Per Curiam.
Petitioner LaRoyce Lathair Smith was
convicted of capital murder and sentenced to death by a jury in
Dallas County, Texas. Before the jury reached its sentence,
the trial judge issued a supplemental nullification
instruction. Ex parte Smith, 132 S. W. 3d
407, 409 (Tex. Crim. App. 2004). That instruction directed the
jury to give effect to mitigation evidence, but allowed the
jury to do so only by negating what would otherwise be
affirmative responses to two special issues relating to
deliberateness and future dangerousness. In Penry v.
Johnson, 532
U.S. 782 (2001) (Penry II), we held a similar
nullification instruction constitutionally
inadequate because it did not allow the jury to give
I
In 1991, petitioner was convicted of brutally murdering one of his former co-workers at a Taco Bell in Dallas County. The victim and one of her co-workers were closing down the restaurant when petitioner and several friends asked to be let in to use the telephone. The two employees recognized petitioner and let him in. Petitioner then told his former co-workers to leave because he wanted to rob the restaurant. When they did not leave, petitioner killed one co-worker by pistol-whipping her and shooting her in the back. Petitioner also threatened, but did not harm, his other former co-worker before exiting with his friends. The jury found petitioner guilty of capital murder beyond a reasonable doubt.
At the punishment phase, the jury was instructed on two special issues: first, whether the killing was deliberate; and second, whether the defendant posed a continuing danger to others.1 Approximately two years prior to the trial, we had held that presenting only these two special issues, without additional instructions regarding the jurys duty to consider mitigation evidence, violated the Eighth Amendment. Penry v. Lynaugh, 492 U.S. 302, 328 (1989) (Penry I). Shortly after petitioners trial, the Texas Legislature amended its capital sentencing scheme to require juries to take into consideration all of the evidence, including the circumstances of the offense, the defendants character and background, and the personal moral culpability of the defendant in deciding whether there are sufficient mitigating circumstances to warrant a sentence of life imprisonment rather than a death sentence. Penry II, supra, at 803 (citing Tex. Code Crim. Proc. Ann., Art. 37.071(2)(e)(1) (Vernon Supp. 2001)). Petitioner, however, did not receive the benefit of the new statutory instruction at his trial. Instead, just as in Penry II, petitioner was sentenced pursuant to a supplemental instruction provided to the jury by the trial judge.2 That instruction read:
Employing the framework of special issues modified by the supplemental nullification instruction, the jury considered a variety of mitigation evidence. Petitioner presented evidence that (1) he had been diagnosed with potentially organic learning disabilities and speech handicaps at an early age; (2) he had a verbal IQ score of 75 and a full IQ of 78 and, as a result, had been in special education classes throughout most of his time in school; (3) despite his low IQ and learning disabilities, his behavior at school was often exemplary; (4) his father was a drug addict who was involved with gang violence and other criminal activities, and regularly stole money from family members to support a drug addiction; and (5) he was only 19 when he committed the crime.
In response, the prosecution submitted evidence demonstrating that petitioner acted deliberately and cruelly. The prosecution emphasized that petitioner knew his victim, yet stabbed her repeatedly in numerous places on her body. With respect to petitioners future dangerousness, the prosecution stressed that petitioner had previously been convicted of misdemeanor assault and proffered evidence suggesting that he had violated several drug laws.
During closing arguments at the punishment phase, the prosecution reminded the jury of its duty to answer truthfully the two special issues of deliberateness and future dangerousness.
Now, when we talked to you on voir dire, we talked to you aboutand we spent a lot of time talking to you to determine whether or not you could follow the law. You told us two very important things when we talked to you. First of all, you told us that in the appropriate case that you could give the death penalty. Second, you said, Mr. Nancarrow, Ms. McDaniel, if you prove to me that the answers to those special issues should be yes, then I can answer them yes. If you wavered, if you hesitated one minute on that, then I guarantee you, you werent going to be on this jury. We believed you then, and we believe you now. Pet. for Cert. 6.
