Hopkins v. Reeves
Opinion of the Court
delivered the opinion of the Court.
In Beck v. Alabama, 447 U. S. 625 (1980), we held unconstitutional a state statute that prohibited lesser included offense instructions in capital eases, when lesser included offenses to the charged crime existed under state law and such instructions were generally given in noncapital cases. In this ease, we consider whether Beck requires state trial courts to instruct juries on offenses that are not lesser included offenses of the charged crime under state law. We
I
In the early morning hours of March 29, 1980, police received an emergency call from the Religious Society of Friends meetinghouse in Lincoln, Nebraska. Responding to the call, they found Janet Mesner, the live-in caretaker, lying on the floor in the rear of the house with seven stab wounds in her chest. When an officer asked who had stabbed her, Mesner gave respondent’s name. The officers then went to an upstairs bedroom and found the partially clad dead body of 'Victoria Lamm, a friend of Mesner who had been visiting the meetinghouse. She had been stabbed twice, the first blow penetrating the main pulmonary artery of her heart and the second her liver. A billfold containing respondent’s identification was lying near Lamm’s body. The police found underwear, later identified as respondent’s, in the middle of the blood-soaked sheets of the bed; subsequent examination of the underwear revealed semen of respondent’s blood type. Near the bed, the police found a serrated kitchen knife with Mesner’s blood on it. Before dying, Mesner told an officer that respondent had raped her. Shortly thereafter, the police arrested respondent, who told them that although he could not remember much about the murders due to severe intoxication, he did recall stabbing and raping Mesner.
The State proceeded against respondent for both murders on a felony-murder theory. Under Nebraska law, felony murder is a form of first-degree murder and is defined as murder committed “in the perpetration of or attempt to perpetrate” certain enumerated felonies, including sexual assault or attempt to commit sexual assault in the first degree. Neb. Rev. Stat. §28-303 (1995). When proceeding on such a theory, Nebraska prosecutors do not need to prove a culpable mental state with respect to the murder because intent to kill is conclusively presumed if the State proves intent to
At trial, respondent requested that the jury be instructed on both murder in the second degree and manslaughter, which, he argued, were lesser included offenses of felony murder. App. 6-9.
After the Nebraska Supreme Court affirmed his convictions and sentences, State v. Reeves, 216 Neb. 206, 344 N. W. 2d 433, cert. denied, 469 U. S. 1028 (1984), respondent unsuccessfully pursued state collateral relief, State v. Reeves, 234 Neb. 711, 453 N. W. 2d 359 (1990). This Court then vacated the Nebraska Supreme Court’s judgment for further consideration in light of Clemons v. Mississippi, 494 U. S. 738 (1990), because respondent’s death sentence had been based in part on an invalid aggravating factor. See Reeves v. Nebraska, 498 U. S. 964 (1990). On remand, the Nebraska Su
Respondent then filed a petition for a writ of habeas corpus in Federal District Court. He raised 44 claims, including a claim that the trial court’s failure to give his requested instructions was unconstitutional under Beck. The District Court rejected the Beck claim but granted relief on an unrelated ground. 871 F. Supp. 1182, 1202, 1205-1206 (Neb. 1994). After the Court of Appeals for the Eighth Circuit reversed the latter determination and remanded the ease, 76 F. 3d 1424, 1427-1431 (1996), the District Court again granted respondent’s petition, finding a due process violation arising out of the reaffirmance of his sentences by the Nebraska Supreme Court. See 928 F. Supp. 941, 959-965 (Neb. 1996).
On the State’s appeal, the Court of Appeals held that although respondent was not entitled to relief on his due process claim, the Nebraska trial court had committed constitutional error in failing to give the requested second-degree murder and manslaughter instructions. 102 F. 3d 977 (1997). The Court of Appeals reasoned that the constitutional error was the same as that in Beck, despite the fact that there are no lesser included homicide offenses to felony murder under Nebraska law: In both cases, state law “prohibited instructions on noncapital murder charges in cases where conviction made the defendant death-eligible.” 102 F. 3d, at 983 (emphasis in original). Because respondent “could have been convicted and sentenced for either second degree murder or manslaughter,” the Court of Appeals concluded that he was constitutionally entitled to his proposed instructions. See id., at 984. It further stated that denial of the instructions could not be justified by the fact that felony murder in Nebraska does not require a culpable mental state with respect to the killing, because in Enmund v. Flor
Because the decision below conflicted with a prior decision of the Court of Appeals for the Ninth Circuit, see Greenawalt v. Ricketts, 943 F. 2d 1020 (1991), cert. denied, 506 U. S. 888 (1992), we granted certiorari. 521 U. S. 1151 (1997).
HH HH
The Court of Appeals erred in concluding that its holding was compelled by Beck, as the two cases differ fundamentally. In Beck, the defendant was indicted and convicted of the capital offense of “ ‘[^Jobbery or attempts thereof when the victim is intentionally killed by the defendant.’” 447 U. S., at 627 (quoting Ala. Code § 13-ll-2(a)(2) (1975)). Although state law recognized the noncapital, lesser included offense of felony murder, see 447 U. S., at 628-630, and although lesser included offense instructions were generally available to noncapital defendants under state law, the Ala
bti Nebraska, instructions on offenses that have been determined to be lesser included offenses of the charged crime are available to defendants when the evidence supports them, in capital and noncapital cases alike.
