Estelle v. Smith
Encyclopedia
Estelle v. Smith, is a U.S. Supreme Court case in which the court held that, per Miranda v. Arizona
(1966), the state may not force a defendant to submit to a psychiatric examination solely for the purposes of sentencing. Any such examination violates the defendant's Fifth Amendment
rights against self-incrimination as well as the Sixth Amendment
right to counsel, and is therefore inadmissible at sentencing.
for taking part in the armed robbery of a grocery store
during which his accomplice fatally shot a clerk. The State of Texas
announced its intention to seek the death penalty and the trial judge ordered a competency evaluation
of Smith after Smith's indictment
and after he had obtained counsel. The evaluation was conducted in the jail by Dr. James P. Grigson who determined that Smith was competent to stand trial. Defense counsel were aware after the fact that Dr. Grigson interviewed Smith when they saw the psychiatric report in the form of a letter filed with the court. In this letter, Dr. Grigson termed Smith "a severe sociopath," but no more specific statements as to Smith's future dangerousness.
Smith was tried by a jury and convicted. The same jury heard a separate sentencing proceeding as required by Texas law. One of the three issues the jury had to determine was the future dangerousness of the defendant and whether he would continue to pose a threat to society. Over the defense counsel's objections, the doctor who conducted the pretrial competency evaluation was allowed to testify and his opinion was that Smith continued to be dangerous and thus would continue to constitute a danger to society. The jury determined the issue of the defendant's dangerousness as well as the other two issues against the defendant, making the death penalty mandatory under Texas law.
. Smith's writs of habeas corpus
to the state courts were denied so he petitioned Federal District Court for relief. The Federal District Court vacated the death sentence, finding that the trial court erred constitutionally by admitting the doctor's testimony at the penalty phase. The United States Court of Appeals affirmed this decision.
Smith's Sixth Amendment right to the assistance of counsel also was violated when the State introduced doctor's testimony at the penalty phase. Smith already had that right when the doctor examined respondent in jail. As it turned out the competency evaluation was a "critical stage" of the total proceedings against Smith and his attorneys were not notified prior to that evaluation that it would include an estimation of Smith's future dangerousness. Thus Smith was denied the assistance of counsel in making the important decision whether to submit to the examination and to what use the evaluation findings could be employed against him.
Miranda v. Arizona
Miranda v. Arizona, , was a landmark 5–4 decision of the United States Supreme Court. The Court held that both inculpatory and exculpatory statements made in response to interrogation by a defendant in police custody will be admissible at trial only if the prosecution can show that the defendant...
(1966), the state may not force a defendant to submit to a psychiatric examination solely for the purposes of sentencing. Any such examination violates the defendant's Fifth Amendment
Fifth Amendment to the United States Constitution
The Fifth Amendment to the United States Constitution, which is part of the Bill of Rights, protects against abuse of government authority in a legal procedure. Its guarantees stem from English common law which traces back to the Magna Carta in 1215...
rights against self-incrimination as well as the Sixth Amendment
Sixth Amendment to the United States Constitution
The Sixth Amendment to the United States Constitution is the part of the United States Bill of Rights which sets forth rights related to criminal prosecutions...
right to counsel, and is therefore inadmissible at sentencing.
Circumstances
Ernest Benjamin Smith was indicted for murderMurder
Murder is the unlawful killing, with malice aforethought, of another human being, and generally this state of mind distinguishes murder from other forms of unlawful homicide...
for taking part in the armed robbery of a grocery store
Grocery store
A grocery store is a store that retails food. A grocer, the owner of a grocery store, stocks different kinds of foods from assorted places and cultures, and sells these "groceries" to customers. Large grocery stores that stock products other than food, such as clothing or household items, are...
during which his accomplice fatally shot a clerk. The State of Texas
Texas
Texas is the second largest U.S. state by both area and population, and the largest state by area in the contiguous United States.The name, based on the Caddo word "Tejas" meaning "friends" or "allies", was applied by the Spanish to the Caddo themselves and to the region of their settlement in...
announced its intention to seek the death penalty and the trial judge ordered a competency evaluation
Competency evaluation (law)
In the United States criminal justice system, a competency evaluation is an assessment of the ability of a defendant to understand and rationally participate in a court process....
