estelle smith argued october decided may respondent indicted texas murder state announced intention seek death penalty ensuing psychiatric examination ordered trial determine respondent competency stand trial conducted jail held examining doctor determined respondent competent thereafter respondent tried jury convicted separate sentencing proceeding held jury required texas law proceeding jury must resolve three critical issues determine whether death sentence imposed one issues involves future dangerousness defendant whether probability commit criminal acts violence constitute continuing threat society sentencing hearing doctor conducted pretrial psychiatric examination allowed testify state defense counsels objection name appear list witnesses state planned use either guilt penalty stages proceedings testimony based pretrial examination stated substance respondent danger society jury resolved issue future dangerousness well two issues respondent thus texas law death penalty mandatory texas criminal appeals affirmed conviction death sentence unsuccessfully seeking writ habeas corpus state courts respondent petitioned relief federal district vacated death sentence found constitutional error admitting doctor testimony penalty phase appeals affirmed held admission doctor testimony penalty phase violated respondent fifth amendment privilege compelled advised pretrial psychiatric examination right remain silent statement made used capital sentencing proceeding pp basis distinguishing guilt penalty phases respondent trial far protection fifth amendment privilege concerned state attempt establish respondent future dangerousness relying unwarned statements made examining doctor infringed fifth amendment much effort compel respondent testify sentencing hearing pp fifth amendment privilege directly involved state used evidence respondent substance disclosures pretrial psychiatric examination fact respondent statements made context examination automatically remove reach amendment pp considerations calling accused warned prior custodial interrogation apply less force pretrial psychiatric examination issue accused neither initiates psychiatric evaluation attempts introduce psychiatric evidence may compelled respond psychiatrist statements used capital sentencing proceeding faced custody psychiatric inquiry respondent statements doctor given freely voluntarily without compelling influences used state penalty phase respondent apprised rights knowingly decided waive miranda arizona since safeguards fifth amendment privilege afforded respondent death sentence stand pp respondent sixth amendment right assistance counsel also violated state introduction doctor testimony penalty phase right already attached doctor examined respondent jail interview proved critical stage aggregate proceedings respondent defense counsel notified advance psychiatric examination encompass issue client future dangerousness respondent denied assistance counsel making significant decision whether submit examination end psychiatrist findings employed pp burger delivered opinion brennan white blackmun stevens joined part marshall joined brennan filed concurring statement post marshall filed statement concurring part post stewart filed opinion concurring judgment powell joined post rehnquist filed opinion concurring judgment post anita ashton assistant attorney general texas argued cause petitioner brief mark white attorney general john fainter first assistant attorney general ted hartley executive assistant attorney general barton boling douglas becker assistant attorneys general joel berger argued cause respondent brief john simmons jack greenberg james nabrit iii john charles boger anthony amsterdam joel klein filed brief american psychiatric association amicus curiae urging affirmance chief justice burger delivered opinion granted certiorari consider whether prosecution use psychiatric testimony sentencing phase respondent capital murder trial establish future dangerousness violated constitutional rights december respondent ernest benjamin smith indicted murder arising participation armed robbery grocery store clerk fatally shot smith accomplice accordance art tex penal code ann vernon concerning punishment murder malice aforethought state texas announced intention seek death penalty thereafter judge judicial district dallas county texas informally ordered state attorney arrange psychiatric examination smith james grigson determine smith competency stand trial see infra grigson interviewed smith jail approximately minutes concluded competent stand trial letter trial judge grigson reported findings opinion ernest benjamin smith aware difference right wrong able aid attorney defense app letter filed papers case smith tried jury convicted murder texas capital cases require bifurcated proceedings guilt phase penalty phase defendant found guilty separate proceeding jury held fix punishment penalty phase jury affirmatively answers three questions state burden proof beyond reasonable doubt judge must impose death sentence see tex code crim proc arts vernon supp one three critical issues resolved jury whether probability defendant commit criminal acts violence constitute continuing threat society art words jury must assess defendant future dangerousness commencement smith sentencing hearing state rested ubject right reopen app defense counsel called three lay witnesses smith aunt man owned gun smith carried robbery smith relatives testified good reputation character owner pistol testified smith knowledge fire mechanical defect state called grigson witness defense counsel