Beck is therefore distinguishable from this case in two critical respects. The Alabama statute prohibited instructions on offenses that state law clearly recognized as lesser included offenses of the charged crime, and it did so only in capital cases. Alabama thus erected an “artificial barrier” that restricted its juries to a choice between conviction for a capital offense and acquittal. Brief for United States as Amicus Curiae 20 (citing California v. Ramos, 463 U. S. 992, 1007 (1983)). Here, by contrast, the Nebraska trial court did not deny respondent instructions on any existing lesser included offense of felony murder; it merely declined to give instructions on crimes that are not lesser included offenses. In so doing, the trial court did not create an “artificial barrier” for the jury; nor did it treat capital eases differently from noncapital cases. Instead, it simply followed the Nebraska Supreme Court's interpretation of the relevant offenses under state law.
By ignoring these distinctions, the Court of Appeals limited státé sovereignty in a manner more severe than the rule in Beck. Almost all States, including Nebraska, provide instructions only on those offenses that have been deemed to constitute lesser included offenses of the charged crime. See n. 5, supra.
The Court of Appeals justified its holding principally on the ground that respondent had been placed in the same position as the defendant in Beck — that there had been a distortion of the factfinding process because his jury had been “ Torced into an all-or-nothing choice between capital murder and innocence.'” 102 F. 3d, at 982 (quoting Spaziano v. Florida, 468 U. S. 447, 455 (1984)). In so doing, the Court of Appeals again overlooked significant distinctions between this ease and Beck. In Beck, the death penalty was automatically tied to conviction, and Beck’s jury was told that if it convicted the defendant of the charged offense, it was required to impose the death penalty. See Beck v. Alabama, 447 U. S., at 639, n. 15. This threatened to make the issue at trial whether the defendant should be executed or not, rather than “whether the State ha[d] proved each and every element of the capital crime beyond a reasonable doubt.” Id., at 643, n. 19. In addition, the distortion of the trial process earned over directly to sentencing, because an Alabama jury unwilling to acquit had no choice but to impose the death penalty. There was thus a significant possibility that the death penalty would be imposed upon defendants whose conduct did not merit it, simply because their juries might be convinced that they had committed some serious crime and should not escape punishment entirely.
These factors are not present here. Respondent’s jury did not have the burden of imposing a sentence. Indeed, with respect to respondent’s insanity defense, it was specifically instructed that it had “no right to take into consideration what punishment or disposition he may or may not receive in the event of his conviction or . .. acquittal by reason of insanity.” App. 24. In addition, the three-judge panel that imposed the death penalty did not have to consider the dilemma faced by Beck’s jury; its alternative to death was not
Moreover, respondent’s proposed instructions would have introduced another kind of distortion at trial. Nebraska proceeded against respondent only on a theory of felony murder, a crime that under state law has no lesser included homicide offenses. The State therefore assumed the obligation of proving only that crime, as well as any lesser included offenses that existed under state law and were supported by the evidence; its entire case focused solely on that obligation. To allow respondent to be convicted of homicide offenses that are not lesser included offenses of felony murder, therefore, would be to allow his jury .to find beyond a reasonable doubt elements that the State had not attempted to prove, and indeed that it had ignored during the course of trial. This can hardly be said to be a reliable result: iCWhere no lesser included offense exists, a lesser included offense instruction detracts from, rather than enhances, the rationality of the process.” Spaziano v. Florida, supra, at 455.
The Court of Appeals also erroneously relied upon our decisions in Tison v. Arizona, 481 U. S. 137 (1987), and Enmund v. Florida, 458 U. S. 782 (1982), to support its holding. It reasoned that because those cases require proof of a culpable mental state with respect to the killing before the death penalty may be imposed for felony murder, Nebraska could not refuse lesser included offense instructions on the ground that the only intent required for a felony-murder conviction is the intent to commit the underlying felony. See 102 F. 3d, at 984. In so doing, the Court of Appeals read Tison and
Finally, respondent argues that the Nebraska Supreme Court’s longstanding interpretation that felony murder has no lesser included homicide offenses is arbitrary because, in his view, it is based only on recitations from prior cases, rather than on application of the lesser included offense tests in place since his conviction. See Brief for Respondent 40-43. This contention is certainly strained with respect to the crime of second-degree murder, which requires proof of intent to kill, while felony murder does not. See Neb. Rev. Stat. §§28-303, 28-304 (1995). It appears that the Nebraska Supreme Court has not undertaken respondent’s suggested analysis with respect to unlawful act manslaughter— unintentional killing, committed in the perpetration of an unlawful act. See §28-305. On his direct appeal, however, respondent did not challenge the Nebraska Supreme Court’s
the foregoing reasons, the Court of Appeals’ judgment granting respondent a conditional writ of habeas corpus is reversed.
It is so ordered.
