Ex Parte State
Ex Parte State
Opinion
[EDITORS' NOTE: THIS PAGE CONTAINS HEADNOTES. HEADNOTES ARE NOT AN OFFICIAL PRODUCT OF THE COURT, THEREFORE THEY ARE NOT DISPLAYED.] *Page 994
Rodericus Antonio Heard was indicted on two counts of capital murder resulting from the killing of Betty Weaver. Count I of the indictment alleged that Heard murdered Weaver during the course of a robbery in the first degree, §
The jury recommended by a vote of 9-3 that Heard be sentenced to life imprisonment without the possibility of parole on the capital-murder conviction. The trial court accepted this recommendation, sentencing Heard to life imprisonment without the possibility of parole for the capital-murder conviction. The trial court sentenced Heard to life imprisonment on the felony-murder conviction.
Heard appealed, 1 and on March 18, 2005, the Court of Criminal Appeals reversed Heard's capital-murder conviction and sentence based on Ex parte Dorsey,
I. Ex parte Dorsey.
The Court of Criminal Appeals' decision relied on Ex parteDorsey, supra. Dorsey was charged with three counts of capital murder for the death of three individuals — Richard Cary, Scott Williams, and Timothy Crane. Count 1 of the indictment charged Dorsey with murder made capital *Page 995
because the murders were committed during the course of a robbery, §
This Court stated in Dorsey:
"At the conclusion of the guilt phase of Dorsey's trial, the trial court instructed the jury on the capital offenses charged in the indictment, as well as certain lesser non-capital offenses included within the capital offenses:
"`With respect to Count One, the trial court instructed the jury on the capital offense of intentional murder during the course of a robbery. The court also instructed the jury on the lesser-included, non-capital offenses of intentional murder, felony murder, and robbery in the first degree. Each of the murder charges was potentially applicable to each murder victim: Cary, Williams, and/or Crane.
"`As for Count Two, the trial court instructed the jury on the intentional murder of two or more persons by one act or pursuant to one scheme or course of conduct — a capital offense. The court also instructed the jury on two lesser-included, non-capital offenses: (1) the intentional murder of Cary, Williams, and/or Crane; and (2) the felony murder of Cary, Williams, and/or Crane.
"`Finally, as to Count Three, the court instructed the jury on the intentional murder of a victim less than fourteen years of age (Timothy Crane)"again, a capital offense. The court instructed the jury that it could — also find Dorsey guilty of the lesser-included, non-capital offense of felony murder of Timothy Crane.[2]
"State's brief, at 13-14 (citations to reporter's transcript omitted).
"Unlike capital murder and intentional murder, as defined in §
13A-6-2 (a)(1), the crime of `[f]elony murder requires no intent to kill, but only the intent to commit the underlying felony.' Dorsey [v. State],881 So.2d [460 ], 511 [(Ala.Crim.App. 2001)]. Under §13A-6-2 (a)(3), Ala. Code 1975, `[a] person commits the crime of [felony] murder if . . . [h]e commits . . . robbery in any degree, . . . and, in the course of and in furtherance of the crime . . . or in immediate flight therefrom, he, or another participant if there be any, causes the death of any person.'"The jury returned verdicts convicting Dorsey of the felony murder of Cary under count 1, the felony murder of Williams under count 2, and the capital murder of Crane under count 3. At this point, concerned that the verdicts were inconsistent and/or incomplete, the trial court decided to reinstruct the jury with respect only to some of the charges embraced within count 1. . . .
"When the trial court reinstructed the jury with regard to Cary and Williams, it limited its instructions to the lesser-included offenses of felony murder and first-degree robbery. However, with respect to Crane, the trial court charged *Page 996 the jury with regard to both intentional murder and felony murder.
"After it deliberated a second time, the jury returned verdicts convicting Dorsey of the felony murders of Cary, Williams, and Crane, as well as robbery in the first degree. Dorsey's counsel urged the trial court to accept those verdicts. However, those verdicts did not end the trial. Instead, the trial court decided to instruct the jury a third time regarding the charge that Dorsey had intentionally murdered Crane.
"In its third instructions, the trial court stated, in part:
"`I would like for you to go back to the jury room, deliberate and come back and tell me this one question: Do you find the defendant guilty of intentional murder of Timothy Bryan Crane under Count 1 of the indictment, do you find the defendant guilty of felony murder of Timothy Bryan Crane under Count 1 of the indictment or do you find the defendant not guilty of any murder at all of Timothy Bryan Crane under Count 1 of the indictment?'