aware trial file case grigson submitted psychiatric report form letter advising smith competent stand trial report termed smith severe sociopath contained specific reference future dangerousness trial defense counsel obtained order requiring state disclose witnesses planned use guilt stage known penalty stage subsequently trial granted defense motion bar testimony state case chief witness whose name appear list grigson name witness list defense counsel objected called stand penalty phase hearing outside presence jury grigson stated obtained permission smith attorneys examine discussed conclusions diagnosis state attorney prosecutor requested testify told approximately five days sentencing hearing began testimony probably needed within week trial judge denied defense motion exclude grigson testimony ground name state list witnesses although continuance requested recessed one hour following acknowledgment defense counsel hour right detailing professional qualifications way foundation grigson testified jury direct examination smith severe sociopath continue previous behavior sociopathic condition get worse regard another human property life regardless may treatment medicine way modifies changes behavior going go ahead commit similar criminal acts given opportunity remorse sorrow done grigson whose testimony based information derived mental status examination smith examination ordered determine smith competency stand trial state witness sentencing hearing jury answered three requisite questions affirmative thus texas law death penalty smith mandatory texas criminal appeals affirmed smith conviction death sentence smith state denied certiorari unsuccessfully seeking writ habeas corpus texas state courts smith petitioned relief district northern district texas pursuant district vacated smith death sentence found constitutional error admission grigson testimony penalty phase supp based holding failure advise smith right remain silent pretrial psychiatric examination failure notify defense counsel advance penalty phase grigson testify concluded death penalty imposed smith violation fifth fourteenth amendment rights due process freedom compelled sixth amendment right effective assistance counsel eighth amendment right present complete evidence mitigating circumstances appeals fifth circuit affirmed held smith death sentence stand state surprise use grigson witness consequences described devastating denied smith due process attorneys prevented effectively challenging psychiatric testimony went hold fifth sixth amendments texas may use evidence based psychiatric examination defendant unless defendant warned examination right remain silent allowed terminate examination wished assisted counsel deciding whether submit examination smith accorded rights death sentence set aside leav ing state authorities questions arise appropriate way proceed state legally execute defendant sentenced death indicated testimony grigson based examination smith used smith future resentencing proceeding ii several constitutional issues addressed district appeals turn first whether admission grigson testimony penalty phase violated respondent fifth amendment privilege compelled respondent advised pretrial psychiatric examination right remain silent statement made used sentencing proceeding initial inquiry must whether fifth amendment privilege applicable circumstances case state argues respondent entitled protection fifth amendment grigson testimony used determine punishment conviction establish guilt state view incrimination complete guilt adjudicated therefore fifth amendment privilege relevance penalty phase capital murder trial brief petitioner disagree fifth amendment made applicable fourteenth amendment commands person shall compelled criminal case witness essence basic constitutional principle requirement state proposes convict punish individual produce evidence independent labor officers simple cruel expedient forcing lips culombe connecticut opinion announcing judgment emphasis added see also murphy waterfront griswold fifth amendment today held availability fifth amendment privilege turn upon type proceeding protection invoked upon nature statement admission exposure invites gault case ultimate penalty death potential consequence respondent told examining psychiatrist fifth amendment prevents criminal defendant made deluded instrument conviction culombe connecticut supra quoting hawkins pleas crown ed protects well made deluded instrument execution discern basis distinguish guilt penalty phases respondent capital murder trial far protection fifth amendment privilege concerned given gravity decision made penalty phase state relieved obligation observe fundamental constitutional guarantees see green georgia presnell georgia gardner florida plurality opinion effort state compel respondent testify sentencing hearing clearly contravene fifth amendment yet state attempt establish respondent future dangerousness relying unwarned statements made grigson similarly infringes fifth amendment values state also urges fifth amendment privilege inapposite respondent communications grigson nontestimonial nature state seeks support cases holding fifth amendment violated evidence given defendant neither related communicative act used testimonial content said see dionisio voice exemplar gilbert california handwriting exemplar wade lineup schmerber california blood sample however grigson diagnosis detailed testimony based simply observation respondent rather grigson drew conclusions largely respondent account crime interview placed particular emphasis considered respondent