Under Nebraska law, second-degree murder is defined as “caus[ing] the death of a person intentionally, but without premeditation,” §28-304, and manslaughter as “kill[ing] another without malice, either upon a sudden quarrel, or caus[ing] the death of another unintentionally while in the commission of an unlawful act,” § 28-305.
Respondent did not request an instruction on sexual assault in the first degree.
One of the questions on which we granted certiorari was whether the Court of Appeals’ holding was a “new rule” under Teague v. Lane, 489 U. S. 288 (1989). See Pet. for Cert. i. Because the State raised this argument for the first time in its petition for a writ of certiorari, we choose to decide the case on the merits. Cf. Godinez v. Moran, 509 U. S. 389, 397, n. 8 (1993) (declining to address whether the Court of Appeals created a “new rule” because the petitioner did not raise a Teague defense in the lower courts or in its petition for certiorari).
If the jury imposed the death penalty, the trial judge had the authority to reduce the sentence to life imprisonment without the possibility of parole. The jury, however, was not instructed to this effect; rather, it was told that it was required to impose the death penalty if it found the defendant guilty. See 447 U. S., at 639, n. 15.
We noted this fact in Beck in distinguishing Alabama’s scheme from the practices in the rest of the States. See 447 U. S., at 636, n. 12 (citing State v. Hegwood, 202 Neb. 379, 275 N. W. 2d 605 (1979)).
In determining whether an offense is a lesser included offense of a particular crime, the States have adopted a variety of approaches. See, e.g., State v. Berlin, 133 Wash. 2d 541, 550-551, 947 P. 2d 700, 704-705
Since the time of respondent’s conviction, Nebraska has alternated between use of the statutory elements test and the cognate evidence test; it currently employs the former. See State v. Williams, 243 Neb. 959, 963-965, 503 N. W. 2d 561, 564-565 (1993) (readopting statutory elements test), overruling State v. Garza, 236 Neb. 202, 207-208, 459 N. W. 2d 739, 743 (1990) (reaffirming cognate evidence test), disapproving State v. Lovelace, 212 Neb. 356, 359-360, 322 N. W. 2d 673, 674-675 (1982) (applying statutory elements test). It has nonetheless consistently reaffirmed its holding that felony murder has no lesser included homicide offenses.
We are not, of course, presented with a case that differs from Beck only in that the jury is not the sentencer, and we express no opinion here whether that difference alone would render Beck inapplicable. • The crucial distinction between Beck and this case, as noted, is the distinction between a State’s prohibiting instructions on offenses that state law recognizes as lesser included, and a State’s refusing to instruct on offenses that state law does not recognize as lesser included.
The dissent also appears to be of this view, contending that Nebraska’s justification for not providing an instruction on second-degree murder is inapplicable when the death penalty is sought. See post, at 101-102.
Dissenting Opinion
dissenting.
As a matter of Nebraska law, second-degree murder is not ordinarily a lesser included offense of felony murder.
The reason that Nebraska generally does not consider second-degree murder a lesser included offense of felony murder is that it requires evidence of an intent to cause the death of the victim, whereas felony murder does not. But in this case the State sought to impose the death penalty on respondent for the offense of felony murder. As a matter of federal constitutional law, under Enmund v. Florida, 458 U. S. 782 (1982), it could not do so without proving that re
Accordingly, I respectfully dissent.
See, e. g., State v. Price, 252 Neb. 365, 373, 562 N. W. 2d 340, 346 (1997); State v. Masters, 246 Neb. 1018, 1025, 524 N. W. 2d 342, 348 (1994); State v. Ruyle, 234 Neb. 760, 773, 452 N. W. 2d 734, 742-743 (1990); State v. McDonald, 195 Neb. 625, 636-637, 240 N. W. 2d 8, 15 (1976).
Moreover, a recent Nebraska Supreme Court decision suggests that Nebraska law may be in flux on the question whether second-degree murder is a lesser included offense of felony murder. Only a few weeks ago, the Nebraska Supreme Court held that a jury verdict finding a defendant guilty of second-degree murder constituted an implied acquittal of the crime of first-degree murder, as defined in §28-303 of Nebraska’s criminal code, and therefore barred a second prosecution under that section for either felony murder or premeditated murder. Nebraska v. White, 254 Neb. 566, 577 N. W. 2d 741 (1998). In reaching that holding the Court explained: "The conduct prohibited by §28-303 is first degree murder. Premeditated murder and felony murder are not denominated in Nebraska’s statutes as separate and independent offenses, but only ways in which criminal liability for first degree murder may be charged and prosecuted.” Id., at 577, 577 N. W. 2d, at 748. The difference between a charge of premeditated murder and a charge of felony murder “is a difference in the State’s theory of how [the defendant] committed the single offense of first degree murder.... Therefore, we hold that the crime of first degree murder, as defined in §28-303, constitutes one offense even though there may be alternate theories by which criminal liability for first degree murder may be charged and prosecuted in Nebraska.” Ibid. Given this holding, the Nebraska Supreme Court may conclude that second-degree murder is a lesser included offense of both premeditated and felony murder, as they are both part of the “one offense” of first-degree murder.
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