home *** CD-ROM | disk | FTP | other *** search
- Subject: SCHAD v. ARIZONA, Syllabus
-
- NOTE: Where it is feasible, a syllabus (headnote) will be
- released, as is being done in connection with this case, at the
- time the opinion is issued. The syllabus constitutes no part of
- the opinion of the Court but has been prepared by the Reporter of
- Decisions for the convenience of the reader. See United States
- v. Detroit Lumber Co., 200 U. S. 321, 337. SUPREME COURT OF THE
- UNITED STATES
-
-
- Syllabus
-
-
- SCHAD v. ARIZONA
-
-
- certiorari to the supreme court of arizona
-
- No. 90-5551. Argued February 27, 1991 -- Decided June 21, 1991
-
- After he was found with a murder victim's vehicle and other
- belongings, petitioner Schad was indicted for first-degree
- murder. At trial, the prosecutor advanced both premeditated and
- felony murder theories, against which Schad claimed that the
- circumstantial evidence proved at most that he was a thief, not a
- murderer. The court refused Schad's request for an instruction
- on theft as a lesser included offense, but charged the jury on
- second-degree murder. The jury convicted him of first-degree
- murder, and he was sentenced to death. The State Supreme Court
- affirmed, rejecting Schad's contention that the trial court erred
- in not requiring the jury to agree on a single theory of
- first-degree murder. The court also rejected Schad's argument
- that Beck v. Alabama, 447 U. S. 625, required an instruction on
- the lesser included offense of robbery.
-
- Held: The judgment is affirmed.
-
- 163 Ariz. 411, 788 P. 2d 1162, affirmed.
-
- Justice Souter delivered the opinion of the Court with
- respect to Part III, concluding that Beck v. Alabama, 447 U. S.
- 625 -- which held unconstitutional a state statute prohibiting
- lesser included offense instructions in capital cases -- did not
- entitle Schad to a jury instruction on robbery. Beck was based
- on the concern that a jury convinced that the defendant had
- committed some violent crime but not convinced that he was guilty
- of a capital offense might nonetheless vote for a capital
- conviction if the only alternative was to set him free with no
- punishment at all. See id., at 629, 630, 632, 634, 637, 642-643,
- and n.19. This concern simply is not implicated here, since the
- jury was given the "third option" of finding Schad guilty of a
- lesser included noncapital offense, second-degree murder. It
- would be irrational to assume that the jury chose capital murder
- rather than second-degree murder as its means of keeping a robber
-
- off the streets, and, thus, the trial court's choice of
- instructions sufficed to ensure the verdict's reliability. Pp.
- 19-22.
-
- Justice Souter, joined by The Chief Justice, Justice
- O'Connor, and Justice Kennedy, concluded in Part II that
- Arizona's characterization of first-degree murder as a single
- crime as to which a jury need not agree on one of the alternative
- statutory theories of premeditated or felony murder is not
- unconstitutional. Pp. 4-19.
-
- (a) The relevant enquiry is not, as Schad argues, whether
- the Constitution requires a unanimous jury in state capital
- cases. Rather, the real question here is whether it was
- constitutionally acceptable to permit the jury to reach one
- verdict based on any combination of the alternative findings.
- Pp. 4-5.
-
- (b) The long-established rule that a jury need not agree
- on which overt act, among several, was the means by which a crime
- was committed, provides a useful analogy. Nevertheless, the Due
- Process Clause does place limits on a State's capacity to define
- different states of mind as merely alternative means of
- committing a single offense; there is a point at which
- differences between those means become so important that they may
- not reasonably be viewed as alternatives to a common end, but
- must be treated as differentiating between what the Constitution
- requires to be treated as separate offenses subject to separate
- jury findings. Pp. 5-11.
-
- (c) It is impossible to lay down any single test for
- determining when two means are so disparate as to exemplify two
- inherently separate offenses. Instead, the concept of due
- process, with its demands for fundamental fairness and for the
- rationality that is an essential component of that fairness, must
- serve as the measurement of the level of definitional and verdict
- specificity permitted by the Constitution. P. 11.
-
- (d) The relevant enquiry must be undertaken with a
- threshold presumption of legislative competence. Decisions about
- what facts are material and what are immaterial, or, in terms of
- In re Winship, 397 U. S. 358, 364, what "fact[s] [are] necessary
- to constitute the crime," and therefore must be proved
- individually, and what facts are mere means, represent value
- choices more appropriately made in the first instance by a
- legislature than by a court. There is support for such restraint
- in this Court's "burden-shifting" cases, which have made clear,
- in a slightly different context, that the States must be
- permitted a degree of flexibility in determining what facts are
- necessary to constitute a particular offense within the meaning
- of Winship. See, e. g., Patterson v. New York, 432 U. S. 197,
- 201-202, 210. Pp. 11-13.
-
- (e) In translating the due process demands for fairness
- and rationality into concrete judgments about the adequacy of
- legislative determinations, courts should look both to history
- and widely shared state practice as guides to fundamental values.
- See, e. g., id., at 202. Thus it is significant here that
- Arizona's equation of the mental states of premeditated and
- felony murder as a species of the blameworthy state of mind
- required to prove a single offense of first-degree murder finds
- substantial historical and contemporary echoes. See, e. g.,
- People v. Sullivan, 173 N. Y. 122, 127, 65 N. E. 989, 989-990;
- State v. Buckman, 237 Neb. 936, --- N. W. 2d ---. Pp. 13-17.