The jury verdict form tracked the final reminders the prosecution gave the jury. The form made no mention of nullification. Nor did it say anything about mitigation evidence. Instead, the verdict form asked whether petitioner committed the act deliberately and whether there was a probability that he would commit criminal acts of violence that would constitute a continuing threat to society. The jury was allowed to give Yes or No answers only. The jury answered both questions Yes and sentenced petitioner to death. App. 4 to Pet. for Cert.
On direct appeal, petitioner argued that our holding in Penry I rendered his jury instructions unconstitutional because the special issues did not allow the jury to give effect to his mitigation evidence. The Texas Court of Criminal Appeals affirmed petitioners sentence, reasoning that the nullification instruction provided an adequate vehicle through which the jury could consider petitioners evidence. We denied certiorari on May 15, 1995. Smith v. Texas, 514 U.S. 1112.
Petitioner filed an original writ of habeas corpus in the trial court in 1998. That suit was dismissed as untimely, but the Texas Legislature amended its criminal code in such a way as to allow petitioner to file a timely writ. Petitioner did so, claiming that his jury was instructed in violation of the Eighth Amendment. Before the Texas Court of Criminal Appeals, petitioner argued that the jury instructions in his case ran afoul of our holding in Penry II. The court denied petitioners application on the merits. 132 S. W. 3d 407 (2004).3
II
The Texas Court of Criminal Appeals
issued its opinion just prior to our decision in Tennard
v. Dretke, 542 U.S. ___ (2004). In Tennard, we
reversed the Fifth Circuits refusal to grant a
certificate of appealability (COA) to a defendant who was
sentenced under the Texas capital sentencing scheme prior to
the legislative revisions which took place in the aftermath of
Penry I. Tennard, relying upon Penry I, argued
that Texas two special issuesdeliberateness and
future dangerousnessdid not allow the jury to give effect
to his mitigation evidence and that the trial courts
failure to issue a supplemental mitigation instruction that
would allow the jury to give full effect to his evidence
rendered his death sentence unconstitutional. The state court
and the Fifth Circuit both held that the lack of an adequate
mitigation instruction was irrelevant. The courts both
determined that Tennard had failed to satisfy the Fifth
Circuits threshold standard for
Our rejection of that threshold test
was central to our decision to reverse in Tennard. We
held that [t]he Fifth Circuits test has no
foundation in the decisions of this Court. Neither Penry I
nor its progeny screened mitigating evidence for
constitutional relevance before considering whether
the jury instructions comported with the Eighth
Amendment. Id., at ___ (slip op., at 9).
Rather, we held that the jury must be given an effective
vehicle with which to weigh mitigating evidence so long as the
defendant has met a low threshold for relevance,
which is satisfied by
The Texas Court of Criminal Appeals
relied on precisely the same screening test
we held constitutionally inadequate in
Tennard. 132 S. W. 3d, at 413 (holding that
mitigation evidence requires a special instruction only when
that evidence passes the threshold test of whether the
defendants criminal act was due to the uniquely
severe permanent handicaps with which the defendant was
burdened through no fault of his own
The state court also held that petitioner had offered no evidence of any link or nexus between his troubled childhood or his limited mental abilities and this capital murder. 132 S. W. 3d, at 414. We rejected the Fifth Circuits nexus requirement in Tennard, supra, at ___ (slip op., at 1213) (noting that none of our prior opinions suggested that a mentally retarded individual must establish a nexus between her mental capacity and her crime before the Eighth Amendment prohibition on executing her is triggered and holding that the jury must be allowed the opportunity to consider Penry evidence even if the defendant cannot establish a nexus to the crime).
That petitioners evidence was relevant for mitigation purposes is plain under our precedents, even those predating Tennard. See, e.g., Penry I, 492 U.S., at 319322; Payne v. Tennessee, 501 U.S. 808, 822 (1991); Boyde v. California, 494 U.S. 370, 377378 (1990); Eddings v. Oklahoma, 455 U.S. 104, 114 (1982). The state court, however, erroneously relied on a test we never countenanced and now have unequivocally rejected. We therefore hold that the state court assessed [petitioners legal] claim under an improper legal standard. Tennard, supra, at ___ (slip op., at 13). Because petitioners proffered evidence was relevant, the Eighth Amendment required the trial court to empower the jury with a vehicle capable of giving effect to that evidence. Whether the nullification instruction satisfied that charge is the question to which we now turn.
