SOUTER, J., DISSENTING
BROWN V. PAYTON
544 U. S. ____ (2005)
SUPREME COURT OF THE UNITED STATES
NO. 03-1039
JILL L. BROWN, WARDEN, PETITIONER
v.
WILLIAM CHARLES PAYTON
on writ of certiorari to the united states court of
appeals for the ninth circuit
[March 22, 2005]
Justice Souter, with whom Justice
Stevens and Justice Ginsburg join, dissenting.
From a time long before William
Payton’s trial, it has been clear law under the Eighth and
Fourteenth Amendments that a sentencing jury in a capital case must
be able to consider and give effect to all relevant mitigating
evidence a defendant offers for a sentence less than death. The
prosecutor in Payton’s case effectively negated this principle in
arguing repeatedly to the jury that the law required it to
disregard Payton’s mitigating evidence of postcrime religious
conversion and rehabilitation. The trial judge utterly failed to
correct these repeated misstatements or in any other way to honor
his duty to give the jury an accurate definition of legitimate
mitigation. It was reasonably likely in these circumstances that
the jury failed to consider Payton’s mitigating evidence, and in
concluding otherwise, the Supreme Court of California unreasonably
applied settled law, with substantially injurious effect. The Court
of Appeals was correct, and I respectfully dissent.
I
At the time the Supreme Court of
California took up Payton’s direct appeal of his death sentence for
homicide, it was settled law that a capital defendant has a plenary
right to present evidence going to any aspect of his character,
background, or record, as well as to any circumstance particular to
the offense, that might justify a sentence less than death,
Penry v.
Lynaugh, 492 U. S. 302 (1989);
Eddings v.
Oklahoma, 455 U. S. 104 (1982);
Lockett v.
Ohio, 438 U. S. 586 (1978),
including evidence of the defendant’s behavior after the offense,
Skipper v.
South Carolina, 476 U. S. 1, 4–5 (1986).
The law was equally explicit that the sentencer may not refuse to
consider any evidence in mitigation, or be precluded from giving it
whatever effect it may merit.
Penry v.
Lynaugh,
supra, at 318–320;
Eddings v.
Oklahoma,
supra, at 113–114.
When Payton was tried,
California’s sentencing law was not well designed to satisfy the
State’s obligation to provide the sentencer with a way to give
effect to all mitigating evidence including developments after
commission of the crime. Trial courts were generally bound to
charge a sentencing jury to take into account and be guided by a
set of legislatively adopted pattern instructions that described
relevant subjects of aggravation and mitigation in terms of eleven
“factors.” These factors ran the gamut from a defendant’s age and
state of mind at the time of the crime to a qualified catchall at
the end: “ ‘(k) [a]ny other circumstance which extenuates the
gravity of the crime even though it is not a legal excuse for the
crime.’ ”
Boyde v.
California, 494 U. S. 370, 373–374,
and n. 1 (1990); 1 Cal. Jury Instr., Crim., No. 8.84.1 (4th rev.
ed. 1979).
This catchall provision, known as factor (k),
was the subject of
Boyde, in which the capital defendant
had presented extensive testimony of favorable character in
struggling against great childhood disadvantages. 494 U. S., at
381–383. It was understood that the evidence was not open to the
jury’s consideration under any factor except possibly (k), and the
question was whether the instruction to consider “[a]ny other
circumstance which extenuates the gravity of the crime” adequately
conveyed the idea that character was such a circumstance, even
though it was not a fact limited to the setting of the crime
itself.
The Court first laid down the general
standard: “whether there is a reasonable likelihood that the jury
has applied the challenged instruction in a way that prevents the
consideration of constitutionally relevant evidence.”
Id.,
at 380. A “reasonable likelihood” is more than a mere possibility
that the jury mistook the law, but a defendant “need not establish
that the jury was more likely than not to have been impermissibly
inhibited by the instruction.”
Ibid. A majority of the
Court then concluded on the facts of Boyde’s trial that there had
been no showing that any ambiguity in the instruction had kept the
jury from considering the character evidence.
Id., at
383–385.
In support of its application of the general
standard in Boyde’s case, the Court noted that not all of the other
factors in the instruction were tied to the specifics of the crime;
the defendant’s youth at the time of commission could be
considered, for example, along with prior criminal activity and
prior felony record.