-
- (f) Whether or not everyone would agree that the mental
- state that precipitates death in the course of robbery is the
- moral equivalent of premeditation, it is clear that such
- equivalence could reasonably be found. See Tison v. Arizona, 481
- U. S. 137, 157-158. This is enough to rule out the argument that
- a moral disparity bars treating the two mental states as
- alternative means to satisfy the mental element of a single
- offense. Pp. 17-18.
-
- (g) Although the foregoing considerations may not exhaust
- the universe of those potentially relevant, they are sufficiently
- persuasive that the jury's options in this case did not fall
- beyond the constitutional bounds of fundamental fairness and
- rationality. P. 19.
-
-
- Justice Scalia would reach the same result as the plurality with
- respect to Schad's verdict-specificity claim, but for a different
- reason. It has long been the general rule that when a single
- crime can be committed in various ways, jurors need not agree
- upon the mode of commission. As the plurality observes, one can
- conceive of novel "umbrella" crimes that could not, consistent
- with due process, be submitted to a jury on disparate theories.
- But first-degree murder, which has in its basic form existed in
- our legal system for centuries, does not fall into that category.
- Such a traditional crime, and a traditional mode of submitting it
- to the jury, do not need to pass this Court's "fundamental
- fairness" analysis; and the plurality provides no persuasive
- justification other than history in any event. Pp. 1-5.
-
- Souter, J., announced the judgment of the Court and delivered the
- opinion of the Court with respect to Part III, in which
- Rehnquist, C. J., and O'Connor, Scalia, and Kennedy, JJ., joined,
- and an opinion with respect to Parts I and II, in which
- Rehnquist, C. J., and O'Connor and Kennedy, JJ., joined. Scalia,
- J., filed an opinion concurring in part and concurring in the
- judgment. White, J., filed a dissenting opinion, in which
- Marshall, Blackmun, and Stevens, JJ., joined.
-
-
- EDWARD HAROLD SCHAD, Jr., PETITIONER
- v. ARIZONA
-
-
- on writ of certiorari to the supreme court of arizona
-
- [June 21, 1991]
-
-
- Justice Souter announced the judgment of the Court and
- delivered the opinion of the Court with respect to Part III, and
- an opinion with respect to Parts I and II in which The Chief
- Justice, Justice O'Connor, and Justice Kennedy join.
-
- /* This is a certainly arguable case. The split between the
- Justices so indicates. It is also interesting as one of the
- relatively few cases of criminal law going to the US Supreme
- Court from state courts in which the lower court found for the
- state. Generally, the US Supreme Court has been taking cases
- found in favor of defendants and reversing. */
-
-
- This case presents two questions: whether a first-degree
- murder conviction under jury instructions that did not require
- agreement on whether the defendant was guilty of premeditated
- murder or felony murder is unconstitutional; and whether the
- principle recognized in Beck v. Alabama, 447 U. S. 625 (1980),
- entitles a defendant to instructions on all offenses that are
- lesser than and included within a capital offense as charged. We
- answer no to each.
-
- I
-
- On August 9, 1978, a highway worker discovered the badly
- decomposed body of 74-year-old Lorimer Grove in the underbrush
- off U. S. Highway 89, about nine miles south of Prescott,
- Arizona. There was a rope around his neck, and a coroner
- determined that he had been strangled to death. The victim had
- left his home in Bisbee, Arizona, eight days earlier, driving his
- new Cadillac and towing a camper.
-
- On September 3, 1978, petitioner, driving Grove's
- Cadillac, was stopped for speeding by the New York State Police.
- He told the officers that he was transporting the car for an
- elderly friend named Larry Grove. Later that month, petitioner
- was arrested in Salt Lake City, Utah, for a parole violation and
- possession of a stolen vehicle. A search of the Cadillac, which
- petitioner was still driving, revealed personal belongings of
- Grove's, and petitioner's wallet contained two of Grove's credit
- cards, which petitioner had begun using on August 2, 1978. Other
- items belonging to Grove were discovered in a rental car which
- had been found abandoned off Highway 89 on August 3, 1978;
- petitioner had rented the car the previous December and never
- returned it. While in custody in Salt Lake City, petitioner told
- a visitor that he would " `deny being in any area of Arizona or
- the State of Arizona, particularly Tempe, Arizona and Prescott,
- Arizona.' " 163 Ariz. 411, 414, 788 P. 2d 1162, 1164 (1989).
-
- A Yavapai County, Arizona, grand jury indicted petitioner
- on one count of first-degree murder, and petitioner was
- extradited to stand trial. The Arizona statute applicable to
- petitioner's case defined first-degree murder as "murder which
- is . . . wilful, deliberate or premeditated . . . or which is
- committed . . . in the perpetration of, or attempt to
- perpetrate . . . robbery." Ariz. Rev. Stat. Ann. MDRV 13-452
- (Supp. 1973). {1} Petitioner was convicted and sentenced to
- death, but his conviction was set aside on collateral review.
- 142 Ariz. 619, 691 P. 2d 710 (1984).
-
- At petitioner's retrial, the prosecutor advanced theories
- of both premeditated murder and felony murder, against which
- petitioner claimed that the circumstantial evidence proved at
- most that he was a thief, not a murderer. The court instructed
- the jury that "[f]irst degree murder is murder which is the
- result of premeditation. . . . Murder which is committed in the
- attempt to commit robbery is also first degree murder." App. 26.
