State of Arizona v. Philip John Martin
State of Arizona v. Philip John Martin
Opinion of the Court
¶1 Philip John Martin was tried for first-degree murder in 2013, but the jury marked the verdict form "[u]nable to agree" on that charge and instead found him guilty of the lesser-included offense of second-degree murder. After successfully appealing that conviction, Martin was retried and convicted of first-degree murder. We hold that double jeopardy barred Martin's retrial for first-degree murder because the State had a full and fair opportunity to try him on that charge in the first trial and the jury, after full deliberation, refused to convict.
BACKGROUND
¶2 Martin shot and killed his neighbor with a single shotgun blast as the neighbor approached Martin's house to speak with him. Martin admitted that he shot his neighbor, contending he believed the victim was armed and coming to harm him after the victim ignored his demands to leave. The State charged Martin with premeditated first-degree murder under A.R.S. § 13-1105(A)(1).
¶3 At Martin's first trial for first-degree murder, the trial court provided the jury with a standard instruction on the lesser-included offense of second-degree murder.
See
State v. LeBlanc
,
You may find the defendant guilty of the less serious crime if all of you agree that the state has failed to prove the defendant guilty of the more serious crime beyond a reasonable doubt, or if after reasonable efforts you are unable to agree unanimously on the more serious crime, and you do all agree that the state has proven the defendant guilty of the less serious crime.
The jury returned the verdict form with the box marked "[u]nable to agree" on the first-degree murder charge but found Martin guilty of second-degree murder. He was sentenced to sixteen years in prison.
¶4 Martin appealed on procedural grounds, and the court of appeals reversed the conviction and remanded for a new trial.
State v. Martin
, No. 1 CA-CR 13-0839,
¶5 Before the second trial, the trial court granted the State's motion to retry Martin for first-degree murder, over Martin's objection that doing so would violate double jeopardy. The court ruled that no "implied acquittal" occurred in the first trial, that the jury was genuinely deadlocked, and that the State demonstrated a "manifest necessity" for continuing Martin's jeopardy for first-degree murder. Therefore, jeopardy did not terminate on the first-degree murder charge. The court expressed its misgivings over the ruling, however, observing that the State had the opportunity to convict Martin of first-degree murder and failed, that the State could not have retried Martin for first-degree murder had he not appealed the second-degree murder conviction, and that by doing so Martin essentially forfeited his sixteen-year sentence and was now exposed to a life sentence by having exercised his appellate rights.
¶6 In the subsequent retrial, the jury found Martin guilty of first-degree murder and the court sentenced him to natural life in prison. The court of appeals affirmed Martin's conviction and sentence.
State v. Martin
,
¶7 We granted review because whether double jeopardy prevents a retrial on the greater offense in these circumstances presents a recurring question of statewide importance. We have jurisdiction under article 6, section 5(3) of the Arizona Constitution. Whether double jeopardy bars retrial is a
question of law that this Court reviews de novo.
State v. Moody
,
DISCUSSION
¶8 "The constitutional prohibition against 'double jeopardy' was designed to protect an individual from being subjected to the hazards of trial and possible conviction more than once for an alleged offense."
Green v. United States
,
¶9 Martin primarily relies on
Green v. United States
to argue that the first trial fully resolved his guilt on the first-degree murder charge such that the State could only retry him for second-degree murder at his subsequent trial. In
Green
, the United States Supreme Court barred retrial on a first-degree murder charge after the first jury was silent on that charge but returned a guilty verdict on the lesser-included offense of second-degree murder, and that conviction was overturned on appeal.
¶10 By contrast, the State cites
Richardson v. United States
for the proposition that "a retrial following a 'hung jury' does not violate the Double Jeopardy Clause."
¶11 We agree with Martin that
Green
guides the analysis here. The Court observed that it is not "essential that a verdict of guilt or innocence be returned for a defendant to have once been placed in jeopardy so as to bar a second trial on the same charge."
Green
,
¶12 The Court in
Green
observed that in such circumstances, "the great majority of cases in this country have regarded the jury's verdict as an implicit acquittal on the charge of first degree murder," but the Court concluded that a finding that jeopardy for first-degree murder terminated upon conviction of the lesser-included offense "need not rest alone" on the implied-acquittal assumption.
¶13 The Court expressly reaffirmed
Green
's holding in
Price v. Georgia
,
¶14 The Court further clarified the applicable principles in
Arizona v. Washington
. In that case, the trial judge declared a mistrial because of defense counsel's improper remarks during opening statements.
¶15 The Court also observed that the general rule of a single opportunity to prosecute a charge does not apply where a trial court declares a mistrial based on a finding of "a genuinely deadlocked jury."
¶16 The State here insists it did not have a full and complete opportunity to convict Martin of first-degree murder in the first trial because the jury indicated it was unable to agree to a verdict on that charge. The State correctly notes that "[u]nable to agree" does not equate to an implicit acquittal.
Cf.
Richardson
,
¶17 The only exception applicable here would be if the State had demonstrated a "manifest necessity" to support the trial court declaring a mistrial and discharging the jury because it was deadlocked.