Id., at 383. It was, moreover, only
natural for the jury to consider evidence of character in the face
of hardships, since society generally holds people less culpable
for bad acts related to disadvantages in life.
Id., at
382, and n. 5. The Court found it highly implausible that the jury
would have thought it had to ignore testimony of such evidence,
spanning four days and generating over 400 pages of transcript.
Id., at 383–384. The pattern instructions as read by the
judge included the admonition to make the penalty decision after
considering “all of the evidence which has been received during any
part of the trial,”
id., at 383 (emphasis deleted), and
the prosecutor never claimed that the testimony was not relevant,
id., at 385. Rather, “the prosecutor explicitly assumed
that petitioner’s character evidence was a proper factor in the
weighing process, but argued that it was minimal in relation to the
aggravating circumstances.”
Ibid.
II
Payton, too, was sentenced to
death by a jury that had been given a version of the same pattern
instructions, including factor (k). Both the nature of Payton’s
evidence, however, and the behavior of Payton’s prosecutor
contrasted sharply with their counterparts in Boyde, and in a
significant respect the version of the pattern instructions read to
Payton’s jury differed from the version the
Boyde jury
heard.
Although the penalty phase of
Payton’s trial stretched over three days, mitigation evidence
offered through testimony on Payton’s behalf came in during parts
of two half days. App. 15–54. In the first such session, two
witnesses, one a minister and the other her congregation’s missions
director, said that since the commission of his crimes Payton had
made a “commitment to the Lord” that they believed to be sincere,
id., at 18, 23; that he had demonstrated remorse,
id., at 18; and that he manifested his new faith in Bible
study, writing, and spiritual help to fellow inmates,
id.,
at 22–29. Because Payton’s remaining witnesses were not available,
the trial judge excused the jury after just “a short day.”
Id., at 31.
Following a weekend break, six witnesses
appeared for Payton, including four former fellow inmates who
testified that he frequently led religious discussions among
prisoners, that he exerted “a very good influence” on others,
id., at 34, and that he “always tr[ied] to help people
out,”
id., at 39. See generally
id., at 32–44. A
fifth witness, a deputy sheriff at Payton’s jail, corroborated this
testimony,
id., at 45–48, and said that he was glad to
have Payton at the jail because he had a calming influence on other
inmates, and because he occasionally informed the authorities of
developing problems,
id., at 49. Finally, Payton’s mother
testified that she had seen a change in him during incarceration
and believed his religious conversion was sincere.
Id., at
52–54. Thus, Payton’s evidence went entirely to his postcrime
conversion and his potential for rehabilitation and usefulness; the
presentation of this evidence produced a transcript of only 50
pages.
The trial court sent the case to the jury the
next day, after meeting with the prosecutor and defense counsel to
discuss the charge, including the factor (k) instruction to
consider any other circumstance extenuating the gravity of the
crime.
Boyde had not been decided at that point, and
defense counsel expressed concern that factor (k) could be
understood to exclude consideration of Payton’s mitigating evidence
because the facts shown “have something to do with his potential
for rehabilitation or his character or his background, but they
don’t have anything to do with the crime itself… .” App. 55.
The prosecutor readily agreed with that reading. He responded that
the language of factor (k) was intended to reach only circumstances
extenuating the gravity of the crime, to the exclusion of character
and background.
Ibid. Indeed, the prosecutor maintained
that he did not see “any ambiguity” in factor (k),
id., at
57, and that if the legislature had meant background or character
to be considered under factor (k), it would have said so
explicitly,
id., at 58.
The trial court agreed with defense counsel
that background and character (including the claimed conversion)
should be subject to consideration under factor (k), but declined
to alter the instruction because it was hesitant to depart from the
statutory text.
Id., at 58, 61. Instead, the judge advised
the lawyers that they were free to “argue [that] the defendant’s
background, history, mental condition, physical condition …
certainly fall into category ‘k’ and certainly make a clear
argument to the jury.”
Id., at 59. After the judge said
explicitly that he thought “ ‘k’ is the all encompassing one
that includes … what you want added,”
id., at 60, defense
counsel lobbied one last time for a more accurate instruction, but
was rebuffed:
“[Defense counsel]: My only problem is I think we
all agree that that’s the law, but the jury’s not going to
know.