- The court also instructed that "[a]ll 12 of you must agree on a
- verdict. All 12 of you must agree whether the verdict is guilty
- or not guilty." Id., at 27.
-
- The defense requested a jury instruction on theft as a
- lesser included offense. The court refused, but did instruct the
- jurors on the offense of second-degree murder, and gave them
- three forms for reporting a verdict: guilty of first-degree
- murder; guilty of second-degree murder; and not guilty. The jury
- convicted petitioner of first-degree murder, and, after a further
- hearing, the judge sentenced petitioner to death.
-
- The Arizona Supreme Court affirmed. 163 Ariz. 411, 788
- P. 2d 1162 (1989). The court rejected petitioner's contention
- that the trial court erred in not requiring the jury to agree on
- a single theory of first-degree murder, explaining:
-
- " `In Arizona, first degree murder is only one crime regardless
- whether it occurs as a premeditated murder or a felony murder.
- Although a defendant is entitled to a unanimous jury verdict on
- whether the criminal act charged has been committed, the
- defendant is not entitled to a unanimous verdict on the precise
- manner in which the act was committed." Id., at 417; 788 P. 2d,
- at 1168 (quoting State v. Encinas, 132 Ariz. 493, 496, 647 P. 2d
- 624, 627 (1982)) (citations omitted).
-
-
- The court also rejected petitioner's argument that Beck
- v. Alabama, 447 U.S. 625 (1980), required an instruction on the
- lesser included offense of robbery. 163 Ariz., at 416-417, 788
- P. 2d, at 1167-1168.
-
- We granted certiorari. 498 U. S. --- (1990).
-
- II
-
- Petitioner's first contention is that his conviction
- under instructions that did not require the jury to agree on one
- of the alternative theories of premeditated and felony murder is
- unconstitutional. {2} He urges us to decide this case by holding
- that the Sixth, Eighth, and Fourteenth Amendments require a
- unanimous jury in state capital cases, as distinct from those
- where lesser penalties are imposed. See Johnson v. Louisiana,
- 406 U. S. 356 (1972); Apodaca v. Oregon, 406 U. S. 404 (1972).
- We decline to do so, however, because the suggested reasoning
- would beg the question raised. Even assuming a requirement of
- jury unanimity arguendo, that assumption would fail to address
- the issue of what the jury must be unanimous about. Petitioner's
- jury was unanimous in deciding that the State had proved what,
- under state law, it had to prove: that petitioner murdered either
- with premeditation or in the course of committing a robbery. The
- question still remains whether it was constitutionally acceptable
- to permit the jurors to reach one verdict based on any
- combination of the alternative findings. If it was, then the
- jury was unanimous in reaching the verdict, and petitioner's
- proposed unanimity rule would not help him. If it was not, and
- the jurors may not combine findings of premeditated and felony
- murder, then petitioner's conviction will fall even without his
- proposed rule, because the instructions allowed for the forbidden
- combination.
-
- In other words, petitioner's real challenge is to
- Arizona's characterization of first-degree murder as a single
- crime as to which a verdict need not be limited to any one
- statutory alternative, as against which he argues that
- premeditated murder and felony murder are separate crimes as to
- which the jury must return separate verdicts. The issue in this
- case, then, is one of the permissible limits in defining criminal
- conduct, as reflected in the instructions to jurors applying the
- definitions, not one of jury unanimity.
-
- A
-
- A way of framing the issue is suggested by analogy. Our
- cases reflect a long-established rule of the criminal law that an
- indictment need not specify which overt act, among several named,
- was the means by which a crime was committed. In Andersen v.
- United States, 170 U. S. 481 (1898), for example, we sustained a
- murder conviction against the challenge that the indictment on
- which the verdict was returned was duplicitous in charging that
- death occurred through both shooting and drowning. In holding
- that "the Government was not required to make the charge in the
- alternative," id., at 504, we explained that it was immaterial
- whether death was caused by one means or the other. Cf. Borum v.
- United States, 284 U. S. 596 (1932) (upholding the murder
- conviction of three codefendants under a count that failed to
- specify which of the three did the actual killing); St. Clair v.
- United States, 154 U. S. 134, 145 (1894). This fundamental
- proposition is embodied in Federal Rule of Criminal Procedure
- 7(c)(1), which provides that "[i]t may be alleged in a single
- count that the means by which the defendant committed the offense
- are unknown or that the defendant committed it by one or more
- specified means."
-
- We have never suggested that in returning general
- verdicts in such cases the jurors should be required to agree
- upon a single means of commission, any more than the indictments
- were required to specify one alone. In these cases, as in
- litigation generally, "different jurors may be persuaded by
- different pieces of evidence, even when they agree upon the
- bottom line. Plainly there is no general requirement that the
- jury reach agreement on the preliminary factual issues which
- underlie the verdict." McKoy v. North Carolina, 494 U. S. 433,
- 449 (1990) (Blackmun, J., concurring) (footnotes omitted).
-
- The alternatives in the cases cited went, of course, to
- possibilities for proving the requisite actus reus, while the
- present case involves a general verdict predicated on the
- possibility of combining findings of what can best be described
- as alternative mental states, the one being premeditation, the
- other the intent required for murder combined with the commission
- of an independently culpable felony. See State v. Serna, 69
- Ariz. 181, 188, 211 P. 2d 455, 459 (1949) (in Arizona, the
- attempt to commit a robbery is "the legal equivalent of . . .