III
The Texas Court of Criminal Appeals held that even if petitioner did proffer relevant mitigation evidence, the supplemental nullification instruction provided to the jury adequately allowed the jury to give effect to that evidence. The court found it significant that the supplemental instruction in this case told the jury that it shall consider all mitigating evidence, even evidence unrelated to the special issues, [and] it also told the jury how to answer the special issues to give effect to that mitigation evidence. 132 S. W. 3d, at 416. The court also concluded that the nullification instruction made it clear to the jury that a No answer was required if it believed that the death penalty was not warranted because of the mitigating circumstances. Ibid.
In Penry II, we held that
the key under Penry I is that the jury be able to
consider and give effect to [a defendants
mitigation] evidence in imposing sentence.
Penry II identified a broad and intractable problema problem that the state court ignored hereinherent in any requirement that the jury nullify special issues contained within a verdict form.
We generally presume that jurors
follow their instructions. Here, however, it would have been
both logically and ethically impossible for a juror to follow
both sets of instructions. Because Penrys 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
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 instructions. 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 Penrys mental retardation and childhood abuse. The supplemental instruction therefore provided an inadequate vehicle for the jury to make a reasoned moral response to Penrys mitigating evidence. Id., at 799800 (citations omitted).
It is certainly true that the
mandatory aspect of the nullification instruction made
petitioners instruction distinct from Penrys.
Indeed, the shall command in the nullification
instruction resolved the ambiguity inherent in the Penry II
instruction, which we held was either a
nullification instruction or an instruction that
There is no principled distinction, for Eighth Amendment purposes, between the instruction given to petitioners jury and the instruction in Penry II. Petitioners evidence was relevant mitigation evidence for the jury under Tennard and Penry I. We therefore hold that the nullification instruction was constitutionally inadequate under Penry II. The judgment of the Texas Court of Criminal Appeals is reversed, and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
1. The text of the special issues given to the jury was as follows: (1) Was the conduct of the defendant that caused the death of the deceased committed deliberately, and with the reasonable expectation that the death of the deceased or another would result? (2) Is there a probability that the defendant would commit criminal acts of violence that would constitute a continuing threat to society? Pet. for Cert. 5.
2. The supplemental instruction in Penry II stated: 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 defendants 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 defendants 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. 532 U.S., at 789790 (emphasis added).
3. Four judges would have found petitioners claim procedurally defaulted. See 132 S. W. 3d, at 417 (Hervey, J., concurring); id., at 428 (Holcomb, J., concurring). The majority of the court, however, declined to adopt this holding and reached petitioners claims on the merits.
4. The concurring opinions below straightforwardly recognized this problem. See 132 S. W. 3d 407, 427 (Tex. Crim. App. 2004) (Hervey, J., concurring) (concluding that the nullification instruction would, as a matter of federal constitutional law, suffer from the same defect as the one in Penry II had applicant presented any mitigating evidence that was beyond the effective reach of the sentencer and conceding that the instruction given to petitioner may have been inadequate as a matter of federal constitutional law); id., at 428 (Holcomb, J., concurring) (The nullification instruction provided to Smiths jury contained the same defects the Supreme Court identified in Penry II. Therefore, the jury was unconstitutionally precluded from considering and giving effect to Smiths mitigating evidence).
5. There is another similarity between this case and Penry II. In Penry II, we found it significant that the prosecutor admonished the jury to follow your oath, the evidence and the law prior to the deliberations in which the jury was required to fill out the verdict form. We held that this statement sent the jury mixed signals and only reminded the jurors that they had to answer the special issues dishonestly in order to give effect to Penrys mitigating evidence. 532 U.S., at 802. The prosecutor here similarly reminded the jury that each and every one of them had promised to follow the law and return a Yes answer to the special issues so long as the State met its burden of proof. Pet. for Cert. 6. Thus, the nullification instruction presented the same ethical dilemma here and, what is more, it seems that despite the inclusion of the mandatory shall language, the nullification instruction may have been more confusing for the jury to implement in practice than the state court assumed.