the jury to make a reasoned moral response
to Penry� s mitigating evidence.
The
State also contends that the closing arguments in the penalty
phase clarified matters. Penry� s counsel attempted to describe
the jury� s task: "If, when you thought about mental
retardation and the child abuse, you think that this guy deserves
a life sentence, and not a death sentence, . . . then, you get to
answer one of . . . those questions no. The Judge has not told you
which question, and you have to give that answer, even if you
decide the literally correct answer is yes. Not the easiest
instruction to follow and the law does funny things
sometimes." App. 640. Again, however, this explanation only
reminded the jurors that they had to answer the special issues dishonestly
in order to give effect to Penry� s mitigating evidence. For the
reasons discussed above, such a "clarification" provided
no real help. Moreover, even if we thought that the arguments of
defense counsel could be an adequate substitute for statements of
the law by the court, but see Boyde v. California,
supra, at 384, the prosecutor effectively neutralized defense
counsel� s argument, as did the prosecutor in Penry I, by
stressing the jury� s duty "[t]o follow your oath, the
evidence and the law." App. 616. At best, the jury received
mixed signals.
Texas
now requires the jury to decide "[w]hether, taking into
consideration all of the evidence, including the circumstances of
the offense, the defendant� s character and background, and the
personal moral culpability of the defendant, there is a sufficient
mitigating circumstance or circumstances to warrant that a
sentence of life imprisonment rather than a death sentence be
imposed." Tex.
Code Crim. Proc.,
Art. 37.071(2)(e)(1) (Vernon Supp. 2001).* Penry� s counsel,
while not conceding the issue, admitted that he "would have a
tough time saying that [Penry I] was not complied with
under the new Texas procedure." Tr. of Oral Arg. 16. At the
very least, the brevity and clarity of this instruction highlight
the confusing nature of the supplemental instruction actually
given, and indicate that the trial court had adequate alternatives
available to it as it drafted the instructions for Penry� s
trial.
Thus,
to the extent the Texas Court of Criminal Appeals concluded that
the substance of the jury instructions given at Penry� s second
sentencing hearing satisfied our man-date in Penry I, that
determination was objectively unreasonable.
Cf.
Shafer v. South Carolina, 532 U. S. (holding on
direct review that theAnother recent development in Texas is the
passage of a bill banning the execution of mentally retarded
persons. See Babineck, Perry: Death-penalty measure needs
analyzing, Dallas Morning News, May 31, 2001, p. 27A. As this
opinion goes to press, Texas Governor Rick Perry is still in the
process of deciding whether to sign the bill. Ibid South
Carolina Supreme Court "incorrectly limited" our holding
in Simmons v. South Carolina, 512 U. S. 154 (1994),
because the court had mischaracterized "how the State� s
new [capital sentencing] scheme works"). The three special
issues submitted to the jury were identical to the ones we found
constitutionally inadequate as applied in Penry I. Although
the supplemental instruction made mention of mitigating evidence,
the mechanism it purported to create for the jurors to give effect
to that evidence was ineffective and illogical. The comments of
the court and counsel accomplished little by way of clarification.
Any realistic assessment of the manner in which the supplemental
instruction operated would therefore lead to the same conclusion
we reached in Penry I: "[A] reasonable juror could
well have believed that there was no vehicle for expressing the
view that Penry did not deserve to be sentenced to death based
upon his mitigating evidence." 492 U. S., at 326. The
judgment of the United States Court of Appeals for the Fifth
Circuit is therefore affirmed in part and reversed in part, and
the case is remanded for further proceedings consistent with this
opinion.
It
is so ordered.
|