- deliberation, premeditation, and design"). {3} We see no reason,
- however, why the rule that the jury need not agree as to mere
- means of satisfying the actus reus element of an offense should
- not apply equally to alternative means of satisfying the element
- of mens rea.
-
- That is not to say, however, that the Due Process Clause
- places no limits on a State's capacity to define different
- courses of conduct, or states of mind, as merely alternative
- means of committing a single offense, thereby permitting a
- defendant's conviction without jury agreement as to which course
- or state actually occurred. The axiomatic requirement of due
- process that a statute may not forbid conduct in terms so vague
- that people of common intelligence would be relegated to
- differing guesses about its meaning, see Lanzetta v. New Jersey,
- 306 U. S. 451, 453 (1939) (citing Connally v. General
- Construction Co., 269 U. S. 385, 391 (1926)), carries the
- practical consequence that a defendant charged under a valid
- statute will be in a position to understand with some specificity
- the legal basis of the charge against him. Thus it is an
- assumption of our system of criminal justice " `so rooted in the
- traditions and conscience of our people as to be ranked as
- fundamental,' " Speiser v. Randall, 357 U. S. 513, 523 (1958)
- (quoting Snyder v. Massachusetts, 291 U. S. 97, 105 (1934)), that
- no person may be punished criminally save upon proof of some
- specific illegal conduct. Just as the requisite specificity of
- the charge may not be compromised by the joining of separate
- offenses, see United States v. UCO Oil Co., 546 F. 2d 833 (CA9
- 1976), cert. denied, 430 U. S. 966 (1977), nothing in our
- history suggests that the Due Process Clause would permit a State
- to convict anyone under a charge of "Crime" so generic that any
- combination of jury findings of embezzlement, reckless driving,
- murder, burglary, tax evasion, or littering, for example, would
- suffice for conviction. {4}
-
- To say, however, that there are limits on a State's
- authority to decide what facts are indispensable to proof of a
- given offense, is simply to raise the problem of describing the
- point at which differences between means become so important that
- they may not reasonably be viewed as alternatives to a common
- end, but must be treated as differentiating what the Constitution
- requires to be treated as separate offenses. See generally Note,
- 91 Harv. L. Rev. 499, 501-502 (1977). Although we have never
- before attempted to define what constitutes an immaterial
- difference as to mere means and what constitutes a material
- difference requiring separate theories of crime to be treated as
- separate offenses subject to separate jury findings, there is a
- body of law in the federal circuits, deriving primarily from the
- decision of the Fifth Circuit in United States v. Gipson, 553 F.
- 2d 453 (1977) (Wisdom, J.), that addresses this problem. The
- defendant in Gipson was charged with violating 18 U. S. C. MDRV
- 2313, which prohibited knowingly "receiv[ing], conceal[ing],
- stor[ing], barter[ing], sell[ing] or dispos[ing] of" any stolen
- vehicle or aircraft moving in interstate commerce, and was
- convicted after the trial judge charged the jury that it need not
- agree on which of the enumerated acts the defendant had
- committed. The Fifth Circuit reversed, reasoning that the
- defendant's right to "jury consensus as to [his] course of
- action" {5} was violated by the joinder in a single count of "two
- distinct conceptual groupings," receiving, concealing, and
- storing forming the first grouping (referred to by the court as
- "housing"), and bartering, selling, and disposing ("marketing")
- constituting the second. Id., at 456-459. In that court's view,
- the acts within a conceptual grouping are sufficiently similar to
- obviate the need for jurors to agree about which of them was
- committed, whereas the acts in distinct conceptual groupings are
- so unrelated that the jury must decide separately as to each
- grouping. A number of lower courts have adopted the standard of
- "distinct conceptual groupings" as the appropriate test. E. g.,
- United States v. Peterson, 768 F.2d 64 (CA2) (Friendly, J.),
- cert. denied, 474 U. S. 923 (1985); United States v. Duncan, 850
- F. 2d 1104, 1113 (CA6 1988), cert. denied sub nom. Downing v.
- United States, 498 U. S. --- (1990); State v. Baldwin, 101 Wis.
- 2d 441, 449-450, 304 N. W. 2d 742, 747-749 (1981).
-
- We are not persuaded that the Gipson approach really
- answers the question, however. Although the classification of
- alternatives into "distinct conceptual groupings" is a way to
- express a judgment about the limits of permissible alter natives,
- the notion is too indeterminate to provide concrete guidance to
- courts faced with verdict specificity questions. See, e. g.,
- Rice v. State, 311 Md. 116, 133, 532 A. 2d 1357, 1365 (1987)
- (criticizing Gipson criteria as "not entirely clear" and as
- "provid[ing] little guidance"); Trubitt, Patchwork Verdicts,
- Different-Jurors Verdicts, and American Jury Theory: Whether
- Verdicts Are Invalidated by Juror Disagreement on Issues, 36
- Okla. L. Rev. 473, 548-549 (1983) (same). This is so because
- conceptual groupings may be identified at various levels of
- generality, and we have no a priori standard to determine what
- level of generality is appropriate. Indeed, as one judge has
- noted, even on the facts of Gipson itself, "[o]ther conceptual
- groupings of the six acts are possible. [One might] put all six
- acts into one conceptual group, namely trafficking in stolen
- vehicles." Manson v. State, 101 Wis. 2d 413, 438, 304 N. W. 2d
- 729, 741 (1981) (Abrahamson, J., concurring); accord Trubitt,
- supra, at 548-549 ("[I]t is difficult to see how a court could
- determine that `housing' and `marketing' are ultimate acts in
- some metaphysical or constitutional sense, and thus prohibit the
- legislature from including them in the single offense of
- trafficking"). In short, the notion of "distinct conceptual
- groupings" is simply too conclusory to serve as a real test.