“The Court: I agree with you… . But I’m going to deny [your
request], and for the reasons stated.”
Id., at 61.
The trial court then brought in
the jury for argument and charge. When the prosecutor’s closing
argument got to the subject of factor (k), this is what he said to
the jury:
“ ‘K’ says any other circumstance which
extenuates or lessens the gravity of the crime. What does that
mean? That to me means some fact—okay?—some factors at the time of
the offense that somehow operates to reduce the gravity for what
the defendant did. It doesn’t refer to anything after the fact or
later. That’s particularly important here because the only defense
evidence you have heard has been about this new born Christianity.”
Id., at 68.
Payton’s lawyer interrupted, both counsel
approached the bench, and, out of the jury’s hearing, defense
counsel moved for mistrial on the ground that the prosecutor’s
statement was “completely contrary” to the previously agreed
interpretation of factor (k).
Ibid. When the prosecutor
replied that defense counsel was wrong and that Payton’s mitigating
evidence did not fall within factor (k),
id., at 69, the
trial court failed to resolve the matter, saying that “you can
argue it either way,”
ibid. Upon return to open court, the
judge instructed the jury that “the comments by both the
prosecution and the defense are not evidence. You’ve heard the
evidence and, as I said, this is argument. And it’s to be placed in
its proper perspective.”
Id., at 69–70.
The prosecutor then took up exactly where he
had left off, arguing that Payton’s proffered mitigating evidence
could not be considered in the jury’s deliberations:
“Referring back to ‘k’ which I
was talking about, any other circumstance which extenuates or
lessens the gravity of the crime, the only defense evidence you’ve
heard had to do with defendant’s new Christianity and that he
helped the module deputies in the jail while he was in custody.
“The problem with that is that evidence is
well after the fact of the crime and cannot seem to me in any way
to logically lessen the gravity of the offense that the defendant
has committed.
“[Defense counsel] will tell you that somehow
that becoming a newborn Christian, if in fact he really believed
that took place, makes it a less severe crime, but there is no way
that can happen when—under any other circumstance which extenuates
or lessens the gravity of the crime, refers—seems to refer to a
fact in operation at the time of the offense.
“What I am getting at, you have not heard
during the past few days any legal evidence mitigation. What you’ve
heard is just some jailhouse evidence to win your sympathy, and
that’s all. You have not heard any evidence of mitigation in this
trial.”
Id., at 70.
After the prosecutor recounted
the aggravating circumstances and argued for the death penalty, he
turned to the evidence of Payton’s religious conversion, questioned
its sincerity, and argued that it did not warrant a sentence less
than death when weighed against the aggravating factors. Throughout
this discussion, he returned to his point that factor (k)
authorizes consideration only of facts as of the time of the crime.
He reminded the jurors again that they had “heard no evidence of
any mitigating factors.”
Id., at 73. And again: “I don’t
really want to spend too much time on [religion] because I don’t
think it’s really applicable and I don’t think it comes under any
of the eleven factors.”
Ibid. And again: “You haven’t
heard anything to mitigate what he’s done.”
Id., at
76.
With the prosecutor arguing that Payton’s
mitigation evidence was not open to consideration under (k) or any
other factor, and with the trial judge sitting on the fence,
defense counsel was left to argue the law himself, stating that
“section (k) may be awkwardly worded, but it does not preclude or
exclude the kind of evidence that was presented. It’s a catch-all
ph[r]ase. It was designed to include, not exclude, that kind of
evidence,”
id., at 88. Defense counsel discussed the
mitigating evidence at some length before concluding that “I think
there are a lot of good reasons to keep Bill Payton alive, an awful
lot of good reasons. And that’s exactly what I think ‘k’ is talking
about.”
Id., at 92.
The trial court then gave the jury its final
instructions:
“In determining the penalty to be
imposed on the defendant, you shall consider all of the evidence
which has been received during any part of the trial in this case,
except as you may be hereafter instructed. You shall consider, take
into account and be guided by the following factors, [including] …
(k), [which says] [a]ny other circumstance which extenuates the
gravity of the crime even though not a legal excuse for the
crime… .
“After having heard all of the evidence and
after having heard and considered the argument of counsel, you
shall consider, take into account and be guided by the applicable
factors of aggravating and mitigating circumstances upon which you
have been instructed.
