Atkins v. Virginia, (18)
holding that executing people who are mentally retarded violates the Eighth Amendment
to the United States Constitution. The legislature has not modified the statutory special
issues within Articles 37.071 and 37.0711 to include a special issue on mental retardation.
The trial court might have believed that it was not permitted to submit a separate special
issue solely on mental retardation. (19)
Although we may have sympathy for the trial court's position, we conclude that
there is a reasonable likelihood that the jury believed that it was not permitted to consider
mental impairment outside of determining whether the appellant is mentally retarded. As
a result, the instructions in this case fell short of the constitutional requirement that the
jury be provided a vehicle to give effect to its reasoned moral response to the appellant's
mitigating circumstances.
V. Harm Analysis
Under Code of Criminal Procedure Article 36.19, we will not reverse a conviction
or sentence on the basis of jury charge error "unless the error appearing from the record
was calculated to injure the rights of the defendant, or unless it appears that the defendant
has not had a fair and impartial trial." (20) In Almanza v. State, we have concluded that this
language created two separate harm-analysis standards: the first to be used when a timely
objection is made to the charge; the second to be used when no such objection appears in
the record. (21)
The first standard dictates that reversal should occur if the defendant made a
timely objection and if the error is "calculated to injure the rights of the defendant." We
have interpreted this to mean that there must be some harm to the defendant from the
error. (22) Properly preserved jury-charge error requires reversal unless it is harmless. If the defendant has not made a timely objection, we apply the second standard,
and reversal is not required unless he has not had a fair trial. (23)
The appellant in this case did make a timely objection to the charge, so we will
apply the first standard and reverse unless the error is harmless. Because we have already
concluded that there is a reasonable likelihood that the jury believed that it was not
permitted to consider evidence of mental impairment outside of determining whether the
appellant is mentally retarded, we cannot conclude that the error was harmless. As a
result, the error is reversible.
VI. Conclusion
We conclude that the trial court erred in instructing the jury on the mitigation
special issue and that the error was not harmless. We reverse the appellant's sentence and
remand for a new punishment trial. (24)
Delivered: October 5, 2005.
Publish.
Appendix
This is cause No. 10,222, the State of Texas versus Johnny Paul Penry. In the
District Court of Polk County Texas, 258th Judicial District.
Charge of the Court.
Members of the jury, the Defendant, Johnny Paul Penry, has previously been found
guilty of the offense of the capital murder of Pamela Carpenter, which was committed by
him on or about October 25, 1979, in Polk County, Texas. It is necessary now for you to
determine from all the evidence in the case the answers to certain questions called Special
Issues in this Charge. The Court instructs you further, however, as follows.
Roman Numeral One, range of punishment. The mandatory punishment for capital
murder is death or confinement in the Institutional Division of the Texas Department of
Criminal Justice for life.
Roman Numeral Two, consideration of evidence. In determining the answer to the
Special Issues you shall consider all of the evidence submitted to you in this trial.
Further, you shall consider all evidence submitted to you during the trial as to the
character or background of the Defendant or the circumstances of the offense that
militates for or mitigates against the imposition of the death penalty.
You are instructed that when you deliberate on the Special Issues, you are to
consider all relevant mitigating circumstances, if any, supported by the evidence
presented in the trial. A mitigating circumstance may include, but is not limited to, any
aspect of the Defendant's character, background, or circumstances of the crime which you
believe could make a death sentence inappropriate in this case, if any. If you find that
there are mitigating circumstances in this case, you must decide how much weight they
deserve, if any, and thereafter give effect to them in assessing the defendant's personal
culpability at the time you answer the Special Issues.
Roman Numeral Three, Special Issues Number 1, 2 and 3. The Jury is instructed
to return a special verdict of "yes" or "no" to Special Issues No. 1, No. 2, and No. 3.
The word "deliberately," as used in Special Issue No. 1, means a manner of doing
an act characterized by or resulting from careful consideration, a conscious decision
involving a thought process which embraces more than mere will to engage in the
conduct.