-
- The dissent would avoid the indeterminacy of the Gipson
- approach by adopting an inflexible rule of maximum verdict
- specificity. In the dissent's view, whenever a statute lists
- alternative means of committing a crime, "the jury [must]
- indicate on which of the alternatives it has based the
- defendant's guilt," post, at 5, even where there is no indication
- that the statute seeks to create separate crimes. This approach
- rests on the erroneous assumption that any statutory alternatives
- are ipso facto independent elements defining independent crimes
- under state law, and therefore subject to the axiomatic principle
- that the prosecution must prove independently every element of
- the crime. See post, at 5-7 (citing In re Winship, 397 U. S. 358
- (1970), and Sandstrom v. Montana, 442 U. S. 510 (1979)). In
- point of fact, as the statute at issue in Gipson demonstrates,
- legislatures frequently enumerate alternative means of committing
- a crime without intending to define separate elements or separate
- crimes. {6} The question whether statutory alternatives
- constitute independent elements of the offense therefore does
- not, as the dissent would have it, call for a mere tautology;
- rather, it is a substantial question of statutory construction.
- See, e. g., United States v. UCO Oil Co., 546 F. 2d, at 835-838.
-
- In cases, like this one, involving state criminal
- statutes, the dissent's "statutory alternatives" test runs afoul
- of the fundamental principle that we are not free to substitute
- our our own interpretations of state statutes for those of a
- State's courts. If a State's courts have determined that certain
- statutory alternatives are mere means of committing a single
- offense, rather than independent elements of the crime, we simply
- are not at liberty to ignore that determination and conclude that
- the alternatives are, in fact, independent elements under state
- law. See Mullaney v. Wilbur, 421 U. S. 684, 690-691 (1975)
- (declining to reexamine the Maine Supreme Judicial Court's
- decision that, under Maine law, all intentional or criminally
- reckless killings are aspects of the single crime of felonious
- homicide); Murdock v. City of Memphis, 20 Wall. 590 (1875). In
- the present case, for example, by determining that a general
- verdict as to first-degree murder is permissible under Arizona
- law, the Arizona Supreme Court has effectively decided that,
- under state law, premeditation and the commission of a felony are
- not independent elements of the crime, but rather are mere means
- of satisfying a single mens rea element. The issue in this case
- therefore is not whether "the State must be held to its choice,"
- post, at 6-7, for the Arizona Supreme Court has authoritatively
- determined that the State has chosen not to treat premeditation
- and the commission of a felony as independent elements of the
- crime, but rather whether Arizona's choice is unconstitutional.
-
- B
-
- It is tempting, of course, to follow the example of
- Gipson to the extent of searching for some single criterion that
- will serve to answer the question facing us. We are convinced,
- however, of the impracticability of trying to derive any single
- test for the level of definitional and verdict specificity
- permitted by the Constitution, and we think that instead of such
- a test our sense of appropriate specificity is a distillate of
- the concept of due process with its demands for fundamental
- fairness, see, e. g., Dowling v. United States, 493 U. S. 342,
- 352-353 (1990), and for the rationality that is an essential
- component of that fairness. In translating these demands for
- fairness and rationality into concrete judgments about the
- adequacy of legislative determinations, we look both to history
- and wide practice as guides to fundamental values, as well as to
- narrower analytical methods of testing the moral and practical
- equivalence of the different mental states that may satisfy the
- mens rea element of a single offense. The enquiry is undertaken
- with a threshold presumption of legislative competence to
- determine the appropriate relationship between means and ends in
- defining the elements of a crime.
-
- 1
-
- Judicial restraint necessarily follows from a recognition
- of the impossibility of determining, as an a priori matter,
- whether a given combination of facts is consistent with there
- being only one offense. Decisions about what facts are material
- and what are immaterial, or, in terms of Winship, 397 U. S., at
- 364, what "fact[s] [are] necessary to constitute the crime," and
- therefore must be proved individually, and what facts are mere
- means, represent value choices more appropriately made in the
- first instance by a legislature than by a court. Respect for
- this legislative competence counsels restraint against judicial
- second-guessing, cf. Rostker v. Goldberg, 453 U. S. 57, 65 (1981)
- ("lack of competence on the part of the courts" relative to the
- legislature so counsels), which is particularly appropriate in
- cases, like this one, that call state definitions into question.
- "It goes without saying that preventing and dealing with crime is
- much more the business of the States than it is of the Federal
- Government, Irvine v. California, 347 U. S. 128, 134 (1954)
- (plurality opinion), and that we should not lightly construe the
- Constitution so as to intrude upon the administration of justice
- by the individual States." Patterson v. New York, 432 U. S. 197,
- 201 (1977).
-
- There is support for such restraint in our
- "burden-shifting" cases, which have made clear, in a slightly
- different context, that the States must be permitted a degree of
- flexibility in defining the "fact[s] necessary to constitute the
- crime" under Winship. Each of those cases arose because a State
- defined an offense in such a way as to exclude some particular
- fact from those to be proved beyond a reasonable doubt, either by
- placing the burden on defendants to prove a mitigating fact, see
- Patterson, supra (extreme emotional disturbance); Martin v. Ohio,
- 480 U. S. 228 (1987) (self-defense); see also Mullaney, supra
- (heat of passion or sudden provocation), or by allowing the
- prosecution to prove an aggravating fact by some standard less
- than that of reasonable doubt, McMillan v. Pennsylvania, 477 U.