of Smith after Smith's indictment
Indictment
An indictment , in the common-law legal system, is a formal accusation that a person has committed a crime. In jurisdictions that maintain the concept of felonies, the serious criminal offence is a felony; jurisdictions that lack the concept of felonies often use that of an indictable offence—an...
and after he had obtained counsel. The evaluation was conducted in the jail by Dr. James P. Grigson who determined that Smith was competent to stand trial. Defense counsel were aware after the fact that Dr. Grigson interviewed Smith when they saw the psychiatric report in the form of a letter filed with the court. In this letter, Dr. Grigson termed Smith "a severe sociopath," but no more specific statements as to Smith's future dangerousness.
Smith was tried by a jury and convicted. The same jury heard a separate sentencing proceeding as required by Texas law. One of the three issues the jury had to determine was the future dangerousness of the defendant and whether he would continue to pose a threat to society. Over the defense counsel's objections, the doctor who conducted the pretrial competency evaluation was allowed to testify and his opinion was that Smith continued to be dangerous and thus would continue to constitute a danger to society. The jury determined the issue of the defendant's dangerousness as well as the other two issues against the defendant, making the death penalty mandatory under Texas law.
Appeals
Smith appealed to the Texas Court of Criminal Appeals which affirmed the conviction and death sentenceDeath Sentence
Death Sentence is a short story by the American science-fiction writer Isaac Asimov. It was first published in the November 1943 issue of Astounding Science Fiction and reprinted in the 1972 collection The Early Asimov.-Plot summary:...
. Smith's writs of habeas corpus
Habeas corpus
is a writ, or legal action, through which a prisoner can be released from unlawful detention. The remedy can be sought by the prisoner or by another person coming to his aid. Habeas corpus originated in the English legal system, but it is now available in many nations...
to the state courts were denied so he petitioned Federal District Court for relief. The Federal District Court vacated the death sentence, finding that the trial court erred constitutionally by admitting the doctor's testimony at the penalty phase. The United States Court of Appeals affirmed this decision.
Decision
The Supreme Court held that the admission of the doctor's testimony at the penalty phase of the trial violated Smith's Fifth Amendment privilege against forced self-incrimination as he was not told before the pretrial psychiatric examination that he had a right to remain silent and that any statement he made could be used against him at any phase of the trial, including the sentencing phase. Thus the reliance by the State on the pretrial statements made to the doctor in the competency evaluation violated his Fifth Amendment rights in the same manner as forcing Smith to testify against his will at any phase of the trial would do so. The fact that Smith made such statements in the context of a competency does not automatically prevent such statements from being used. If Smith had been warned prior to the evaluation, his Fifth Amendment rights would not have been violated. Warnings at this stage in the interrogation process "apply with no less force" than at other stages. "An accused 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."Smith's Sixth Amendment right to the assistance of counsel also was violated when the State introduced doctor's testimony at the penalty phase. Smith already had that right when the doctor examined respondent in jail. As it turned out the competency evaluation was a "critical stage" of the total proceedings against Smith and his attorneys were not notified prior to that evaluation that it would include an estimation of Smith's future dangerousness. Thus Smith was denied the assistance of counsel in making the important decision whether to submit to the examination and to what use the evaluation findings could be employed against him.
Significance
Although the court did not address the issue directly, it seemed to implicitly condon the practice of imposing sanctions on defendants who refuse to cooperate with state-order mental health evaluators if the defense gives notice that it intends to raise the question of the defendant's mental health as a defense. In Buchanan v. Kentucky the court found that if the defendant had raised a psychiatric defense and joined in the motion for a psychiatric evaluation, the Constitution was not violated if the prosecution used the examination results to rebut defense claims. The later ruling could be interpreted as meaning that if the defendant requests a competency evaluation, the Fifth Amendment protection is forfeited on any psychiatric issue raised as a defense.See also
- List of United States Supreme Court cases, volume 451
- Barefoot v. EstelleBarefoot v. EstelleBarefoot v. Estelle, is a Texas death penalty case in which the U.S. Supreme Court ruled on the admissibility of clinical opinions given by two psychiatrists hired by the prosecution in answer to hypothetical questions regarding the defendant's future dangerousness and the likelihood that he...