The burden of proof as to Special Issue No. 1, No. 2 and No. 3, rests upon the
State and never shifts to the Defendant. The State must prove beyond a reasonable doubt
that the answers to each of these Special Issues should be "yes." However, it is not
required that the State prove an affirmative answer to these issues beyond all doubt. It is
required that the State's proof excludes all reasonable doubt concerning an affirmative
answer to each of these three issues. In the event you have a reasonable doubt as to an
affirmative answer to one or more of these after considering all of the evidence before
you and these instructions, you will answer the issue or issues "no."
You are therefore instructed that you may not answer Special Issue No. 1, No. 2 or
No. 3 "yes" unless all jurors unanimously agree beyond a reasonable doubt. Further, you
may not answer any of these three special issues "no" unless ten or more jurors agree.
Roman Numeral Four, Special Issue No. 4. You are further instructed that if the
jury answers Special Issue No. 1, No. 2, and No. 3 "yes" then, and only then, the jury
shall answer Special Issue No. 4. The jury will answer Special Issue No. 4 either "yes" or
"no." There is no burden of proof upon the State or the Defendant regarding Special
Issue No. 4. The jury shall consider mitigating evidence, if any, that a juror might regard
as reducing the Defendant's moral blameworthiness.
You are instructed that mental retardation is a mitigating factor as a matter of law.
Mental retardation is defined as, (A), significantly subaverage intellectual functioning, an
IQ of approximately 70 or below on an individually administered IQ test; (B), concurrent
deficits or impairments in present adaptive functioning, i.e., the person's effectiveness in
meeting the standards expected for his or her age by his or her cultural group in at least
two of the following areas: Communication, self-care, home living, social/interpersonal
skills, use of community resources, self-direction, functional academic skills, work,
leisure, health, and safety; and (C), the onset is before 18 years.
Therefore, you are instructed that if you believe from all the evidence that the
Defendant is a person with mental retardation, then you are instructed to answer Special
Issue No. 4 "yes." However, if you do not believe from all the evidence that the person is
- that the Defendant is a person with mental retardation, then you shall follow the Court's
instructions previously given herein concerning the appropriate answer to Special Issue
No. 4 and consider whether any other mitigating circumstance or circumstances exist as
defined herein.
The jury may not answer Special Issue No. 4 "no" unless all jurors agree
unanimously. The jury may not answer "yes" to this issue unless ten or more jurors
agree.
Roman Numeral Five, effect of answers to Special Issues. You are instructed that
if you answer Special Issues No. 1, No. 2, and No. 3 "yes," and you answer Special issue
No. 4 "no," then the Court shall sentence the Defendant to death.
You are further instructed that if you answer Special Issues No. 1, No. 2, No. 3 and
No. 4 "yes," then the Court shall sentence the defendant to confinement in the
Institutional Division of the Texas Department of Criminal Justice for life.
Furthermore, you are instructed that if you answer Special Issues No.1, No. 2, No.
3 in the negative, that is, an answer of "no" to one or more of these issues, then the Court
shall sentence the defendant to confinement in the Institutional Division fo the Texas
Department of Criminal Justice for life.
Roman Numeral Six, special instructions. During your deliberations you are not to
consider nor discuss any possible action of the Board of Pardons and Paroles division of
the Texas Department of Criminal Justice or the Governor or how long a Defendant will
be required to serve to satisfy a sentence of life imprisonment.
You are further instructed that you are not to be swayed by mere sentiment,
conjecture, sympathy, passion, prejudice, public opinion or public feeling.
You are instructed that a Defendant may testify in his own behalf if he chooses to
do so. This, however, is a privilege accorded to the Defendant, and in the event he elects
not to do so, that fact will not be taken by you as a circumstance against him nor prejudice
him in any way. In this case the Defendant has elected not to testify and you are
instructed that you cannot and must not refer to or allude to that fact throughout your
deliberations nor take it into consideration for any purpose whatsoever as a circumstance
against the Defendant.
Your are further instructed that if there is any evidence before you in this case
regarding the Defendant having committed an offense or offenses, if any, other than the
offense for which he has been convicted, to-wit, the capital murder of Pamela Carpenter,
you cannot consider this evidence for any purpose unless you find and believe there is
clear proof that the Defendant committed such other offense or offenses, if any were
committed, and even then you may only consider the same in determining the answers to
the Special Issues.