- S. 79 (1986) (possession of a firearm). In each case, the
- defendant argued that the excluded fact was inherently "a fact
- necessary to constitute the offense" that required proof beyond a
- reasonable doubt under Winship, even though the fact was not
- formally an element of the offense with which he was charged.
- See, e. g., 477 U. S., at 90.
-
- The issue presented here is similar, for under Arizona
- law neither premeditation nor the commission of a felony is
- formally an independent element of first-degree murder; they are
- treated as mere means of satisfying a mens rea element of high
- culpability. The essence of petitioner's argument is that,
- despite this unitary definition of the offense, each of these
- means must be treated as an independent element as to which the
- jury must agree, because premeditated murder and felony murder
- are inherently separate offenses. Both here and in the
- burden-shifting cases, in other words, a defendant argues that
- the inherent nature of the offense charged requires the State to
- prove as an element of the offense some fact that is not an
- element under the legislative definition.
-
- In the burden-shifting cases, as here, we have faced the
- difficulty of deciding, as an abstract matter, what elements an
- offense must comprise. Recognizing "[o]ur inability to lay down
- any `bright-line' test," McMillan, supra, at 91, we have
- "stressed that . . . the state legislature's definition of the
- elements of the offense is usually dispositive." Id., at 85; see
- also Patterson, supra, at 201-202. We think that similar
- restraint is appropriate here, although we recognize that, as in
- the burden-shifting cases, "there are obviously constitutional
- limits beyond which the States may not go." Patterson, supra, at
- 210; see also McMillan, supra, at 86. 2
-
- The use here of due process as a measurement of the sense
- of appropriate specificity assumes the importance of history and
- widely shared practice as concrete indicators of what fundamental
- fairness and rationality require. In turning to these sources we
- again follow the example set in the burdenshifting cases, where
- we have often found it useful to refer both to history and to the
- current practice of other States in determining whether a State
- has exceeded its discretion in defining offenses. See Patterson,
- supra, at 202, 207-209 nn. 10-11; see also Martin, supra, at
- 235-236; Mullaney, supra, at 692-696. Where a State's particular
- way of defining a crime has a long history, or is in widespread
- use, it is unlikely that a defendant will be able to demonstrate
- that the State has shifted the burden of proof as to what is an
- inherent element of the offense, or has defined as a single crime
- multiple offenses that are inherently separate. Conversely, a
- freakish definition of the elements of a crime that finds no
- analogue in history {7} or in the criminal law of other
- jurisdictions will lighten the defendant's burden.
-
- /* This is on the strange hypothesis that if a state criminal law
- is unclear but has been construed so not to be as so obscure, it
- is legal. This presumes that not only is the defendant
- responsible for reading the state statutes, but also the cases
- construing the statute. */
-
- Thus it is significant that Arizona's equation of the
- mental states of premeditated murder and felony murder as species
- of the blameworthy state of mind required to prove a single
- offense of first-degree murder finds substantial historical and
- contemporary echoes. At common law, murder was defined as the
- unlawful killing of another human being with "malice
- aforethought." The intent to kill and the intent to commit a
- felony were alternative aspects of the single concept of "malice
- aforethought." See 3 J.Stephen, History of the Criminal Law of
- England 21-22 (1883). Although American jurisdictions have
- modified the common law by legislation classifying murder by
- degrees, the resulting statutes have in most cases retained
- premeditated murder and some form of felony murder (invariably
- including murder committed in perpetrating or attempting to
- perpetrate a robbery) as alternative means of satisfying the
- mental state that first-degree murder presupposes. See 2 W.
- LaFave & A. Scott, Substantive Criminal Law MDRV 7.5, pp.
- 210-211, and nn. 21, 23, 24 (1986); ALI, Model Penal Code MDRV
- 210.2, p. 32, and n. 78 (1980). Indeed, the language of the
- Arizona first-degree murder statute applicable here is identical
- in all relevant respects to the language of the first statute
- defining murder by differences of degree, passed by the
- Pennsylvania Legislature in 1794. {8}
-
- A series of state court decisions, beginning with the
- leading case of People v. Sullivan, 173 N. Y. 122, 65 N. E. 989
- (1903), have agreed that "it was not necessary that all the
- jurors should agree in the determination that there was a
- deliberate and premeditated design to take the life of the
- deceased, or in the conclusion that the defendant was at the time
- engaged in the commission of a felony, or an attempt to commit
- one; it was sufficient that each juror was convinced beyond a
- reasonable doubt that the defendant had committed the crime of
- murder in the first degree as that offense is defined by the
- statute." Id., at 127, 65 N. E., at 989-990. See People v.
- Milan, 9 Cal. 3d 185, 507 P. 2d 956 (1973); People v. Travis, 170
- Ill. App. 3d 873, 525 N. E. 2d 1137 (1988), cert. denied, 489 U.