"The trial court later told the jury `to go back, deliberate and tell me whether or not you find the State has proved, beyond a reasonable doubt, that the defendant intentionally killed Timothy Bryan Crane.' The jury then returned, stating its `finding [of intentional murder] with regard to the death of Timothy Bryan Crane.'
"The trial court ultimately accepted verdicts convicting Dorsey of the felony murder of Cary, the felony murder of Williams, robbery, and the capital murder of Crane as charged in count 3 of the indictment."
This Court held that after the jury was instructed the second time and returned a verdict of felony murder for each of the victims, the conviction of the lesser-included offense of felony murder for the killing of Crane, who was under 14 years of age, necessarily acquitted Dorsey of the greater offense of capital murder of Crane. Dorsey,
This Court's decision in Dorsey has led to confusion in the lower courts. We take this opportunity to attempt to dispel some of this confusion. In Dorsey, we ultimately held that a conviction for a lesser-included offense was an implied acquittal of the greater offense, as discussed in Jeffers v. United States,
In the present case, the Court of Criminal Appeals applied our holding in Dorsey. However, the convoluted circumstances surrounding Dorsey have made the holding in that case difficult to apply. First, Dorsey began with a duplicitous indictment. Count 1 of the indictment charged Dorsey with three distinct capital offenses in one count of the indictment. Dorsey should have been indicted for three different counts of capital murder committed during a robbery because there were three victims. Although this defect in the indictment did not render the indictment void, it is obvious that the jury was confused when it originally returned verdicts convicting Dorsey of the felony murder of Cary under Count 1, the felony murder of Williams under Count 2, and the capital murder of Crane under Count 3. Essentially, the jury attempted to apply each count of the indictment to one victim when it returned its *Page 997 verdicts the first time. Furthermore, the jury eventually returned three sets of verdicts, which resulted in additional confusion.
Second, the trial court in Dorsey originally instructed the jury that felony murder was a lesser-included offense to the capital offense of intentional murder of a victim less than 14 years of age. As this Court noted inDorsey, the State did not object to this jury instructions. This Court assumed for purposes of the appeal inDorsey that the instructions were correct. However, under the particular facts of Dorsey, felony murder was not a lesser-included offense of capital murder of a victim less than 14 years of age because there was no underlying felony. Although the trial court correctly charged the jury that felony murder based on the underlying offense of robbery was a lesser-included offense of the capital offense of murder during a robbery under §
Third, Dorsey involved multiple victims, whereas in the present case, the jury returned two convictions against Heard for the death of one victim.
Therefore, the peculiar factual circumstances inDorsey have led to confusion in the law; the circumstances here are less convoluted. Heard was found guilty of more than one offense based on crimes against one victim.
II. Analysis to be applied when a single defendant is charged with multiple offenses.
Because the decision in Dorsey does not apply to the present case, we must determine what the correct analysis is under a case such as this one: What is the proper procedure for a trial court to follow when a jury returns verdicts finding a defendant guilty of more than one offense based on a crime against one victim?
The special writings in Dorsey and the Court of Criminal Appeals' decision in Heard, as well as the briefs from both parties in Heard, discuss the important issues this Court must address in a case such as this: Whether the verdicts here were inconsistent verdicts or mutually exclusive verdicts. We must also address whether the guilty verdicts against Heard for capital murder and felony murder violated double-jeopardy principles.
A. Inconsistent verdicts and mutually exclusive verdicts
The caselaw concerning inconsistent verdicts has its underpinnings in Dunn v. *Page 998 United States,
"Consistency in the verdict is not necessary. Each count in an indictment is regarded as if it was a separate indictment. . . . If separate indictments had been presented against the defendant for possession and for maintenance of a nuisance, and had been separately tried, the same evidence being offered in support of each, an acquittal on one could not be pleaded as res judicata of the other. Where the offenses are separately charged in the counts of a single indictment the same rule must hold. As was said in Steckler v. United States,
7 F.2d 59 ,60 [(2d Cir. 1925)]:"`The most that can be said about such cases is that the verdict shows that either in the acquittal or the conviction the jury did not speak their real conclusions, but that does not show that they were not convinced of the defendant's guilt. We interpret the acquittal as not more than their assumption of power which they had no right to exercise, but to which they were disposed through lenity.'