“If you conclude that the aggravating
circumstances outweigh the mitigating circumstances, you shall
impose a sentence of death.
“However, if you determine that the mitigating
circumstances outweigh the aggravating circumstances, you shall
impose a sentence of confinement in the state prison for life
without the possibility of parole.”
Id., at 94–96.
The jury returned a death
verdict.
III
The failure of the State to
provide Payton with a process for sentencing that respected his
clearly established right to consideration of all mitigating
evidence is plain at every step of the jury’s instruction, starting
with the trial court’s reliance on the pattern jury charge adopted
by the legislature.
A
It is undisputed that factor (k)
was the instruction that comes closest to addressing the jury’s
obligation to consider Payton’s evidence of postoffense conversion,
and the prosecutor’s remarks in the chambers colloquy both
demonstrate the inadequacy of factor (k) to explain that
responsibility and point to the seriousness of the trial court’s
failure to give a group of lay persons an intelligible statement of
the controlling law. Factor (k) calls on the jury to consider
evidence going to the “gravity of the crime,” a notion commonly
understood as the joint product of intent, act, and consequence:
intentionally shooting a police officer through the heart is worse
than knocking down a pedestrian by careless skateboarding. It is
coherent with this understanding to say, as the Court did in
Boyde, that evaluating a defendant’s state of mind at the
time of the offense can include consideration of his general
character and the experiences that affected its development, 494 U.
S., at 381–382; as the Court explained, when society sits in
judgment, it does not ignore the early hardships of those who turn
out bad,
id., at 382. But it would be more than a stretch
to say that the seriousness of the crime itself is affected by a
defendant’s subsequent experience. A criminal’s subsequent
religious conversion is not a fact commonly accepted as affecting
the gravity of the crime, and even jurors who could overcome their
skepticism about the sincerity of the conversion claim would see it
as addressed not to the nature of the crime but to other issues
bearing on sentence: the moral argument for executing a defendant
who claims to have realized the awfulness of what he had done, and
the practical argument for protecting others in the future by
taking a life of one who claims to have been transformed. See,
e.g.,
Skipper v.
South Carolina, 476 U.
S., at 4–5. I will assume that a jury instructed by a judge to
consider evidence of postoffense experience that extenuates the
gravity of the crime could have given effect to the instruction,
but without such an explanation it would have been unnatural to
think of evidence of later events as affecting the seriousness of
an earlier crime.
Indications of the way factor (k)
was understood in California at the time of Payton’s trial, in
fact, point this way. The prosecutor who spoke for the State at the
trial repeatedly argued to judge and jury that a “circumstance
which extenuates or lessens the gravity of the crime, refers—seems
to refer to a fact in operation at the time of the offense.” App.
70. The prosecutor held this view in good faith,
ante, at
12 (majority opinion), and, indeed, his view was shared by the
state judiciary; even before
Boyde, the Supreme Court of
California had found factor (k) inadequate to require consideration
of all types of mitigating evidence. In 1983, following our
discussion in
Eddings, that court directed that factor (k)
be adorned in future cases so as to inform the jury that it may
consider “any other ‘aspect of [the] defendant’s character or
record … that the defendant proffers as a basis for a sentence less
than death.’ ”
People v.
Easley, 34 Cal. 3d
858, 878, n. 10, 671 P. 2d 813, 826, n. 10
(alterations in original). And, again before
Boyde came
down, the Legislature of California amended factor (k) to instruct
the jury to consider “[a]ny other circumstance which extenuates the
gravity of the crime even though it is not a legal excuse for the
crime [and any sympathetic or other aspect of the defendant’s
character or record [that the defendant offers] as a basis for a
sentence less than death, whether or not related to the offense for
which he is on trial … ].” 494 U. S., at 374, n. 2 (quoting 1
Cal. Jury Instr., Crim., No. 8.85(k) (5th ed. 1988) (alterations in
original)). Without that amendment, any claim that factor (k)
called for consideration of a defendant’s personal development in
the wake of his crime was simply at odds with common attitudes and
the English language.
B
The next step in the process that
failed to give the jury an intelligible instruction to consider all
mitigating evidence consisted of the prosecutor’s repeated
statements telling the jury to ignore Payton’s conversion evidence
because it was not legally relevant:
“[Defense counsel] will tell you
that somehow that becoming a newborn Christian, if in fact he
really believed that took place, makes it a less severe crime, but
there is no way that can happen when—under any other circumstance
which extenuates or lessens the gravity of the crime, refers—seems
to refer to a fact in operation at the time of the offense.