- S. 1024 (1989); State v. Fuhrmann, 257 N. W. 2d 619 (Iowa 1977);
- State v. Wilson, 220 Kan. 341, 552 P. 2d 931 (1976);
- Commonwealth v. Devlin, 335 Mass. 555, 141 N. E. 2d 269 (1957);
- People v. Embree, 70 Mich. App. 382, 246 N. W. 2d 6 (1976); State
- v. Buckman, 237 Neb. 936, --- N. W. 2d --- (1991); James v.
- State, 637 P. 2d 862 (Okla. Crim. 1981); State v. Tillman, 750 P.
- 2d 546 (Utah 1987); see also Brown v. State, 473 So. 2d 1260
- (Fla.), cert. denied, 474 U. S. 1038 (1985). Although the state
- courts have not been unanimous in this respect, see State v.
- Murray, 308 Ore. 496, 782 P. 2d 157 (1989), there is
- sufficiently widespread acceptance of the two mental states as
- alternative means of satisfying the mens rea element of the
- single crime of first-degree murder to persuade us that Arizona
- has not departed from the norm.
-
- Such historical and contemporary acceptance of Arizona's
- definition of the offense and verdict practice is a strong in
- dication that they do not " `offen[d] some principle of justice
- so rooted in the traditions and conscience of our people as to be
- ranked as fundamental,' " Patterson, 432 U.S., at 202 (quoting
- Speiser, 357 U. S., at 523), for we recognize the high
- probability that legal definitions, and the practices comporting
- with them, are unlikely to endure for long, or to retain wide
- acceptance, if they are at odds with notions of fairness and
- rationality sufficiently fundamental to be comprehended in due
- process. Cf. Jackman v. Rosenbaum Co., 260 U. S. 22, 31 (1922)
- (Holmes, J.); Snyder, 291 U. S., at 111.
-
- This is not to say that either history or current
- practice is dispositive. In McMillan, for example, even though
- many States had made the fact at issue (possession of a weapon)
- an element of various aggravated offenses, we were unwilling to
- conclude that Pennsylvania's decision to treat it as an
- aggravating circumstance provable at sentencing by a mere
- preponderance of the evidence deviated so far from the
- constitutional norm as to violate the Due Process Clause. "That
- Pennsylvania's particular approach has been adopted in few other
- States," we observed, "does not render Pennsylvania's choice
- unconstitutional." 477 U. S., at 90; see also Martin, 480 U. S.,
- at 235-236 (relying on history, but not current practice);
- Patterson, supra, at 211. Conversely, " `neither the antiquity
- of a practice nor the fact of steadfast legislative and judicial
- adherence to it through the centuries insulates it from
- constitutional attack.' " Pacific Mutual Life Ins. Co. v. Haslip,
- 499 U. S. 1, --- (1991) (slip op. at 15) (quoting Williams v.
- Illinois, 399 U. S. 235, 239 (1970)). In fine, history and
- current practice are significant indicators of what we as a
- people regard as fundamentally fair and rational ways of defining
- criminal offenses, which are nevertheless always open to critical
- examination. 3
-
- It is, as we have said, impossible to lay down any single
- analytical model for determining when two means are so disparate
- as to exemplify two inherently separate offenses. In the case
- before us, however, any scrutiny of the two possibilities for
- proving the mens rea of first degree murder may appropriately
- take account of the function that differences of mental state
- perform in defining the relative seriousness of otherwise similar
- or identical criminal acts. See generally ALI, Model Penal Code
- MDRV 2.02(2) (1985) (defining differing mental states). If,
- then, two mental states are supposed to be equivalent means to
- satisfy the mens rea element of a single offense, they must
- reasonably reflect notions of equivalent blameworthiness or
- culpability, whereas a difference in their perceived degrees of
- culpability would be a reason to conclude that they identified
- different offenses altogether. Petitioner has made out no case
- for such moral disparity in this instance.
-
- The proper critical question is not whether premeditated
- murder is necessarily the moral equivalent of felony murder in
- all possible instances of the latter. Our cases have recognized
- that not all felony murders are of identical culpability, compare
- Tison v. Arizona, 481 U. S. 137 (1987), with Enmund v. Florida,
- 458 U. S. 782 (1982), and the same point is suggested by
- examining state murder statutes, which frequently diverge as to
- what felonies may be the predicate of a felony murder conviction.
- Compare, e. g., Tenn. Code Ann. MDRV 39-13-202 (Supp. 1990)
- (theft as predicate of first-degree felony-murder) with, e. g.,
- Ariz. Rev. Stat. Ann. MDRV 13-1105.A (1989) (theft not such a
- predicate).
-
- The question, rather, is whether felony murder may ever
- be treated as the equivalent of murder by deliberation, and in
- particular whether robbery murder as charged in this case may be
- treated as thus equivalent. This is in fact the very question we
- considered only three Terms ago in the context of our capital
- sentencing jurisprudence in Tison, supra. There we held that
- "the reckless disregard for human life implicit in knowingly
- engaging in criminal activities known to carry a grave risk of
- death represents [such] a highly culpable mental state . . . that
- [it] may be taken into account in making a capital sentencing
- judgment when that conduct causes its natural, though not
- inevitable, lethal result." Id., at 157-158. We accepted the
- proposition that this disregard occurs, for example, when a
- robber "shoots someone in the course of the robbery, utterly
- indifferent to the fact that the desire to rob may have the
- unintended consequence of killing the victim as well as taking
- the victim's property." Id., at 157. Whether or not everyone
- would agree that the mental state that precipitates death in the
- course of robbery is the moral equivalent of premeditation, it is
- clear that such equivalence could reasonably be found, which is
- enough to rule out the argument that this moral disparity bars
- treating them as alternative means to satisfy the mental element
- of a single offense. {9}
-
- We would not warrant that these considerations exhaust
- the universe of those potentially relevant to judgments about the
- legitimacy of defining certain facts as mere means to the
- commission of one offense. But they do suffice to persuade us
- that the jury's options in this case did not fall beyond the
- constitutional bounds of fundamental fairness and rationality.