". . . .
"That the verdict may have been the result of compromise, or of a mistake on the part of jury, is possible. But verdicts cannot be upset by speculation or inquiry into such matters."
In United States v. Powell,
The defendant in Powell argued that Dunn,supra, was an incorrect statement of the law and that the principles of res judicata or collateral estoppel should apply to verdicts rendered by a single jury to preclude acceptance of a guilty verdict on a telephone-facilitation count where the jury acquits the defendant on the predicate felony. The Supreme Court stated:
"We believe the Dunn rule rests on a sound rationale that is independent of its theories of res judicata, and that it therefore survives an attack based upon its presently erroneous reliance on such theories. As the Dunn Court noted, where truly inconsistent verdicts have been reached, `[t]he most that can be said . . . is that the verdict shows that either in the acquittal or the conviction the jury did not speak their real conclusions, *Page 999 but that does not show that they were not convinced of the defendant's guilt.' Dunn, supra, at 393. The rule that the defendant may not upset such a verdict embodies a prudent acknowledgment of a number of factors. First, as the above quote suggests, inconsistent verdicts — even verdicts that acquit on a predicate offense while convicting on the compound offense — should not necessarily be interpreted as a windfall to the Government at the defendant's expense. It is equally possible that the jury reached its conclusion on the compound offense, and then through mistake, compromise, or lenity, arrived at an inconsistent conclusion on the lesser offense. But in such situations the Government has no recourse if it wishes to correct the jury's error; the Government is precluded from appealing or otherwise upsetting such acquittal by the Constitution's Double Jeopardy Clause. See Green v. United States,
355 U.S. 184 ,188 (1957); Kepner v. United States,195 U.S. 100 ,130 ,133 (1904)."Inconsistent verdicts therefore present a situation where `error,' in the sense that the jury has not followed the court's instructions, most certainly has occurred, but it is unclear whose ox has been gored. Given this uncertainty, and the fact that the Government is precluded from challenging the acquittal, it is hardly satisfactory to allow the defendant to receive a new trial on the conviction as a matter of course. Harris v. Rivera, [
454 U.S. 339 (1981)], indicates that nothing in the Constitution would require such a protection, and we therefore address the problem only under our supervisory powers over the federal criminal process. For us, the possibility that the inconsistent verdicts may favor the criminal defendant as well as the Government militates against review of such convictions at the defendant's behest. This possibility is a premise of Dunn's alternative rationale — that such inconsistencies often are a product of jury lenity. Thus, Dunn has been explained by both courts and commentators as a recognition of the jury's historic function, in criminal trials, as a check against arbitrary or oppressive exercises of power by the Executive Branch. See, e.g., United States v. Maybury,274 F.2d 899 ,902 (C.A.2 1960)(Friendly, J.); Bickel, Judge and Jury — Inconsistent Verdicts in the Federal Courts, 63 Harv. L.Rev. 649, 652 (1950). Cf. Duncan v. Louisiana,391 U.S. 145 ,155-156 (1968)."The burden of the exercise of lenity falls only on the Government, and it has been suggested that such an alternative should be available for the difficult cases where the jury wishes to avoid an all-or-nothing verdict. See Bickel, supra, at 652. Such an act is, as the Dunn Court recognized, an `assumption of a power which [the jury has] no right to exercise,' but the illegality alone does not mean that such a collective judgment should be subject to review. The fact that the inconsistency may be the result of lenity, coupled with the Government's inability to invoke review, suggests that inconsistent verdicts should not be reviewable."
The Powell Court refused to allow a defendant to challenge inconsistent verdicts on the ground that the verdict in the case was not the product of lenity, but instead was an error that worked against them. The Supreme Court abandoned that portion of its reasoning in Dunn based on a res judicata analysis.
"Sufficiency-of-the-evidence review involves assessment by the courts of whether the evidence adduced at trial could support any rational determination of guilty beyond a reasonable doubt. . . . This review should be independent of the jury's determination that evidence on another count was insufficient. The Government must convince the jury with its proof, and must also satisfy the courts that given this proof the jury could rationally have reached a verdict of guilty beyond a reasonable doubt. We do not believe that further safeguards against jury irrationality are necessary."
