The STATE of Texas v. Larry Eugene McPHERSON, Appellee.
No. 0354-92.
Court of Criminal Appeals of Texas, En Banc.
Nov. 18, 1992.
Rehearing Denied Jan. 20, 1993.
846 S.W.2d 846
Certiorari Denied May 24, 1993. See 113 S.Ct. 2414.
Randall Sherrod, Dist. Atty. and John L. Davis, Asst. Dist. Atty., Canyon, Robert Huttash, State‘s Atty., Austin, for the State.
OPINION ON STATE‘S AND APPELLEE‘S PETITIONS FOR DISCRETIONARY REVIEW
BAIRD, Judge.
Appellee was convicted of capital murder pursuant to
tenced to death. After consideration of appellee‘s motion for new trial, the trial judge reformed the judgment to reflect a sentence of life. The State appealed. The Court of Appeals reversed holding that the submission of the fourth punishment issue was not authorized by
We granted the State‘s Petition for Discretionary Review to determine whether the Court of Appeals erred in ordering a new trial rather than reinstating appellee‘s death sentence.3 Additionally, we granted appellee‘s Petition for Discretionary Review to determine whether the Court of Appeals erred in finding the submission of a fourth punishment issue was not constitutionally required under Penry v. Lynaugh, 492 U.S. 302, 109 S.Ct. 2934, 106 L.Ed.2d 256 (1989), and whether the Court of Appeals erred in failing to address appellee‘s claim that double jeopardy barred the State from seeking the death penalty upon retrial.4 We will reverse.
I.
In addition to the three punishment issues provided by art. 37.071, the trial judge submitted a fourth issue in the punishment charge as follows:
SPECIAL ISSUE NO. 4
You are instructed that the term “mitigating evidence” is evidence about any aspect of the Defendant‘s background, his character, and the crime of which he was convicted that you believe, in fairness or mercy, calls for a sentence less than death. The purpose of this fourth special issue is to provide you the jury, if you deem it necessary, with a means of considering and giving effect to the mitigating evidence, if any, presented in this case. The sole question before you now is whether, considering all of the evidence, mitigating, if any, and otherwise, presented in both phases of this trial by either party, the death penalty is a reasoned moral response to the Defendant‘s background, his character, and to the crime of which he was convicted.
Now bearing in mind these instructions and definitions, you will answer the following special issue:
Do you find from the evidence, after considering fully the Defendant‘s mitigating evidence, if any, that the death penalty is a reasoned moral response to the Defendant‘s background, his character, and to the crime of which he was convicted?
The jury responded:
We, the Jury, or at least ten (10) jurors, find and determine that the answer to this Special Issue is “No.”
/s/ C.L. Boykin
Upon the affirmative findings on the three statutory punishment issues and a negative finding on the fourth punishment issue, the trial judge stated:
Mr. McPherson, the jury has returned its charge, or its verdict to the charge of the offense to which you stand charged by indictment, and that is that you have been found guilty of the offense of capital murder and the Court hereby so finds you guilty of capital murder.
The jury also returned its verdict in this case by which they have answered the
first three special issues “no“---I‘m sorry, first three special issues “yes.” And as you know and understand, the laws of the State of Texas mandates that a “yes” answer of those three special issues result in an automatic determination of the sentence of death by lethal injection according to the laws of the State of Texas. Counsel has persuaded the Court to submit the issue of mitigation evidence. Mitigating evidence is a matter that is a new concept that the law does not provide for, let me say the statute does not provide for.
It is the order of this Court that the sentence to be imposed in this case is to be death by lethal injection.
Appellee filed a “Motion for New Trial, or In The Alternative, Motion to Reform the Judgment” alleging that he was entitled to relief under Penry v. Lynaugh, 492 U.S. 302, 109 S.Ct. 2934, 106 L.Ed.2d 256 (1989).5 The trial judge granted appellee‘s motion and reformed the sentence from death to life.
II.
The Court of Appeals relied upon
III.
In 1972, the Supreme Court struck down our capital sentencing scheme holding it violated the Eighth Amendment prohibition of cruel and unusual punishment. Furman v. Georgia, 408 U.S. 238, 92 S.Ct. 2726, 33 L.Ed.2d 346 (decided in conjunction with Branch v. Texas). In 1973, the Legislature enacted a new capital sentencing scheme. Acts 1973, 63rd Leg., p. 1125, ch. 426, art. 3, § 1, eff. June 14, 1973.