Your are instructed that if you heard testimony from expert witnesses that was not
supported by the evidence admitted before you during the course of this trial, those facts
shall only be considered for the purpose of explanation or support for any such expert's
opinions or conclusions and they shall not be considered for the truth of the matter
asserted.
You are the exclusive judges of the facts proved, of the credibility of the witnesses
and the weight to be given their testimony. But it is the law you shall receive in these
written instructions and you will be governed thereby.
Occasionally during jury deliberations a dispute arises as to the testimony
presented. If this should occur in this case, you shall inform the Court and request that
the Court read the portion of the disputed testimony to you from the official transcript.
Roman Numeral Seven. After you retire to the jury room, you shall select one of
your members as your foreperson. It is his or her duty to deliberate - to preside at your
deliberations, vote with you, and to certify to your verdict by using the appropriate forms
included herein, and signing the same as foreperson.
No one has any authority to communicate with you except the officer who has you
in charge. During your deliberations in this case, you must not consider, discuss, nor
relate any matters not in evidence before you. You should not consider nor mention any
personal knowledge or information that you may have about any person or fact connected
with this case which is not shown by the evidence before you.
It is your duty as jurors to consult with one another and to deliberate with a view to
reaching an agreement, if you can so without violence to individual judgment. Each of
you must decide the case for yourself, but do so only after an impartial consideration of
the evidence with your fellow jurors. In the course of your deliberations, do not hesitate
to re-examine your views and change your opinion if convinced it is erroneous, but do not
surrender your honest conviction as to the weight or effect of evidence solely because of
the opinion of your fellow jurors or for the mere purpose of returning a verdict.
After you have retired, you may communicate with this Court in writing through
the officer who has you in charge. Do not attempt to talk to the officer who has you in
charge, or the attorneys or the Court, or anyone else concerning any questions you may
have. Following the arguments of the counsel, you will retire to consider your verdict.
Verdict form, Special Issues. Special Issue verdict forms. The Special Issues,
with forms for your answers are as follows: Special Issue No. 1: Was the conduct of the
Defendant, Johnny Paul Penry, that caused the death of Pamela Carpenter, the deceased,
committed deliberately and with the reasonable expectation that the death of the deceased
would result? Answer: We, the jury, unanimously find and determine beyond a
reasonable doubt that the answer to this Special Issue is "yes." An a line provided for the
foreperson to sign. Or, we, the jury, because at least ten jurors have a reasonable doubt as
to the matters inquired about in this Special Issue, find and determine that the answer to
this Special Issue is "no." And a line provided for the foreperson to sign.
Special Issue No. 2: Is there a probability that the Defendant, Johnny Paul Penry,
would commit criminal acts of violence that would constitute a continuing threat to
society? Answer: We, the jury, unanimously find and determine beyond a reasonable
doubt that the answer to this Special Issue is "yes." And a line provided for the
foreperson to sign. Or, we, the jury, because at least ten jurors have a reasonable doubt as
to the matter inquired by in this Special Issue, find and determine that the answer to this
Special Issue is "no." And a line provided for the presiding juror to sign.
Special Issue No. 3: Was the conduct of the Defendant, Johnny Paul Penry, in
killing Pamela Carpenter, the deceased, unreasonable in response to provocation, if any,
by the deceased? Answer: We, the jury, unanimously find and determine beyond a
reasonable doubt that the answer to this Special Issue is "yes." And a line provided for
the foreperson to sign. Or, we, the jury, because at least ten jurors have a reasonable
doubt as to the matters inquired about in this Special Issue, find and determine that the
answer to this Special Issue is "no." And a line provided for the foreperson to sign.