The Powell Court noted that nothing in the opinion was intended to resolve the question that occurs when a defendant is convicted of two crimes, and a guilty verdict on one logically excludes a finding of guilt on the other crime.
Confusion exists throughout Alabama courts over the difference between inconsistent verdicts and mutually exclusive verdicts. "The general rule is that there need be no rational compatibility between the verdicts on the several counts of an indictment. The exception to this rule is where the jury returns multiple convictions as to crimes which are mutually exclusive of each other. Conway v. State,
This confusion was heightened by our decision inDorsey. In Dorsey, the majority opinion never expressly stated that the two verdicts that concerned 13-year-old Crane — felony murder and capital murder — were mutually exclusive. See Dorsey,
Alabama appellate court cases have consistently held that inconsistent verdicts are permissible. See Hammond v.State,
"[I]f the jury disbelieved the testimony which supported the first count of the indictment, there was no basis for their verdict finding appellant guilty under the second. But, for all we can say, they *Page 1001 may have believed in the requisite way this testimony, and, in their province, simply have chosen to ground their verdict on the charge contained in the second count; the same testimony sufficing. It was strictly a jury matter."
The Court of Criminal Appeals has also based subsequent decisions on the United States Supreme Court's decision inDunn, supra. McClellan,
The Court of Criminal Appeals has also upheld jury verdicts in other cases where the verdicts were inconsistent. SeeHammond, supra (upholding a jury verdict convicting the defendant of robbery, but acquitting him of felony murder when such a verdict was inconsistent based on the facts);Hill v. State,
In Conway v. State,
"There is an exception to this rule [that consistency in verdicts is not necessary]. `The general rule dispensing with the necessity for consistency as between the acquittals and guilty verdicts under a multicount indictment or information is not ordinarily applied where the jury returns multiple convictions as to crimes which are mutually exclusive of each other.' 18 A.L.R.3d at 283."
The jury in Conway had returned verdicts of not guilty of first-degree kidnapping, but guilty of second-degree kidnapping, and guilty of felony murder based on the underlying felony of first-degree kidnapping.
"Here, the jury's verdicts of not guilty of kidnapping in the first degree and guilty of felony-murder were mutually exclusive because, by statutory definition, felony murder involves causing a death during the commission or attempt to commit certain specific felonies including kidnapping in the first degree. Alabama Code 1975, §
13A-6-2 (a)(3). Because of the very definition of the offenses, the defendant could not be guilty of felony-murder if he only committed kidnapping in the second degree. Conversely, if the defendant was guilty of felony-murder, he could not have been guilty of kidnapping in the second degree, but must have been guilty of kidnapping in the first degree."
Since Conway, there has been confusion over what verdicts are mutually exclusive and what are merely inconsistent. Decisions from other jurisdictions, which this Court finds persuasive, may be helpful in distinguishing between the two types of verdicts. We note that federal courts and a majority of state courts follow United States v.Powell in the area of inconsistent *Page 1002 verdicts. Eric J. Muller, The Hobgoblin of LittleMinds? Our Foolish Law of Inconsistent Verdicts, 111 Harv. L.Rev. 771, 787 (1998) (citing cases from jurisdictions addressing inconsistent verdicts of guilty and not guilty against a single defendant); see also 5 Wayne R. LaFave, Jerold H. Israel, and Nancy J. King, Criminal Procedure § 24.10(b) (2d ed. 1999) (noting that most state courts have followed Dunn and Powell); Annotation,Inconsistency of Criminal Verdict as Between DifferentCounts of Indictment or Information, 18 A.L.R.3d. 259 §§ 2-3 (1968) (citing cases addressing the view that contrary verdicts convicting on some counts and acquitting on others need not be consistent). "The states have been free to develop their own responses to the problem of inconsistent criminal jury verdicts because the Supreme Court found no constitutional dimension to the problem. See Powell, 469 U.S. at 65." Muller, 111 Harv. L.Rev. at 774 n. 7.
There have been numerous Georgia cases concerning inconsistent verdicts and mutually exclusive verdicts. In Milam v.State,
However, in Thomas v. State,
In Kimble v. State,
In Jackson v. State,
"[A] mutually exclusive verdict may be rendered in a particular case where the offenses or acts alleged in the indictment as underlying the felony murder and involuntary manslaughter counts reflect that the jury, in order to find the defendant guilty on both counts, necessarily reached `two positive findings of fact that cannot logically mutually exist.' Strong v. State,
223 Ga.App. 434 ,436 ,477 S.E.2d 866 (1996)(Beasley, C.J., dissenting), rev'd in Kimble v. State, 236 Ga.App. 391(1),512 S.E.2d 306 (1999). To determine whether this occurred, the alleged underlying offenses or acts must be carefully scrutinized."