In Jurek v. Texas, 428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d 929 (1976), the United States Supreme Court held
We conclude that Texas’ capital-sentencing procedures ... do not violate the Eighth and Fourteenth Amendments. By narrowing its definition of capital murder, Texas has essentially said that there must be at least one statutory aggravating circumstance in a first-degree murder case before a death sentence may even be considered. By authorizing the defense to bring before the jury at a separate sentencing hearing whatever mitigating circumstances relating to the individual defendant can be adduced, Texas has ensured that the sentencing jury will have adequate guidance to enable it to perform its sentencing function ... Because this system serves to assure that sentences of death will not be
“wantonly” or “freakishly” imposed, it does not violate the constitution.
Jurek, 428 U.S. at 276, 96 S.Ct. at 2958. The same capital sentencing scheme was in effect September 22, 1989, the date of the instant offense.
The Texas capital sentencing scheme withstood constitutional challenge until 19896 when the Supreme Court held
In order to ensure “reliability in the determination that death is the appropriate punishment in a specific case,” [citation omitted], the jury must be able to consider and give effect to any mitigating evidence relevant to a defendant‘s background, character, or the circumstances of the crime.
Id., 492 U.S. at 328, 109 S.Ct. at 2951 [quoting Woodson v. North Carolina, 428 U.S. 280, 305, 96 S.Ct. 2978, 2991, 49 L.Ed.2d 944 (1976)]. Because Penry‘s mitigating evidence was “beyond the scope of the special issues,” the evidence could not be given effect within the Texas capital sentencing scheme. Penry, 492 U.S. at 317, 109 S.Ct. at 2946.
IV.
Although we have grappled with the application of Penry for some time,8 the instant case presents our first opportunity to rule on the propriety of submitting a separate punishment issue concerning mitigating evidence.9 It is important to note that the Supreme Court failed to specify what particular vehicle was required under the Eighth Amendment “for the jury to give mitigating effect to” a defendant‘s mitigating evidence which falls beyond the scope of the statutory punishment issues. Penry, 492 U.S. at 324-328, 109 S.Ct. at 2949-2952.
The Court of Appeals correctly recognized that
tion to
The Supremacy Clause of the United States Constitution provides:
This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties made, or which shall be made, under the Authority of the United States, shall be the supreme Law of the Land; and the Judges in every State shall be bound thereby, any Thing in the Constitution or Laws of any State to the Contrary notwithstanding.
In light of our holding, the remaining grounds for review are dismissed as moot. Accordingly, the judgment of the Court of Appeals is reversed and the judgment of the trial court is affirmed. The cause is remanded to the Court of Appeals.10
CLINTON, Judge, concurring.
Faced with the indisputable fact that a jury, authorized by the trial court to do so “in fairness or mercy” in accordance with instructions and a fourth special issue, unanimously determined that imposition of the death penalty on appellant is not “a reasoned moral response to [his] background, his character and to the crime of which he was convicted,” a reviewing court is obliged to reject parochial rationales that would set aside the constitutional consequences of that decision.1 See and compare Penry v. Lynaugh, 492 U.S. 302, 109 S.Ct. 2934, 106 L.Ed.2d 256 (1989);2 Jurek v. State, 522 S.W.2d 934 (Tex.Cr.App.1975).3
The State contended for, and now naturally supports, the determination of the court of appeals that the trial court erred in submitting the fourth special issue because it is “not authorized by Texas Law.” State v. McPherson, 828 S.W.2d 81, at 83-84 (Tex.App.-Amarillo 1992).4 Because the opinion of this Court fails directly to address that proposition, cf. opinion, at 849-850, my purpose in writing is to demonstrate that contention and related reasons given for characterizing the verdict below as “illegal” are without merit. State v. McPherson, supra, at 84-85.
The court of appeals opined that while “a functional equivalent to an instruction might satisfy the Federal Penry requirement, under the relevant Texas statute, a special issue may not serve in that capacity” because
Dating back to Old Code days when a jury found guilt and assessed punishment simultaneously, the provision lost its original intendment and function with advent of the alternative bifurcated procedure in Acts 1965, 59th Leg. Vol. 2, Ch. 722, p. 317. Thereafter, the trial judge first submitted “the issue as to guilt or innocence ... without authorizing the jury to pass upon the punishment to be imposed,” and then in the latter separate proceeding the court gave “such additional written instructions as may be necessary[.]”