lack remorse see app grigson prognosis future dangerousness rested statements respondent made remarks omitted reciting details crime fifth amendment privilege therefore directly involved state used evidence respondent substance disclosures pretrial psychiatric examination fact respondent statements uttered context psychiatric examination automatically remove reach fifth amendment see supra state trial judge sua sponte ordered psychiatric evaluation respondent limited neutral purpose determining competency stand trial results inquiry used state much broader objective plainly adverse respondent consequently interview grigson characterized routine competency examination restricted ensuring respondent understood charges capable assisting defense indeed application grigson findings confined serving function fifth amendment issue arisen interview analogous sanity examination occasioned defendant plea guilty reason insanity time offense defendant asserts insanity defense introduces supporting psychiatric testimony silence may deprive state effective means controverting proof issue interjected case accordingly several courts appeals held circumstances defendant required submit sanity examination conducted prosecution psychiatrist see cohen cert denied karstetter cardwell bohle weiser cert denied albright pope en banc vacated remanded grounds respondent however introduced psychiatric evidence indicated might instead state offered information obtained competency examination affirmative evidence persuade jury return sentence death respondent future dangerousness critical issue sentencing hearing one state burden proof beyond reasonable doubt see tex code crim proc arts vernon supp meet burden state used respondent statements unwittingly made without awareness assisting state efforts obtain death penalty distinct circumstances appeals correctly concluded fifth amendment privilege implicated miranda arizona acknowledged fifth amendment privilege available outside criminal proceedings serves protect persons settings freedom action curtailed significant way compelled incriminate miranda held prosecution may use statements whether exculpatory inculpatory stemming custodial interrogation defendant unless demonstrates use procedural safeguards effective secure privilege thus absent fully effective procedures person custody must receive certain warnings official interrogation including right remain silent anything said used individual purpose admonitions combat saw inherently compelling pressures work person provide awareness fifth amendment privilege consequences forgoing prerequisite intelligent decision exercise ibid considerations calling accused warned prior custodial interrogation apply less force pretrial psychiatric examination issue respondent custody dallas county jail examination ordered conducted respondent questioned psychiatrist designated trial conduct neutral competency examination rather police officer government informant prosecuting attorney immaterial grigson went beyond simply reporting issue competence testified prosecution penalty phase crucial issue respondent future dangerousness role changed became essentially like agent state recounting unwarned statements made postarrest custodial setting psychiatric evaluation respondent assuredly faced phase adversary system presence perso acting solely interest yet given indication compulsory examination used gather evidence necessary decide whether convicted sentenced death informed accordingly constitutional right answer questions put fifth amendment privilege broad mischief seeks guard counselman hitchcock privilege fulfilled criminal defendant guaranteed right remain silent unless chooses speak unfettered exercise suffer penalty silence malloy hogan agree appeals respondent fifth amendment rights violated admission grigson testimony penalty phase criminal defendant neither initiates psychiatric evaluation attempts introduce psychiatric evidence may compelled respond psychiatrist statements used capital sentencing proceeding respondent voluntarily consent pretrial psychiatric examination informed right remain silent possible use statements state rely said grigson establish future dangerousness upon adequately warned respondent indicated answer grigson questions validly ordered competency examination nevertheless proceeded upon condition results applied solely purpose circumstances proper conduct use competency sanity examinations frustrated state must make case future dangerousness way volunteered statements barred fifth amendment miranda arizona supra must conclude faced custody psychiatric inquiry respondent statements grigson given freely voluntarily without compelling influences used state penalty phase respondent apprised rights knowingly decided waive safeguards fifth amendment privilege afforded respondent thus death sentence stand respondent examined grigson already indicted attorney appointed represent appeals concluded sixth amendment right assistance counsel submitting pretrial psychiatric interview agree sixth amendment made applicable fourteenth amendment provides criminal prosecutions accused shall enjoy right assistance counsel defence vital need lawyer advice aid pretrial phase recognized nearly years ago powell alabama since held right counsel granted sixth amendment means person entitled help lawyer time adversary judicial proceedings initiated whether way formal charge preliminary hearing indictment information arraignment kirby illinois plurality opinion moore illinois wade explained central sixth amendment principle addition counsel presence trial