“What I am getting at, you have not heard
during the past few days any legal evidence mitigation. What you’ve
heard is just some jailhouse evidence to win your sympathy, and
that’s all. You have not heard any evidence of mitigation in this
trial.” App. 70.
Although the prosecutor’s argument rested on a
perfectly fair reading of the text of the pattern instruction, its
effect, in the absence of any further instruction, was to tell the
jury that it could not consider the conversion evidence as
mitigating. Payton’s lawyer immediately objected. He expressed his
understanding that the trial judge had agreed that consideration of
the mitigating evidence was constitutionally required and meant to
let respective counsel argue only about its probative value, even
though the judge himself had refused to address this essential
constitutional issue specifically in any particular instruction.
One would reasonably suppose that the trial judge would have
realized that the prosecutor’s argument put him on the spot,
forcing him to correct the misleading statement of law with an
explicit instruction that the jury was free to treat the conversion
evidence as mitigating, evaluating its weight as the jury saw fit.
It is, after all, elementary law, federal and state, that the judge
bears ultimate responsibility for instructing a lay jury in the
law.
Carter v.
Kentucky, 450 U. S. 288, 302–303
(1981);
Bollenbach v.
United States, 326 U. S. 607, 612–614
(1946);
Quercia v.
United States, 289 U. S. 466, 469
(1933);
Sparf v.
United States, 156 U. S. 51, 102 (1895);
People v.
Roberge, 29 Cal. 4th 979, 988, 62
P. 3d 97, 102 (2003);
People v.
Beardslee,
53 Cal. 3d 68, 97, 806 P. 2d 1311, 1326 (1991). But the trial
judge did no such thing. Instead, he merely told the jury that the
prosecutor’s argument was not evidence. This instruction cured
nothing. The prosecutor’s objectionable comment was not a statement
about evidence but a statement of law. Telling the jury that a
statement of law was not evidence did nothing to correct its
functional error in misstating the law.
It is true that the prosecutor argued that
Payton’s postcrime evidence was not only beyond the jury’s
consideration legally, but also insufficient to outweigh the
aggravating circumstances. The prosecutor, however, minimized the
significance even of these brief observations by saying, “I don’t
really want to spend too much time on it because I don’t think it’s
really applicable and I don’t think it comes under any of the
eleven factors.” App. 73. Far from “explicitly assum[ing]” that the
jury’s consideration of the evidence was proper,
Boyde,
supra, at 385, the prosecutor’s comments, interwoven with
his clear statements on the scope of factor (k), could not have
left the listener with any doubt about the prosecutor’s view of the
legal relevance of the evidence.
Nothing could be further from the
circumstances in
Boyde. There the prosecutor agreed that
the character evidence was properly subject to the jury’s
consideration as mitigating, even under the ambiguous terms of
factor (k).
Ibid. The
Boyde jury heard argument
about the weight of the evidence, but not a word denying its
relevance.
Ibid. Indeed, the
Boyde majority
specifically distinguished the facts before it from the facts
confronting us here, in disclaiming any suggestion “that
prosecutorial misrepresentations may never have a decisive effect
on the jury,”
id., at 384; “arguments of counsel, like the
instructions of the court, must be judged in the context in which
they are made,”
id., at 385. If the
Boyde
majority thus anticipated a case like this one, with a possibility
of substantial prejudice arising from misrepresentation of the law,
the Court’s prescience is attributable to the State’s position in
the
Boyde argument: the Supervising Deputy Attorney
General of California appearing for the State in
Boyde
urged the Court to see that case in a light favorable to the State,
in contrast to Payton’s case, to which counsel referred by name, as
a case in which the prosecutor had “misled the jurors.” Tr. of Oral
Arg. in O. T. 1989, No. 88–6613, p. 29.
Boyde is
thus no authority for giving the State a pass here. The Court is
faced with the prosecutor’s conceded misstatement,
ante,
at 3 (majority opinion), misleading to the jury, which obliged the
trial court, however “reluctant to strike out on its own” beyond
the pattern instructions, to “do more than figuratively throw up
its hands.”
People v.