The Georgia Supreme Court ultimately found these two verdicts mutually exclusive, stating, "[v]erdicts are mutually exclusive "where a guilty verdict on one count logically excludes a finding of guilt on the other. [Cits.]' United States v.Powell,
"[M]utually exclusive verdicts, which cannot both stand, result in two positive findings of fact which cannot logically mutually exist. Inconsistent verdicts, which do not introduce invalidity, bespeak a positive finding of fact as to one charge and the failure to make a positive finding of fact as to the other. The latter, which results in an acquittal, does not constitute a negative finding of fact but may be explained as compromise, *Page 1004 mistake, or lenity. We can neither speculate nor inquire."
Because aggravated assault, on which the felony-murder verdict in Jackson was based, required intentional
infliction of injury, the requisite criminal negligence for involuntary manslaughter based on reckless conduct is precluded. Thus, "[a] finding of guilt on the essential element of criminal intent for aggravated assault based on [the statute] thus excludes a finding of guilt based on the essential element of criminal negligence for reckless conduct."
The Georgia Supreme Court has addressed cases where the jury returns mutually exclusive verdicts in two different settings: before the jury has been dismissed and after the jury has been dismissed. Where the jury returns mutually exclusive verdicts at trial, the trial court should refuse to accept the mutually exclusive verdicts and instruct the jury to continue deliberating. In Dumas, supra, the court held, "the trial court was absolutely correct when it refused to accept the verdicts and sent the jury back to continue its deliberations."
If the judge did not send the jury back to resolve its mutually exclusive verdicts before the jurors were dismissed, the Georgia Supreme Court, citing Thomas andDumas, held:
"`[W]here there are mutually exclusive convictions, it is insufficient for an appellate court merely to set aside the lesser verdict, because to do so is to speculate about what the jury might have done if properly instructed, and to usurp the functions of both the jury and the trial court.' (Footnote omitted) [Dumas,Jackson,266 Ga. at 799 ,471 S.E.2d at 511 ]. Thus, where, as here, it was both legally and logically impossible to convict Jackson of both feloriy murder and involuntary manslaughter, we must reverse both mutually exclusive convictions and order a new trial."
The rationale in Powell is based upon a guilty verdict and a not-guilty verdict. In a majority of courts, including Alabama's, a guilty verdict and a notguilty verdict against a single defendant in the same trial does not entitle the defendant to relief. The resulting inconsistent verdict may arise from mistake or confusion, compromise, or lenity on the part of the jury. The defendant is afforded protection against jury irrationality or error by its review of the sufficiency of the evidence presented at trial and whether that evidence could support a rational determination of guilty beyond a reasonable doubt. As the Powell Court stated, this review is independent of the jury's determination that evidence on another count was insufficient to support a guilty verdict on that count.
We noted earlier that the Powell Court indicated that nothing in that opinion was intended to resolve the question in a case in which a defendant is found guilty of two crimes and a guilty verdict as to one crime logically excludes a finding of guilt as to the other crime. We agree with the Georgia courts; mutually exclusive verdicts are the result of two positive findings of fact that cannot logically coexist. In other words, it is legally impossible for the State to prove the elements of both crimes. In order to determine whether the guilty verdicts are mutually exclusive as a matter of law, the alleged underlying offenses or acts must be carefully scrutinized. The two guilty verdicts are not mutually exclusive *Page 1005 if no element of one crime necessarily negates an element of the other.
Mutually exclusive verdicts exist when a guilty verdict on one count logically excludes a guilty verdict on another count. In contrast, inconsistent verdicts can exist where there is a verdict of guilty and another of not guilty, as when there are two guilty verdicts that are not mutually exclusive. Inconsistent criminal verdicts are permissible; mutually exclusive verdicts are not.
