Ex Parte Smith

309 S.W.3d 53, 2010 Tex. Crim. App. LEXIS 534, 2010 WL 1687784
CourtCourt of Criminal Appeals of Texas
DecidedApril 28, 2010
DocketAP-76,035
StatusPublished
Cited by55 cases

This text of 309 S.W.3d 53 (Ex Parte Smith) is published on Counsel Stack Legal Research, covering Court of Criminal Appeals of Texas primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Ex Parte Smith, 309 S.W.3d 53, 2010 Tex. Crim. App. LEXIS 534, 2010 WL 1687784 (Tex. 2010).

Opinion

WOMACK, J.,

delivered the opinion of the unanimous Court.

This is a subsequent post-conviction application for writ of habeas corpus. The applicant claims that he is entitled to relief from his death sentence “because he presented significant mitigating evidence related to his moral culpability and the appropriateness of a death sentence that could not be given full effect by the sentencing jury.” We find that the trial court erred by not providing the jury a constitutionally adequate vehicle by which it could fully consider and give effect to the applicant’s relevant evidence of poverty, a crime-ridden neighborhood, and drug addiction. We also find that the applicant was egregiously harmed by this error. We therefore remand to the trial court for new punishment proceedings.

I. Constitutional Background

The United States Supreme Court has established two key principles that guide the process by which a jury may assess the death penalty. 1 First, while the death penalty is not per se cruel and unusual punishment in violation of the Eighth Amendment, 2 a jury’s discretion to assess the death penalty “must be suitably directed and limited so as to minimize the risk of wholly arbitrary and capricious action.” 3 Second, the jury must be provided a vehicle by which to fully consider and give effect to mitigating evidence of “the character and record of the individual offender and the circumstances of the offense.” 4

*56 With respect to the second principle, the Supreme Court has held that the mitigating evidence must first be relevant. Relevant evidence in this context is “evidence which tends logically to prove or disprove some fact or circumstance which a fact-finder could reasonably deem to have mitigating value.” 5 A vehicle need not be provided when the evidence has “only a tenuous connection — ‘some arguable relevance’ — to the defendant’s culpability,” but only when the evidence “may have meaningful relevance to the defendant’s moral culpability ‘beyond the scope of the special issues.’ ” 6 Once this “low threshold for relevance” 7 is met, the jury must be provided an adequate vehicle by which to fully consider and give effect to the evidence.

At the time the applicant was sentenced, the jury was required to answer special issues of deliberateness, future dangerousness, and, if raised by the evidence, provocation. The Supreme Court found that these special issues adequately directed and limited the jury’s discretion. 8 But if a defendant presented relevant mitigating evidence that was outside the scope of the special issues, 9 or that had an aggravating effect when considered within the scope of the special issues, 10 the special issues were a constitutionally inadequate vehicle for the jury to fully consider and give effect to the mitigating evidence. 11 Where the special issues were an inadequate vehicle, a “nullification instruction,” such as the one given to the applicant’s jury, was insufficient to cure the constitutional inadequacy of the special issues. 12

II. Procedural History

A. Trial

In May 1990, a jury convicted the applicant of capital murder. At the conclusion of the punishment phase, the trial court instructed the jury to answer three special issues:

(1) Was the conduct of the defendant, Roy Gene Smith, that caused the death of the deceased committed deliberately *57 and with the reasonable expectation that the death of the deceased or another would result?
(2) Is there a probability that the defendant, Roy Gene Smith, would commit criminal acts of violence that would constitute a continuing threat to society?
(3) Was the conduct of the defendant, Roy Gene Smith, in killing the deceased unreasonable in response to the provocation, if any, by the deceased?

In response to Penry I, the trial court also gave the jury the following “nullification 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, background, 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, and thereafter, 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, then a negative finding should be given to that special issue under consideration.

The jury answered the special issues affirmatively and did not employ the nullification instruction. The trial court sentenced the applicant to death.

B. Direct Appeal

The applicant appealed his conviction and sentence directly to this Court. In his first point of error, the applicant contended that “the trial court erred by giving the jury an unauthorized instruction on mitigation which failed to advise them of a comprehensible method of determining and utilizing mitigating evidence.” 13 We found that the nullification instruction was “sufficient to overcome the constitutional infirmity of Penry [I ].” 14 We also found that the applicant “failed to make a contemporaneous objection to the court’s charge,” 15 and ultimately affirmed the judgment and sentence of the trial court.

C. Initial State Application

In April 1997, the applicant filed his initial state application for writ of habeas corpus. He claimed that he was denied the effective assistance of counsel because his counsel failed to adequately investigate his history and retain a mitigation specialist. 16

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Bluebook (online)
309 S.W.3d 53, 2010 Tex. Crim. App. LEXIS 534, 2010 WL 1687784, Counsel Stack Legal Research, https://law.counselstack.com/opinion/ex-parte-smith-texcrimapp-2010.