In the event that the jury has answered Special Issue No. 1, Special Issue No. 2 and
Special Issue No. 3 in the affirmative, then, and only then, does the jury answer Special
Issue No. 3 that follows. Special Issue No. 4: Do you find from the evidence, 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, Johnny Paul Penry, that these is a sufficient mitigating circumstance or
circumstances to warrant that a life - that a sentence of life imprisonment rather than a
death sentence be imposed. Answer: We, the jury, unanimously find that the answer to
this Special Issue is "no." And a line provided for the foreperson to sign. Or, we, the
jury, find because at least ten jurors find that there is sufficient mitigating circumstance or
circumstances to warrant that a sentence of life imprisonment rather than a death sentence
be imposed, find that the answer to this Special Issue is "yes." And a line provided for
the foreperson to sign.
After this jury has answered each of the Special Issues under the conditions and
instructions outlined above, the foreperson shall sign the verdict for below.
Verdict: We, the jury, return in open Court the above answers to the Special Issues
submitted to us, and the same is our verdict in this case. And a line provided for the
foreperson to sign.
1.
Penry v. State, 691 S.W.2d 636 (1985).
2.
Penry v. Lynaugh, 492 U.S. 302, 328 (1989) (Penry I).
3. Before September 1, 1991, in capital murder cases that were reversed on the basis of
error during punishment only, the cases were remanded for a new trial on guilt
and punishment.
The legislature amended Code of Criminal Procedure Article 44.29 in 1991 to provide for a
remand on punishment only when reversible error occurred during punishment. Act of May 17,
1991, 72d Leg., R.S., ch. 838, §2, 1991 Tex. Gen. Laws 2898, 2900.
4.
Penry v. State, 903 S.W.2d 715 (1995).
5.
Penry v. Johnson, 532 U.S. 782, 804 (2001) (Penry II).
6. A copy of the instructions and special issues that were read to the jury is attached as an
appendix.
7.
See Tex. Code Crim. Proc. Art. 37.0711, § 3(b).
8.
See Tex. Code Crim. Proc. Art. 37.0711, § 3(e).
9. Emphasis added.
10.
942 S.W.2d 591, 597 (Tex. Crim. App. 1996).
11.
Penry I, 492 U.S. at 328.
12.
Johnson v. Texas, 509 U.S. 350, 362 (1993) (quoting McKoy v. North Carolina, 494
U.S. 433, 456 (1990) (Kennedy, J., concurring)).
13.
Boyde v. California, 494 U.S. 370, 380-81 (1990).
14. The trial court in
Boyde submitted the following instruction to the jury:
In determining which penalty is to be imposed on [each] defendant, you shall
consider all of the evidence which has been received during any part of the trial of
this case, [except as you may be hereafter instructed]. You shall consider, take
into account and be guided by the following factors, if applicable:
(a) The circumstances of the crime of which the defendant was convicted in the
present proceeding and the existence of any special circumstance[s] found to be
true.
(b) The presence or absence of criminal activity by the defendant which involved
the use or attempted use of force or violence or the expressed or implied threat to
use force or violence.
(c) The presence or absence of any prior felony conviction.
(d) Whether or not the offense was committed while the defendant was under the
influence of extreme mental or emotional disturbance.
(e) Whether or not the victim was a participant in the defendant's homicidal
conduct or consented to the homicidal act.
(f) Whether or not the offense was committed under circumstances which the
defendant reasonably believed to be a moral justification or extenuation for his
conduct.
(g) Whether or not the defendant acted under extreme duress or under the
substantial domination of another person.
(h) Whether or not at the time of the offense the capacity of the defendant to
appreciate the criminality of his conduct or to conform his conduct to the
requirements of law was impaired as a result of mental disease or defect or the
affects of intoxication.
(i) The age of the defendant at the time of the crime.
(j) Whether or not the defendant was an accomplice to the offense and his
participation in the commission of the offense was relatively minor.
(k) Any other circumstance which extenuates the gravity of the crime even though
it is not a legal excuse for the crime.
Id. at 373 n.1.
15.
Id. at 375.
16.
Id. at 382.
17.
See Penry I, 492 U.S. at 328.
18. 536 U.S. 304, 321 (2002).
19.
But see State v. McPherson, 851 S.W.2d 846, 849-50 (Tex. Crim. App. 1992) (noting
that this Court had "grappled with the application of Penry" for some time; upholding the
submission of an extra-statutory special mitigation issue).
20. Tex. Code Crim. Proc. Art. 36.19.
21.