There has been much confusion as to whether the verdicts returned against Heard were mutually exclusive or merely inconsistent. Heard was convicted of both capital murder and felony murder. According to Alabama law, a defendant must have the intent to kill in order to be found guilty of a capital offense. §
In other words, a felony-murder conviction does not require proof that the defendant unintentionally killed the victim, only that the defendant intended to commit the underlying felony. Therefore, it is possible that a defendant intended to kill the victim (the element necessary for the capital conviction) while at the same time intending to commit an underlying felony (the element necessary for the felony-murder conviction). Therefore, the most that can be said of the verdicts finding Heard guilty both of capital murder and of felony murder is that they may be merely inconsistent. These two verdicts are not mutually exclusive; they do not contain mutually exclusive essential elements.
Because these verdicts are not mutually exclusive, the verdicts should stand; "[t]hat the verdict may have been the result of compromise, or of a mistake on the part of the jury, is possible. But verdicts cannot be upset by speculation of inquiry into such matters." Dunn,
We recognize that the Court of Criminal Appeals has held that a verdict of felony murder and a verdict of capital murder of the same victim are legally inconsistent because one murder cannot be both unintended and intended, Dorsey v. State,
B. Double-jeopardy issues
1. Waiver
The first issue raised concerning double jeopardy is the timeliness of *Page 1006
Heard's claim that the convictions violated his protection against being twice put in jeopardy. The State argues that in accordance with Ex parte Ziglar,
"that his convictions for first-degree rape and first-degree sexual abuse arose `from a single transaction involving the same victim,' and that, therefore, the convictions violated his double jeopardy rights. Thus, he argued, `the trial court lacked jurisdiction to adjudicate and sentence [him] as guilty of both charges.'"
The special concurrence in Benefield further clarified the standard to be applied when determining whether a defendant has waived double-jeopardy claims. In her special concurrence, Justice Stuart stated:
"Additionally, I note that today's holding should not be interpreted as establishing that all double jeopardy claims are jurisdictional. For example, if a double jeopardy claim is viable before trial, then the defendant must object by pretrial motion, or the double jeopardy claim is foreclosed. Rolling v. State,673 So.2d 812 ,815 (Ala.Crim.App. 1995). Judge Shaw recognized the consistent application of this distinction between jurisdictional and nonjurisdictional double-jeopardy claims in Straughn v. State,876 So.2d 492 ,508-09 (Ala.Crim.App. 2003), stating:"`Since the decision in Rotting [v. State,
673 So.2d 812 (Ala.Crim.App. 1995)], this Court has continued to hold that certain double jeopardy claims implicate the jurisdiction of the trial court and, therefore, are not subject to waiver. [Citations omitted.] Like Rolling, most of those decisions involved simultaneous convictions for both a greater and a lesser-included offense."`However, caselaw from both this Court and the Alabama Supreme Court recognize[s] that generally other double-jeopardy claims are singularly constitutional in nature and are, therefore, subject to waiver.'"
Therefore, because, like Rolling, this case concerns simultaneous convictions involving greater and lesser-included offenses, like Rolling, Heard's double-jeopardy claim implicates the jurisdiction of the trial court and cannot be waived. The defendant can raise this claim at any time.
2. Merits of the double-jeopardy claim
The next issue is whether Heard's protection from twice being put in jeopardy for the same crime has been violated. "[T]he Double Jeopardy Clause protects against three distinct abuses: a second prosecution for the same offense after acquittal; a second prosecution for the same offense after conviction; and multiple punishments for the same offense." *Page 1007 United States v. Halper,
The test for determining whether two offenses are the same for double-jeopardy purposes was established in Blockburger v.United States,
This Court applied Blockburger in Ex parteHaney,
Likewise, in Ex parte Peraita,
In numerous cases, the Court of Criminal Appeals has also held that two capital-murder convictions resulting from the death of one victim do not violate the Blockburger test because of the requirement of different elements in the two crimes.See Powell v. State,
The Court of Criminal Appeals also applied theBlockburger test in Borden v. State,
In a footnote, the Court of Criminal Appeals discussed the application of Blockburger to the facts inBorden:
"Here, Count I and Count II of the indictment were based partly on the same act: the intentional killing of Roland Harris. However, each count charged a crime containing a statutory element not contained in the other. In this case, each capital offense charged required proof of an element that the other did not. Proof of the double murder charge in Count I required proof of more than one murder and proof that the multiple murders were committed by one act or pursuant to one scheme or course of conduct, which the firing-a-deadly-weapon-into-a-dwelling murder charge in Count II did not require. Proof of the firing-a-deadly-weapon-into-a-dwelling murder charge required proof that the defendant murdered the victim by firing a deadly weapon from outside a dwelling while the victim was inside a dwelling, which the double murder charge did not require. Under the Blockburger test, the appellant could properly be indicted and convicted for two separate and distinct capital offenses `notwithstanding a substantial overlap in the proof offered to establish the crimes.' The indictment was not multiplicitous and the separate counts, as alleged in the indictment, did not facially violate the Double Jeopardy clause."Borden,
The Court of Criminal Appeals held, though, that `[a]lthough the indictment returned against the appellant was facially valid, we find that the trial court was without jurisdiction to adjudge the appellant guilty of both capital murder for the double murder [of the victims] . . . and guilty of the intentional murder [with regard to one of the victims]."Borden,
"When the same conduct of a defendant may establish the commission of more than one offense, the defendant may be prosecuted for each such offense. He may not, however, be convicted of more than one offense if:"(1) One offense is included in the other, as defined in section
13A-1-9 . . . ."