Furthermore, since 1973, the punishment procedure in capital murder cases is provided exclusively by
The court of appeals read two earlier pre-Penry opinions of this Court to convey the idea that the three special issues constitute “an exception to the statutory prohibition of special issues.” McPherson, supra, at 83. Both were addressing denials of requests for special findings at the guilt phrase of trial; this Court alluded to
Thus in a capital case those decisions do not preclude using an appropriate special issue as a vehicle to inform the jury of its prerogative to consider and give effect to mitigating evidence in making a constitutional determination whether the defendant shall be sentenced to death or life imprisonment.
In the instant cause the concern of the trial court was to provide the jury with a constitutional “vehicle” under Penry for expressing its “reasoned moral response” to mitigating evidence through “informing the jury that it could consider and give effect to the mitigating evidence ... by declining to impose the death penalty.” Id., 492 U.S. at 328, 109 S.Ct., at 2952. That the judge chose first to instruct the jury as to the law of mitigation under Penry, and then to frame a fourth special issue designed to elicit its “reasoned moral response” is no more foreclosed by
The court of appeals nonetheless believed that because the Penry court wrote in terms of an “instruction” serving those constitutional purposes, “a special issue is not constitutionally necessary, and thus, is not an exception to the statutory prohibition of art. 37.07.” McPherson, supra, at 83. But not only had Penry stated his claims in those terms in the trial court and in this Court, in his federal habeas petition and in the Court of Appeals for the Fifth Circuit, so also the Supreme Court granted certiorari in substantially the same terms. Penry, 492 U.S. at 310, 311-313, 109 S.Ct., at 2942, 2943-2944. By addressing his claims in those terms, therefore, the Supreme Court had no reason to deal with propriety of a special issue alone or in conjunction with an instruction; that it remained silent on that point does not mean that it ruled out a special issue. Indeed, ordinarily the Supreme Court leaves such matters as procedural “vehicles” to the States, just was done in State v. Wagner, 309 Or. 5, 786 P.2d 93 (1990) (opting for fourth special issue), cert. denied 498 U.S. 879, 111 S.Ct. 212, 112 L.Ed.2d 171 (1990), on remand from Wagner v. Oregon, 492 U.S. 914, 109 S.Ct. 3235, 106 L.Ed.2d 583 (1989) (judgment in 305 Or. 115, 752 P.2d 1136 vacated and remanded for further consideration in light of Penry).
After Penry, failure of a trial court to inform the jury that it could consider and give effect to mitigating circumstances violates rights of defendant under the Eighth Amendment and renders our capital punishment scheme mandated by former
The judge of the court below manifested his understanding and appreciation of the situation when he caused the court to give the instruction and to submit the fourth special issue to the jury. And, as the majority opinion at 847-848 reflects, the trial judge also understood and appreciated the dilemma thus created by affirmative answers to statutory issues and the negative answer to the constitutional issue: on one horn, the statutory mandate that the trial court sentence appellant to death because the jury returned an affirmative finding on each of the only three legislatively prescribed special issues; on the other horn, the absence of an explicit statutory mandate to implement the implicit constitutional dictate that bars the State of Texas from executing appellant because the jury returned a negative finding on special issue four, i.e., that the death penalty is not a reasoned moral response to mitigating evidence favoring appellant.
As it turned out on motion to reform the judgment, the trial judge opted for the constitutional dictate and, accordingly, reformed the sentence of death to life imprisonment. In that he and we are by our oaths constitutionally bound to uphold the Eighth Amendment, the judge rightly caused the trial court to render the only judgment and impose the only sentence sanctioned by the Eighth Amendment, just as rightly we now affirm its reformation. Compliance with the Supremacy Clause may not be excused by the omission of the Legislature specifically to authorize the trial judge to instruct the jury according to Penry and to submit a special issue to elicit its “reasoned moral response” to mitigating evidence. When the choice is between life and death, the Eighth and Fourteenth Amendments command the States to void the risk that the death penalty will be imposed when mitigating factors extant may call for life. Penry, 492 U.S. at 328, 109 S.Ct., at 2952.
With those comments and observations, I join the opinion of the Court.
Daniel Ryan GARRETT, Appellant, v. The STATE of Texas, Appellee.
No. 69426.
Court of Criminal Appeals of Texas, En Banc.
Jan. 13, 1993.
Rehearing Denied April 21, 1993.