See
Washington
,
¶18 The process for fully and completely prosecuting a criminal case in Arizona is set forth in
LeBlanc
, which established a unitary process for jury consideration of greater and lesser-included offenses.
¶19 The Court reasoned that the "reasonable efforts" procedure "diminishes the likelihood of a hung jury, and the significant costs of retrial, by providing options that enable the fact finder to better gauge the fit between the state's proof and the offenses being considered."
¶20 The State concedes that the verdict here was reached in accord with the
LeBlanc
instruction. The jury was admonished to carefully consider whether the evidence supported conviction on the greater offense, and to consider the lesser-included offense only if it acquitted him on the greater charge or was unable to agree. Either way, the State had a full and complete opportunity to prove its case for first-degree murder, and jeopardy terminated for that crime following the jury's guilty verdict for second-degree murder.
See
Green
,
¶21 We recognize that this unitary approach toward jury deliberation over greater and lesser-included offenses does not lend itself to a ready opportunity for the prosecution to seek a mistrial based on a deadlocked jury.
See
Espinoza
,
¶22 Finally, the State argues that it was Martin who extended jeopardy by deciding to appeal his second-degree murder conviction. The State acknowledges that if Martin had not appealed his conviction for second-degree murder, double jeopardy would have prohibited a new trial on the first-degree murder charge, but it asserts that jeopardy continued once Martin appealed. The State is wrong. By appealing a conviction on a lesser-included offense, a defendant does not restart the jeopardy clock on a greater charge.
Green
,
¶23 Indeed, the Supreme Court expressly rejected as "paradoxical" and "wholly fictional" the notion that a defendant essentially waives double jeopardy rights by appealing a conviction on a lesser charge.
¶24 For the foregoing reasons, we conclude that trying Martin a second time for first-degree murder under the circumstances here violated his constitutional right to be free from double jeopardy.
CONCLUSION
¶25 The State alternatively asks us to reinstate Martin's conviction for second-degree murder. Martin argues that retrying him for first-degree murder may have made it more likely for the jury to convict him of the lesser-included offense than if the jury had considered the second-degree murder charge alone.
See
Price
,
Concurring Opinion
¶26 I concur in the Court's opinion. The Court faithfully applies the reasonable-efforts framework set out by
State v. LeBlanc
,
¶27 LeBlanc never addressed the double jeopardy consequences of a jury reaching an "unable to agree" verdict. Generally, when a jury is hung, double jeopardy does not attach.
Richardson v. United States
,
¶28 Compounding this problem is the fact that LeBlanc 's approach "does not lend itself to a ready opportunity for the prosecution to seek a mistrial based on a deadlocked jury." See supra ¶ 21. As a practical matter, LeBlanc provides no opportunity for the state to seek a mistrial. For example, in the typical case, if the jurors are truly hung on a charge, they can advise the judge that they are at an impasse. However, because LeBlanc only requires the jurors to engage in "reasonable efforts" in considering the greater charge (rather than having to actually agree on a verdict of guilty or not guilty), it seems unlikely that they would advise the judge that they are at an impasse-particularly when they can simply state they are "unable to agree" and move on to the lesser charge.
¶29 Requesting the judge to poll the jury is also not a viable option. When the
LeBlanc
verdict form is returned to the court, the jury has already reached a verdict on the lesser offense. Under these circumstances, why would the prosecutor request the judge to poll the jury about their "unable to agree" verdict on the greater charge? Worse yet, what if the jury responds they are not hung, and they request assistance from the court in breaking the impasse?
See
Ariz. R. Crim. P. 22.4 & cmt. (stating the trial judge may assist a jury at an impasse by "giving additional instructions; clarifying earlier instructions; directing the attorneys to make additional closing argument; reopening the evidence for limited purposes; or a combination of these measures"). Would the judge allow additional arguments or evidence, and then instruct the jurors to resume their deliberations on the greater charge? Obviously not. After all, given the fact that the jury has already reached a verdict on the lesser offense, any new deliberations on the greater offense are barred by double jeopardy.
Brown v. Ohio
,
¶30 As the Court notes, jeopardy attaches if the "state had a full and fair opportunity to try the defendant on a charge and the jury refused to convict."
Supra
¶ 12;
see
Green v. United States
,
¶31 Before
LeBlanc
, Arizona used the "acquittal-first" approach adopted in
State v. Wussler
,
¶32 Although there is room for debate on this issue, in my view the primary weakness of LeBlanc is that it never addressed the problem we face today: the double jeopardy consequences of allowing a jury to proceed to a lesser charge based on a verdict of "unable to agree." In contrast, despite its faults, the acquittal-first approach plainly and clearly resolves the double jeopardy issue.
¶33 The Court states that it does "not foreclose the possibility" of reexamining LeBlanc 's approach "in a future case or rule petition." Supra ¶ 21. For the reasons discussed above, I believe the Court's openness to this possibility is wise.
Reference
- Full Case Name
- STATE of Arizona, Appellee, v. Philip John MARTIN, Appellant.
- Cited By
- 1 case
- Status
- Published