Section
"A defendant may be convicted of an offense included in an offense charged. An offense is an included one if:"(1) It is established by proof of the same or fewer than all the facts required to establish the commission of the offense charged. . . ."
In other words, §
The Court of Criminal Appeals in Borden, therefore, held that because intentional murder, defined in §
The Court of Criminal Appeals has also applied §
Likewise, in Simmons v. State,
A defendant can be convicted of two or more capital murders for the death of one victim, so long as those convictions are in accordance with Blockburger, i.e., so long as each conviction required an element not required in the other convictions. However, when a jury returns a verdict finding a defendant guilty of capital murder on one count and guilty of a lesser-included offense of another count, if that lesser-included offense is also a lesser-included offense of the offense resulting in the capital-murder conviction, under §
In the present case, Heard was charged in Count I with murder made capital because it was committed during the course of a robbery, §
If the jury had returned verdicts of guilty on both counts of capital murder, those two convictions would have been permissible. However, the jury returned verdicts convicting Heard of the lesser-included offense of felony murder under Count I and of capital murder under Count II. Therefore, we must determine whether the felony-murder conviction is considered a lesser-included offense of the offense resulting in the capital-murder conviction on Count II.
Section
"An offense is an included one if:
"(1) It is established by proof of the same or fewer than all the facts required to establish the commission of the offense charged; or"(2) It consists of an attempt or solicitation to commit the offense charged or to commit a lesser included offense; or
"(3) It is specifically designated by statute as a lesser degree of the offense charged; or
"(4) If differs from the offense charged only in the respect that a less serious injury or risk of injury to the same person, property or public interests, or a lesser kind of culpability suffices to establish its commission."
Based on this definition of a lesser-included offense, the only category under which this case could fall would be §
Because the conviction under Count I is not for a lesser-included offense to the offense charged in Count II, §
III. Conclusion
As stated earlier, mutually exclusive verdicts occur where a guilty verdict on one count logically excludes a guilty verdict on another count. In contrast, inconsistent verdicts can occur where there is a verdict of guilty and another of not guilty, as well when there are two guilty verdicts that are not mutually exclusive. Inconsistent criminal verdicts are permissible; mutually exclusive verdicts are not.
The verdicts in this case were not mutually exclusive, and they did not violate double-jeopardy principles. Accordingly, the convictions should be upheld. The judgment of the Court of Criminal Appeals is reversed and the cause remanded for proceedings consistent with this opinion.
REVERSED AND REMANDED.* *Page 1011
NABERS, C.J., and SEE, LYONS, HARWOOD, WOODALL, STUART, SMITH, and PARKER, JJ., concur.
"(3) He or she commits or attempts to commit arson in the first degree, burglary in the first or second degree, escape in the first degree, kidnapping in the first degree, rape in the first degree, robbery in any degree, sodomy in the first degree, any other felony clearly dangerous to human life and, in the course of and in furtherance of the crime that he or she is committing or attempting to commit, or in immediate flight therefrom, he or she, or another participant if there be any, causes the death of any person."
There may be a felony "clearly dangerous to human life" that is a lesser offense included within the offense of capital murder of a victim less than 14 years of age. However, that question is not currently before this Court.
Reference
- Full Case Name
- Ex Parte State of Alabama. (In Re Rodericus Antonio Heard v. State of Alabama).
- Cited By
- 32 cases
- Status
- Published