State v. Allen
State v. Allen
Opinion
¶ 1 This case asks whether the aggravating circumstances listed in RCW 10.95.020 are "elements" of the offense of aggravated first degree murder for purposes of the Fifth Amendment's double jeopardy clause. U.S. CONST. amend. V. Respondent Dorcus Dewayne Allen was convicted of four counts of first degree murder but acquitted of two RCW 10.95.020 aggravating circumstances on each count. We later vacated Allen's convictions and remanded for a new trial.
State v. Allen,
FACTUAL BACKGROUND AND PROCEDURAL HISTORY
¶ 2 In November 2009, Maurice Clemmons shot and killed four Lakewood police officers. Allen drove Clemmons to and from the crime scene. The factual details are recounted in
Allen
I and need not be repeated here.
¶ 3 Allen was charged as an accomplice with four counts of aggravated murder in the first degree pursuant to RCW 10.95.020, which provides that "[a] person is guilty of *119 aggravated first degree murder, a class A felony, if he or she commits first degree murder as defined by RCW 9A.32.030(1)(a)... and one or more of [14 listed] aggravating circumstances exist." The information charged Allen with two aggravating circumstances for each count:
(1) that the victim was a law enforcement officer who was performing [his or her] official duties at the time of the act resulting in death, and the victim was known or reasonably should have been known by the defendant to be such at the time of the killing; and/or (2) that there was more than one victim and the murders were part of a common scheme or plan or the result of a single act of the defendant; contrary to RCW 10.95.020(1) and 10.95.020(10).
Clerk's Papers (CP) at 1-3. 2 If the jury found that either one of the aggravating circumstances existed, the minimum penalty for each first degree murder conviction would increase from a term of years to mandatory life imprisonment without the possibility of release or parole. 3 Former RCW 10.95.030(1) (1993).
¶ 4 At the close of trial, the jury was instructed to separately consider each of the four counts of murder in the first degree and to return a verdict of guilty or not guilty on each count. The jury was also given special verdict forms related to each count and was instructed to fill these forms out only if it found Allen guilty of the related murder counts. The special verdict forms read as follows:
We, the jury, having found the defendant guilty of premeditated Murder in the First Degree on verdict form [I-IV], return a special verdict by answering as follows as to Count [I-IV]:
QUESTION # 1: Has the State proven the existence of the following aggravating circumstance beyond a reasonable doubt?
The victim was a law enforcement officer who was performing his or her official duties at the time of the act resulting in death and the victim was known or reasonably should have been known by the defendant to be such at the time of the killing.
ANSWER#1: _____ (Write "yes" or "no." "Yes" requires unanimous agreement)
QUESTION #2: Has the State proven the existence of the following aggravating circumstance beyond a reasonable doubt?
There was more than one person murdered and the murders were part of a common scheme or plan or the result of a single act of the person.
ANSWER#2: _____ (Write "yes" or "no." "Yes" requires unanimous agreement)
CP at 35-38. The presiding juror wrote "no" in the blank next to each answer and circled "no."
¶ 5 On review, this court vacated Allen's convictions due to prosecutorial misconduct and remanded for a new trial.
Allen
I,
¶ 6 The Court of Appeals affirmed on discretionary interlocutory review, holding that the "State cannot retry Allen on the aggravating circumstances for which a jury found a lack of proof."
State v. Allen,
1 Wash. App. 2d 774, 787,
*120 ISSUES
A. Did the jury in Allen's first trial unanimously acquit him of both RCW 10.95.020 aggravating circumstances?
B. If Allen was acquitted on the aggravating circumstances, does the prohibition on double jeopardy bar a retrial on those aggravating circumstances?
ANALYSIS
A. Any ambiguity as to whether the jury unanimously acquitted Allen of the two aggravating circumstances was cured when the judge polled the jury
¶ 7 Both the United States and Washington Constitutions prohibit successive prosecutions for an offense on which the defendant has been acquitted. U.S. CONST. amend. V ; WASH. CONST. art. I, § 9 ;
Bravo-Fernandez v. United States
, --- U.S. ----,
¶ 8 At the time of Allen's trial, our precedent held that if a jury did not unanimously find that the State had proved an RCW 10.95.020 aggravating circumstance, the defendant was acquitted of that aggravating circumstance.
Statev. Goldberg,
¶ 9 Viewed in isolation, the "no" answer on the special verdict forms could be interpreted in two ways: (a) the jury unanimously answered "no" or (b) the jury answered "no" because they could not unanimously answer "yes." However, when polled by the trial court, each juror affirmed that the "no" verdicts were his or her own verdicts and the verdicts of the jury. Such individual jury polling is generally evidence of jury unanimity.
State v. Lamar,
¶ 10 The State contends that the jurors might have interpreted both questions as asking the same thing: "Do you unanimously agree that this was not a unanimous 'yes' "? 4 We disagree. It is unlikely that an ordinary juror would be confused in this way, and there is no indication of such confusion in the record. Thus, we affirm that the jury unanimously acquitted Allen of both aggravating circumstances at his first trial.