- We do not, of course, suggest that jury instructions requiring
- increased verdict specificity are not desirable, and in fact the
- Supreme Court of Arizona has itself recognized that separate
- verdict forms are useful in cases submitted to a jury on
- alternative theories of premeditated and felony murder. State v.
- Smith, 160 Ariz. 507, 513, 774 P. 2d 811, 817 (1989). We hold
- only that the Constitution did not command such a practice on the
- facts of this case.
-
- III
-
- Petitioner's second contention is that under Beck v.
- Alabama, 447 U. S. 625 (1980), he was entitled to a jury
- instruction on the offense of robbery, which he characterizes as
- a lesser included offense of robbery murder. {10} Beck held
- unconstitutional an Alabama statute that prohibited lesser
- included offense instructions in capital cases. Unlike the jury
- in Beck, the jury here was given the option of finding petitioner
- guilty of a lesser included noncapital offense, seconddegree
- murder. While petitioner cannot, therefore, succeed under the
- strict holding of Beck, he contends that the due process
- principles underlying Beck require that the jury in a capital
- case be instructed on every lesser included noncapital offense
- supported by the evidence, and that robbery was such an offense
- in this case.
-
- Petitioner misapprehends the conceptual underpinnings of
- Beck. Our fundamental concern in Beck was that a jury convinced
- that the defendant had committed some violent crime but not
- convinced that he was guilty of a capital crime might nonetheless
- vote for a capital conviction if the only alternative was to set
- the defendant free with no punishment at all. We explained:
-
- [O]n the one hand, the unavailability of the third
- option of convicting on a lesser included offense may
- encourage the jury to convict for an impermissible
- reason -- its belief that the defendant is guilty of
- some serious crime and should be punished. On the
- other hand, the apparently mandatory nature of the
- death penalty [in Alabama] may encourage it to acquit
- for an equally impermissible reason -- that, whatever
- his crime, the defendant does not deserve death. . . .
- [T]hese two extraneous factors . . . . introduce a
- level of uncertainty and unreliability into the
- factfinding process that cannot be tolerated in a
- capital case." Id., at 642 (footnote omitted).
-
-
- We repeatedly stressed the all-or-nothing nature of the decision
- with which the jury was presented. See id., at 629, 630, 632,
- 634, 637, 642-643, and n. 19. As we later explained in Spaziano
- v. Florida, 468 U. S. 447, 455 (1984), "[t]he absence of a lesser
- included offense instruction increases the risk that the jury
- will convict . . . simply to avoid setting the defendant
- free. . . . The goal of the Beck rule, in other words, is to
- eliminate the distortion of the factfinding process that is
- created when the jury is forced into an all-or-nothing choice
- between capital murder and innocence." See also Hopper v. Evans,
- 456 U. S. 605, 609 (1982). This central concern of Beck simply
- is not implicated in the present case, for petitioner's jury was
- not faced with an all-or-nothing choice between the offense of
- conviction (capital murder) and innocence.
-
- Petitioner makes much of the fact that the theory of his
- defense at trial was not that he murdered Mr. Grove without
- premeditation (which would have supported a second-degree murder
- conviction), but that, despite his possession of some of Mr.
- Grove's property, someone else had committed the murder (which
- would have supported a theft or robbery conviction, but not
- second-degree murder). Petitioner contends that if the jurors
- had accepted his theory, they would have thought him guilty of
- robbery and innocent of murder, but would have been unable to
- return a verdict that expressed that view. Because Beck was
- based on this Court's concern about "rules that diminish the
- reliability of the guilt determination" in capital cases, 447
- U.S., at 638, the argument runs, the jurors should have been
- given the opportunity "to return a verdict in conformity with
- their reasonable view of the evidence." Reply Brief for
- Petitioner 8. The dissent makes a similar argument. Post, at 9.
-
- The argument is unavailing, because the fact that the
- jury's "third option" was second-degree murder rather than
- robbery does not diminish the reliability of the jury's capital
- murder verdict. To accept the contention advanced by petitioner
- and the dissent, we would have to assume that a jury unconvinced
- that petitioner was guilty of either capital or second-degree
- murder, but loath to acquit him completely (because it was
- convinced he was guilty of robbery), might choose capital murder
- rather than second-degree murder as its means of keeping him off
- the streets. Because we can see no basis to assume such
- irrationality, we are satisfied that the second-degree murder
- instruction in this case sufficed to ensure the verdict's
- reliability.
-
- That is not to suggest that Beck would be satisfied by
- instructing the jury on just any lesser included offense, even
- one without any support in the evidence. Cf. Roberts v.
- Louisiana, 428 U. S. 325, 334-335 (1976) (plurality opinion). In
- the present case, however, petitioner concedes that the evidence
- would have supported a second-degree murder conviction, Brief for
- Petitioner 18-19, and that is adequate to indicate that the
- verdict of capital murder represented no impermissible choice.
-
- * * *
-
- The judgment of the Supreme Court of Arizona is
-
- Affirmed.
-
-