accused guaranteed need stand alone state stage prosecution formal informal counsel absence might derogate accused right fair trial omitted respondent sixth amendment right counsel clearly attached grigson examined dallas county jail interview proved critical stage aggregate proceedings respondent see coleman alabama plurality opinion powell alabama supra defense counsel however notified advance psychiatric examination encompass issue client future dangerousness respondent denied assistance attorneys making significant decision whether submit examination end psychiatrist findings employed layman may aware precise scope nuances boundaries fifth amendment privilege assertion right often depends upon legal advice someone trained skilled subject matter maness meyers appeals observed decision made regarding proposed psychiatric evaluation literally life death matter difficult even attorney requires knowledge evidence available particular psychiatrist biases predilections possible alternative strategies sentencing hearing follows logically precedents defendant forced resolve important issue without guiding hand counsel powell alabama supra therefore addition fifth amendment considerations death penalty improperly imposed respondent psychiatric examination grigson testified penalty phase proceeded violation respondent sixth amendment right assistance counsel holding based fifth sixth amendments prevent state capital cases proving defendant future dangerousness required statute defendant may request consent psychiatric examination concerning future dangerousness hope escaping death penalty addition different situation arises defendant intends introduce psychiatric evidence penalty phase see supra moreover texas capital sentencing procedure inquiry necessary jury resolution future dangerousness issue sense confined province psychiatric experts indeed psychiatric community view clinical predictions whether person commit violent acts future fundamentally low reliability psychiatrists possess special qualifications making forecasts see report american psychiatric association task force clinical aspects violent individual stone mental health law system transition brief american psychiatric association amicus curiae jurek texas held texas capital sentencing statute unconstitutional face jury question future dangerousness joint opinion announcing judgment emphasized defendant free present whatever mitigating factors may able show range severity past criminal conduct age circumstances surrounding crime sentenced state course use type evidence seeking establish defendant propensity commit violent acts responding argument foretelling future behavior impossible joint opinion stated rediction future criminal conduct essential element many decisions rendered throughout criminal justice system decision whether admit defendant bail instance must often turn judge prediction defendant future conduct sentencing authority must predict convicted person probable future conduct engages process determining punishment impose sentenced prison predictions must made parole authorities task texas jury must perform answering statutory question issue thus basically different task performed countless times day throughout american system criminal justice footnotes omitted iii respondent fifth sixth amendment rights abridged state introduction grigson testimony penalty phase appeals concluded death sentence must vacated respondent underlying conviction challenged remains undisturbed state free conduct proceedings inconsistent opinion accordingly judgment appeals affirmed footnotes article tex code crim proc ann vernon supp provides upon finding defendant guilty capital offense shall conduct separate sentencing proceeding determine whether defendant shall sentenced death life imprisonment proceeding shall conducted trial trial jury soon practicable proceeding evidence may presented matter deems relevant sentence subsection shall construed authorize introduction evidence secured violation constitution state texas state defendant counsel shall permitted present argument sentence death two issues whether conduct defendant caused death deceased committed deliberately reasonable expectation death deceased another result raised evidence whether conduct defendant killing deceased unreasonable response provocation deceased tex code crim proc arts vernon supp appears record smith prior criminal conviction possession marihuana see app defense counsel discovered letter time jury selection began case march trial judge later explained grigson appointed oral communication letter appointment prepared records reflect entry written order judge also stated best recall informed john simmons attorney defendant appointed grigson examine defendant written report mailed ibid however defense counsel assert discovery grigson letter served first notice examined smith march day trial began defense counsel requested issuance subpoena dallas county sheriff records grigson visitation smith texas law provide statement made defendant examination hearing competency stand trial may admitted evidence defendant issue guilt criminal proceeding tex code crim proc art vernon emphasis added see also fed rule crim proc alvarez note requiring criminal defendant submit government psychiatric examination invasion privilege harv rev cases cited nn state conceded oral argument tr oral arg although appeals doubted applicability fifth amendment grigson diagnosis founded respondent mannerisms facial expressions attention span speech patterns record case sheds light whether factors alone enable psychiatrist predict