Beardslee,
supra,
at 97, 806 P. 2d, at 1326.
C
The final misstep that
distinguishes this case from the authority of
Boyde is the
judge’s charge, which must be understood against the background of
the mitigating testimonial evidence that the jury did, after all,
hear. At each stage of Payton’s appeal and collateral challenge,
the State has argued that it makes no sense to suggest the jury
would have disregarded substantive evidence with no other purpose
than mitigation, when ignoring it would have meant that Payton’s
mitigation witnesses were just putting on a pointless charade. An
argument like this was one of the reasons for affirming the
conviction in
Boyde, 494 U. S., at 383, and both the
Supreme Court of California and the majority today rely on a
reprise of it to affirm here,
People v.
Payton, 3
Cal. 4th 1050, 1072, 839 P. 2d 1035, 1049 (1992);
ante, at 10 (majority opinion). This is, however, an
argument to be entertained only with great caution in the best of
circumstances, and while
Boyde’s circumstances were good,
this is a very different case from
Boyde.
The need for caution is plain:
the constitutional concern with mitigating evidence is not
satisfied by the mere ability of a defendant to present it. The
sentencing body must have a genuine opportunity to consider it and
give effect to it.
Penry v.
Lynaugh, 492 U. S.,
at 320. As the Court said in
Boyde, “[p]resentation of
mitigating evidence alone … does not guarantee that a jury will
feel entitled to consider that evidence.” 494 U. S., at 384. For
this reason, the Court has found Eighth Amendment violations in
circumstances precluding the sentencing body from considering the
defendant’s mitigating evidence, even where the evidence was
extensive and where it accordingly might have been thought
unnatural for the sentencer to disregard it. See,
e.g.,
Penry v.
Johnson, 532 U. S. 782, 788, 803–804 (2001);
Eddings v.
Oklahoma, 455 U. S., at 107,
113–114.
What is equally plain is that
Boyde
is no authority for thinking the combination of evidence, argument,
and charge passes muster here. Boyde’s mitigation evidence was
extensive enough to take four days and produce over 400 pages of
transcript. It addressed character and hardship, subjects
recognized by the Court as commonly thought relevant to sentencing,
and ignoring it would thus have ignored a large chunk of
intuitively acceptable evidence. Payton’s evidence, in contrast,
required parts of two half days and generated only 50 pages,
addressing a claim of dramatic self-reformation that most people
would treat with considerable caution. While it would have been
unnatural for the jury in
Boyde to feel barred from
considering the character evidence when no lawyer or judge had ever
called it irrelevant, Payton’s jury had plenty of reason to feel
itself precluded: the prosecutor emphatically and repeatedly said
that the evidence did not count as the kind of evidence that could
extenuate the crime, and the trial judge allowed the prosecutor’s
statements to go uncorrected.
More significant even than those contrasts
between
Boyde and the facts here is the difference between
the two sets of instructions from the trial judges. In
Boyde, this Court found it significant that “[t]he jury
was instructed that it ‘
shall consider all the evidence
which has been received during any part of the trial of this
case.’ ” 494 U. S., at 383 (emphasis added by
Boyde
majority). Reasonable jurors could therefore hardly “have felt
constrained by the factor (k) instruction to
ignore all of
the evidence presented by the petitioner during the sentencing
phase.”
Id., at 383–384 (emphasis again supplied by
Boyde majority).
Here, however, the instruction was different,
a variant permitted by the legislature’s pattern charge. Here the
instruction was not simply to consider all the evidence, but
rather, “you shall consider all of the evidence which has been
received during any part of the trial in this case, except as you
may be hereafter instructed.” App. 94. “Hereafter,” of course, came
the instruction to determine the penalty by applying the eleven
enumerated factors, including factor (k). As to the factor (k)
focus on the “gravity of the crime,” the prosecutor repeatedly had
said that evidence of postcrime conversion was irrelevant, and his
mistaken and misleading statements of law had never been corrected
by the trial judge.
The upshot was this. The jury was told by the
judge that some evidence could be excluded from its consideration.
The judge presumably had some reason to say this. The only evidence
that could reasonably have fallen within the exception was the
evidence the prosecutor had just said was legally irrelevant, in a
statement that was eminently plausible owing to the language of
factor (k) and the subject matter of the evidence. The jurors could
naturally have made sense of all they had heard by concluding they
were required not to scrutinize and discount the conversion
evidence if they found it unpersuasive, but to skip the scrutiny
altogether and ignore the evidence as legally beside the point.
