Estelle V. Smith - Opinion of The Court

Opinion of The Court

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.