future dangerousness american psychiatric association suggests however absent defendant willingness cooperate verbal content communications psychiatric examination circumstances meaningless brief american psychiatric association amicus curiae emphasis original grigson acknowledged findings based discussion respondent app replied question hat important thing caused think respondent severe sociopath follows told man named moon looked though going reach gun pointed gun toward mr moon head pulled trigger clicked misfired time hollered howie apparently partner gun watch howie got gun something sort point told know shot man told howie shot walked around man shot check see gun check see man alive dead call ambulance simply found gun underneath counter took gun money sort disregard another human life think telling story saying know man anything man back alive wish stepped body know wish checked see right indicate concern guilt remorse get theory appeals carefully left open possibility defendant wishes use psychiatric evidence behalf issue future dangerousness precluded using unless also willing examined psychiatrist nominated state recognizing attempts coerce defendant submit psychiatric inquiry future dangerousness might include penalty prosecutorial comment refusal examined appeals noted making remark allowing jury draw conclusions might clash insistence capital sentencing procedures unusually reliable see also griffin california reasons stated appeals reject state argument respondent waived fifth amendment claim failing make timely specific objection grigson testimony trial see addition note state present waiver argument petition certiorari see rule course hold fifth amendment concerns necessarily presented types interviews examinations might ordered relied upon inform sentencing determination psychiatric examinations type issue conducted adversary proceedings instituted concerned case limited right appointment presence counsel recognized fifth amendment safeguard miranda arizona see edwards arizona post rather issue us whether defendant sixth amendment right assistance counsel abridged defendant given prior opportunity consult counsel participation psychiatric examination cf infra respondent assert appeals find constitutional right counsel actually present examination fact appeals recognized attorney present psychiatric interview contribute little might seriously disrupt examination cf thornton corcoran app opinion concurring part dissenting part clear defense counsel even informed prior examination grigson appointed trial judge determine respondent competency stand trial see supra hold respondent precluded waiving constitutional right waivers assistance counsel however must voluntary must also constitute knowing intelligent relinquishment abandonment known right privilege matter depends upon particular facts circumstances surrounding case edwards arizona post quoting johnson zerbst waiver shown even alleged disposition respondent fifth sixth amendment claims need reach question whether failure give advance notice grigson appearance witness state deprived respondent due process justice brennan join opinion also adhere position death penalty circumstances unconstitutional justice marshall concurring part join part opinion adhere consistent view death penalty circumstances cruel unusual punishment forbidden eighth fourteenth amendments therefore unable join suggestion part penalty may ever constitutionally imposed justice stewart justice powell joins concurring judgment respondent indicted murder lawyer appointed represent examined grigson behest state yet examination took place without previous notice respondent counsel sixth fourteenth amendments applied cases massiah brewer williams made impermissible introduction grigson testimony respondent stage trial reason affirm judgment us without reaching issues discussed justice rehnquist concurring judgment concur judgment massiah respondent counsel notified prior grigson examination respondent notes ante respondent indicted attorney appointed represent counsel entitled made aware grigson activities involving client advise prepare client accordingly means say respondent right counsel present examination regard join careful delimiting sixth amendment issue ante since enough decide case go consider fifth amendment issues subscribe resolution convinced fifth amendment rights implicated grigson examination respondent although psychiatrist examined respondent prior trial testified concerning examination respondent stood convicted hollis smith analyzed issue psychiatrist interrogation defendant subjects presenting threat disclosure prosecutable crimes belief substance defendant responses way gave might cast light manner man involved compelled testimonial even though consequence might severe punishment even fifth amendment rights involved case respondent never invoked rights confronted grigson questions fifth amendment privilege compulsory although miranda requirement specific warnings creates limited exception rule privilege must claimed exception apply outside context inherently coercive custodial interrogations designed roberts miranda requirements certainly designed psychiatric examinations mind respondent simply inherently coercive situation considered miranda already indicted counsel appointed represent claim raised respondent answers grigson questions involuntary normal sense word unlike police officers miranda grigson questioning respondent order ascertain guilt innocence particularly since necessary decide case extend miranda requirements cover psychiatric examinations one involved