This case is nothing like
Boyde.
But even if the case were closer to
Boyde than it is, and even if the course of Payton’s
penalty trial were best viewed the way the majority suggests, that
would not satisfy
Boyde’s test.
Boyde asks only
whether there is a “reasonable likelihood” that the jury understood
an instruction as foreclosing consideration of the defendant’s
mitigating evidence. 494 U. S., at 380. A defendant has no need to
show it is “more likely than not” that the jury misunderstood.
Ibid. Accordingly, even if the best explanation for the
jury’s verdict were the one the majority offers, that would not
resolve Payton’s claim. Identifying the “most likely”
interpretation of events at Payton’s trial,
ante, at 13
(majority opinion), falls short of negating the reasonably likely
alternative that the jury believed it could not consider the story
of Payton’s postcrime conversion.
The Court’s oft-repeated conclusion that the
state court did not unreasonably apply
Boyde seems to rest
on two assumptions. The first is a loose understanding of
Boyde as holding that factor (k) “directs jurors to
consider any other circumstance that might lessen a defendant’s
culpability,”
ante, at 13 (majority opinion). The second
is that factor (k) as so understood directs jurors to consider
circumstances that do not excuse a crime or lessen a defendant’s
culpability but nevertheless supply some different (even postcrime)
reason to forgo a sentence of death. But
Boyde held only
that the factor (k) instruction tells jurors “to consider any other
circumstance that might excuse the crime, which certainly includes
a defendant’s background and character,” 494 U. S., at 382
(emphasis deleted).
Boyde did not purport to hold that
factor (k) naturally called for consideration of postcrime changes
of fundamental views. It is thus only by broadening
Boyde
to sanction a misreading of factor (k), a misreading that the
prosecutor himself rejected in good faith, that the Court can find
a reasonable application of law in the state court’s decision. The
mistake will unfortunately reverberate even beyond this case, for
the majority further obscures the necessarily inexact distinction
between cases that are merely wrong and cases with objectively
unreasonable error. Compare
Penry v.
Johnson,
532 U. S. 782 (finding that a
confusing jury instruction created a reasonable likelihood the jury
would not feel free to consider mitigating evidence, and that the
state court’s contrary conclusion was “objectively unreasonable,”
even though the jury heard extensive mitigating evidence submitted
without objection as to relevance, even though the judge took care
to instruct the jury to consider “ ‘any aspect of the
defendant’s character and record or circumstances of the crime
which you believe could make a death sentence
inappropriate,’ ” even though the prosecutor never questioned
the relevance of the evidence when addressing the jury, and even
though both counsel argued at length to the jury about the weight
of the evidence).
IV
By the State’s admission in this
case, the prosecutor’s argument was a “misstatement” of
constitutional law. By the State’s admission in
Boyde, the
prosecutor here “misled” the jury. Despite objection by defense
counsel, the trial judge refused to correct the misstatement, which
the prosecutor proceeded to repeat. The judge’s subsequent charge
to consider all evidence was subject to a qualification that the
jury could reasonably have understood only as referring to the
mitigation evidence the prosecutor had branded as irrelevant under
a straightforward reading of the pattern instructions.
If a prosecutor had stood before
a jury and denied that a defendant was entitled to a presumption of
innocence; if the judge refused to correct him and failed to give
any instruction on the presumption of innocence; if the judge’s
instructions affirmatively suggested there might not be a
presumption of innocence; would anyone doubt that there was a
reasonable possibility that the jury had been misled? There is no
more room here to doubt the reasonable possibility that Payton’s
jurors failed to consider the postoffense mitigation evidence that
the Constitution required them to consider. In a case that
contrasts with
Boyde at every significant step, the State
Supreme Court’s affirmance of Payton’s conviction can only be seen
as an unreasonable misapplication of the governing federal
standard, not mere error. And since Payton’s death sentence is
subject to this reasonable possibility of constitutional error,
since he may die as a consequence, the effect of the instruction
failure is surely substantial and injurious,
Brecht v.
Abrahamson, 507 U. S. 619, 638
(1993), beyond any possible excuse as harmless error.
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