B. The prohibition on double jeopardy bars retrial of the RCW 10.95.020 aggravating circumstances
¶ 11 Because Allen was unanimously acquitted of the RCW 10.95.020 aggravating circumstances at his first trial, we must now determine whether the constitutional prohibition on double jeopardy bars a retrial on these aggravating circumstances. Outside of the death penalty context, the double jeopardy clause applies only to offenses, not sentences.
Bullington v. Missouri,
¶ 12 We have previously held that RCW 10.95.020 aggravating circumstances "are 'aggravation of penalty' factors which enhance the penalty for the offense, and are not elements of a crime as such."
State v. Kincaid
,
*121
Guzman Nuñez,
¶ 13 The United States Supreme Court has clarified that for Sixth Amendment purposes, "any fact that increases the mandatory minimum is an 'element' that must be submitted to the jury."
Alleyne v. United States
,
¶ 14 In light of this guidance and as explained below, we find no logical or legal basis for holding that the elements of a crime for purposes of the Sixth Amendment's right to trial by jury are different from the elements of a crime for purposes of the Fifth Amendment's double jeopardy clause. For both purposes, a fact other than proof of a prior conviction that increases the mandatory minimum sentence is an element of the offense. Accordingly, we hold that RCW 10.95.020 aggravating circumstances, which increase the mandatory minimum penalty for first degree murder, are elements of the offense of aggravated first degree murder for purposes of the double jeopardy clause. Therefore, Allen cannot be retried on the aggravating circumstances.
1. The original distinction between "sentencing factors" and "elements" for double jeopardy purposes paralleled the distinction between sentencing factors and elements for jury trial purposes
¶ 15 "A criminal 'offence' is composed of 'elements,' which are factual components that must be proved by the state beyond a reasonable doubt and submitted (if the defendant so desires) to a jury."
Monge v. California,
¶ 16 The term "sentencing factor" was first used by the United States Supreme Court in
McMillan v. Pennsylvania,
¶ 17 The difference between "elements" and "sentencing factors" was first set
*122
forth in
McMillan,
a case concerning the right to a jury trial. Whether a particular fact is treated as an element or as a sentencing factor is also critical for double jeopardy purposes because "[t]he Court generally has concluded ... that the Double Jeopardy Clause imposes no absolute prohibition against the imposition of a harsher sentence at retrial after a defendant has succeeded in having his original conviction set aside."
Bullington,
¶ 18 In
Bullington,
the United States Supreme Court "established a 'narrow exception' to the general rule" for the sentencing phase of capital murder trials.
Monge
,
¶ 19 Later, in
Monge,
the United States Supreme Court declined to apply
Bullington
to proof of a prior conviction in a noncapital case, even if similar sentencing procedures were used.
¶ 20 It remains true that proof of a prior conviction does not require trial-like procedures or proof beyond a reasonable doubt.
Alleyne,
2. Constitutional limits on "sentencing factors" for Sixth Amendment purposes have been refined over time
¶ 21 As noted above, state legislatures' authority to distinguish sentencing factors from elements for Sixth Amendment purposes is subject to constitutional limitations.
McMillan,
¶ 22 The first such case,
Apprendi
, concerned New Jersey's hate crimes statute, which increased the maximum sentence for a crime if a judge found by a preponderance of the evidence that the crime was committed " 'with a purpose to intimidate an individual or group of individuals because of race, color, gender, handicap, religion, sexual orientation or ethnicity.' "
¶ 23 The line of cases that followed
Apprendi
applied its rule in a number of other contexts.
See
Ring v. Arizona
¶ 24 This changed with the Supreme Court's holding in
Alleyne,
which overruled
Harris
and held that "there is no basis in principle or logic to distinguish facts that raise the maximum from those that increase the minimum."
¶ 25 Thus, a "sentencing factor" is defined as a fact that can increase the sentence for a crime but does not need to be proved to a jury beyond a reasonable doubt, such as proof of a prior conviction. Over time, the United States Supreme Court has substantially limited the types of facts that may be designated as sentencing factors for purposes of the Sixth Amendment's jury-trial right. In accordance with Alleyne, the legislature's designation of a fact as a sentencing factor no longer controls. Now, a fact other than proof of a prior conviction that increases the minimum penalty authorized by law must be treated as an element, not a sentencing factor, for Sixth Amendment purposes. It is clear that the RCW 10.95.020 aggravating circumstances are elements for Sixth Amendment purposes because they are not limited to proof of a prior conviction and, by law, they increase the minimum penalty for first degree murder.
3. A plurality of the United States Supreme Court has stated that elements are defined in the same way for purposes of the jury-trial right and the double jeopardy clause
¶ 26 As discussed above, the United States Supreme Court held in
Monge
that double jeopardy principles do not apply to sentencing factors, such as proof of prior convictions, outside the context of capital murder cases.
¶ 27 In
Sattazahn v. Pennsylvania,
the United States Supreme Court looked at the double jeopardy implications for sentencing factors after
Apprendi,
but it did not ultimately resolve the question.
¶ 28 The majority held that a hung jury was not an acquittal on the aggravating circumstance, and therefore jeopardy had not terminated on the fact.
¶ 29 Three of the five justices in the majority opined that if the jury had acquitted Sattazahn of the aggravating circumstance, double jeopardy principles would have barred retrial of that fact.
5
¶ 30 Bullington and Monge clearly indicate that whether a fact is an element for Fifth Amendment purposes depends on whether that fact is an element for Sixth Amendment purposes, that is, whether the constitution requires that the fact be proved to a jury beyond a reasonable doubt. Subsequent cases have clarified the test for determining what constitutes an element for Sixth Amendment purposes, but the United States Supreme Court has not indicated any intent to untether the definitions of an element for Fifth and Sixth Amendment purposes. The plurality in Sattazahn makes it clear that the Court is unlikely to do so, and we can find no case in our own jurisprudence that draws the distinction between elements for Fifth and Sixth Amendment purposes in a logically sound and intellectually honest way.
4. Our case law after Sattazahn and Alleyne has not addressed the precise issue before us
¶ 31 Our case law has long viewed aggravating circumstances as sentencing factors not subject to double jeopardy, but "[w]e have yet to fully weave
Apprendi
into the fabric of our case law."
State v. McEnroe
,
¶ 32 For instance, in a case similar to
Sattazahn,
we held that a jury non-finding on an aggravating circumstance did not constitute an acquittal and, thus, that double jeopardy did not prevent retrial of the aggravating circumstance.
State v. Benn,
¶ 33 In other opinions, we have indicated that the
Apprendi
line of cases does not affect the definition of an element for double jeopardy purposes, but doing so was not necessary to our decisions. For instance, in
State v. Eggleston,
the defendant was acquitted of first degree murder, but the jury returned a special verdict form on an aggravating circumstance relating to the first degree murder charge anyway.
¶ 34 In
State v. Kelley,
we considered whether imposition of a firearm enhancement where use of a firearm was an element of the underlying offense violated the double jeopardy prohibition on multiple punishments for the same offense.
¶ 35 Finally, as noted above in the discussion of the special verdict forms used in Allen's trial,
State v. Guzman Nuñez
held that jury unanimity is required for acquittal of an aggravating circumstance.
¶ 36 In sum, although our cases have previously indicated that RCW 10.95.020 aggravating circumstances are not elements for purposes of the Fifth Amendment's double jeopardy clause, the legal underpinnings for those statements have changed dramatically. We have not fully considered the impact of these changes until today.
5. The trial court properly dismissed the RCW 10.95.020 aggravating circumstances on double jeopardy grounds
¶ 37 Applying the principles from Alleyne to the facts before us, it is clear that the trial court properly dismissed the RCW 10.95.020 aggravating circumstances on double jeopardy grounds. Neither aggravating circumstance was limited to proof of a prior conviction, and either one would have increased the minimum sentence from a term of years to one of life imprisonment without the possibility of release or parole. As such, the constitution requires the aggravating circumstances to be proved to a jury beyond a reasonable doubt. The aggravating circumstances therefore no longer meet the definition of "sentencing factors" for Sixth Amendment purposes. They are elements.
¶ 38 Like the Sattazahn plurality, we can discern no principled basis for reaching a different conclusion in the double jeopardy context. We therefore hold that RCW 10.95.020 aggravating circumstances are elements of the offense of aggravated first degree murder for double jeopardy purposes. The jury acquitted Allen of both aggravating circumstances on all four counts in his first trial. Jeopardy therefore terminated on those circumstances, and the State is constitutionally barred from retrying them.
*126 CONCLUSION
¶ 39 The special verdict forms combined with the polling of the jury show that the first jury unanimously acquitted Allen of the RCW 10.95.020 aggravating circumstances. The trial court properly dismissed these aggravating circumstances at the second trial on double jeopardy grounds, and we therefore affirm the Court of Appeals and remand for further proceedings consistent with this opinion.
WE CONCUR:
Fairhurst, C.J.
Johnson, J.
Owens, J.
Stephens, J.
Wiggins, J.
González, J.
Gordon McCloud, J.
Allen also argues that collateral estoppel provides an alternative basis for holding that he cannot be retried on the aggravating circumstances. We decline to consider this argument because it was not raised below. RAP 2.5(a).
On each count, Allen was also charged with a firearm enhancement and an additional aggravating circumstance pursuant to RCW 9.94A.535(3)(v). These additional aggravators are not before us.
Aggravated first degree murder pursuant to RCW 10.95.020 was also punishable by death, but the State did not seek the death penalty. Former RCW 10.95.030(2) (1993).
Wash. Supreme Court oral argument, State v. Allen, No. 95454-2 (Oct. 18, 2018), at 12 min., 41 sec., video recording by TVW, Washington State's Public Affairs Network, http://www.tvw.org.
The four dissenting justices would have held that jeopardy terminated when the trial court entered the life sentence and therefore did not discuss how aggravating circumstances should be treated for double jeopardy purposes.
Sattazahn,
Reference
- Full Case Name
- STATE of Washington, Petitioner, v. Darcus Dewayne ALLEN Respondent.
- Cited By
- 19 cases
- Status
- Published