Frank Mars v. The Honorable Marvin U. MountsFrank Mars v. The Honorable Marvin U. Mounts
The state of Florida, the appellant, appeals the district court’s grant of the writ of habeas corpus holding that double jeopardy bars the state from putting the appel-lee on trial for second-degree murder after his acquittal for first-degree murder of the same victim, where the only difference in the charges is the hour the crime allegedly occurred. We affirm.
FACTS
On March 15, 1983, a grand jury indicted Frank Mars, the appellee, for the first-degree murder of Willie Berry. The indictment alleged that the murder occurred “on or about” January 30, 1983. Although Mars did not demand a bill of particulars from the state, the state filed a document entitled “Statement of Particulars, Answer to Demand for Discovery, Demand for Reciprocal Discovery, Demand for Notice Al
After the jury began its deliberations, the foreman asked the judge to repeat the instructions concerning the time constraints imposed by the bill of particulars. After the judge repeated the instruction, the state moved to amend its bill of particulars to conform to the evidence. Mars objected to the amendment, and the trial court denied the motion. After continued requests for clarification or assistance, the jury foreman addressed the court as follows:
I would like to make a statement to you on behalf of the whole jury. Your Honor, we do not have grave doubts about the facts of this trial, but we do have grave doubts about the time constraints within the statement of particulars.
We have requested before and request this time your assistance in dealing with these constraints properly. If you are unable to assist us with this question, we must, we will have to give this question strict interpretation, as we see it.
The trial court again instructed the jury that the state must prove the facts alleged in the bill of particulars. The jury returned with a verdict of not guilty.
PROCEDURAL HISTORY
On July 7,1983, a grand jury returned an indictment against Mars for the murder of Willie Berry, this time under a count of second-degree murder. This indictment alleged that the murder occurred on January 30, 1983. 2 The state also filed a new bill of particulars alleging that Mars committed the crime between “1 A.M. January 30, 1983 and 1 A.M. January 31, 1983.” Mars moved to dismiss the indictment, contending that this successive prosecution violated the Constitution’s prohibition against double jeopardy. The trial court granted the motion and dismissed the indictment.
On appeal, the state district court of appeals initially held that Mars was collaterally estopped from asserting former jeopardy because he had requested the jury instruction restricting the state to proof within the specified time period and because he had opposed the state’s motion to amend the bill of particulars to conform to the evidence. On petition for rehearing, the appellate court affirmed dismissal of the indictment noting that in its prior ruling it had erroneously concluded that Mars had requested the jury instruction restricting the state to the specified time period. The appellate court also certified the following question of “great public importance” to the Florida Supreme Court:
Does the rule of State v. Beamon [298 So.2d 376 (Fla.1974) ] permitting the filing of subsequent charges apply in a case where the defendant was acquitted by general verdict in the initial proceedings and the defendant did not seek a directed verdict of acquittal or request an instruction to the jury as to the binding nature of a bill of particulars in those proceedings?
State v. Mars,
Mars remained in prison and subsequently filed a petition for writ of habeas corpus in federal district court. 3 A magistrate heard oral argument on March 9,1988. On April 29, 1989, the magistrate recommended that the district court grant the writ of habeas corpus and deny the request for an injunction as moot, finding that further prosecution of Mars for the murder of Willie Berry violated double jeopardy. The state submitted written objections to the report and recommendation, to which Mars replied. On June 16, 1988, the district court conducted a hearing by means of a telephone conference call, and on October 26, 1988, adopted the magistrate’s report and recommendation. The state appeals.
CONTENTIONS
The state contends that the district court lacked jurisdiction over the petition for writ of habeas corpus because Mars failed to challenge the constitutionality of Florida’s rule of variance pleading in his petition. The state also contends that the district court erroneously characterized the indictment for second-degree murder as a lesser included offense of the first indictment. Mars contends that the district court ruled properly both in finding jurisdiction and in granting the writ on double jeopardy grounds.
ISSUES
The issues presented in this case are: (1) whether the district court had jurisdiction; and (2) whether the double jeopardy clause of the United States Constitution bars a second prosecution for murder when the two indictments charge greater and lesser offenses for the same act, but where the bill of particulars limiting each indictment vary as to the specific hours for commission of the crime.
DISCUSSION
Whether this court has jurisdiction over a particular case is a question of law subject to plenary review.
Burns v. United States ex rel. IRS,
A. Jurisdiction
The state contends that this court lacks jurisdiction because the Florida Supreme Court found no double jeopardy bar on independent and adequate state grounds.
Mars claims that the double jeopardy clause bars his prosecution under the second indictment. The state counters that because Mars has not challenged the constitutionality of Florida’s variance theory, this court has no jurisdiction. We disagree. We recognize that “[fjederal courts should not be quick to conclude that simply because a state procedure does not conform to the corresponding federal statute or rule, it does not serve a legitimate state policy.”
Illinois v. Somerville,
We are bound to accept the Florida Supreme Court’s construction of Florida statutes, but we are not bound by the state court’s legal conclusion that the re-prosecution of Mars does not violate the double jeopardy clause.
See Missouri v. Hunter,
B. Double Jeopardy
The double jeopardy clause of the fifth amendment provides that the government shall not put a person in jeopardy of life or limb twice “for the same offence.”
6
The courts have applied double jeopardy protection in three broad categories of cases: (1) successive prosecution for the same offense after acquittal; (2) successive prosecution for the same offense after conviction; and (3) multiple punishments for the same offense.
North Carolina v. Pearce,
1. The Nielsen and Blockburger Tests
The Supreme Court first construed the meaning of “same offense” to determine whether a conviction for cohabitation barred a subsequent prosecution for adultery.
In re Nielsen,
In a case where the defendant challenged the imposition of two sentences for the same act, the Court formulated a different test which focuses on the statutory elements of the ' offenses.
Blockburger v.
In recent cases, the Supreme Court has relied on both the
Nielsen
and
Blockburger
tests to define when two offenses are the same. In
Brown v. Ohio,
The Ohio Court of Appeals found that the two crimes constituted the same offense for double jeopardy purposes. The statutory elements of joyriding and auto theft were the same except that auto theft required additional proof of intent to permanently deprive the owner of possession. Once the prosecutor proved auto theft, joyriding was also proved because it was a lesser included offense. “[T]he Ohio Court of Appeals nevertheless concluded that Nathaniel Brown could be convicted of both crimes because the charges against him focused on different parts of his 9-day joyride.”
Brown v. Ohio,
After completing its
Blockburger
analysis, the Court emphasized the vitality of the
Nielsen
test, noting that its decision "merely restates what has been this Court’s understanding of the Double Jeopardy Clause at least since
In re Nielsen
was decided in 1889.”
Brown v. Ohio,
The United States Supreme Court vacated the Illinois court’s decision “[bjecause of our doubts about the relationship under Illinois law between the crimes of manslaughter and a careless failure to reduce speed to avoid an accident, and because the reckless act or acts the State will rely on to prove manslaughter are still unknown.”
Vitale,
Turning to the
Nielsen
test, the Court cautioned that Vitale would have a viable double jeopardy claim if the state relied upon failure to slow at trial in order to prove manslaughter, or conceded that it would do so prior to trial. “In that case, because Vitale has already been convicted for conduct that is a necessary element of the more serious crime for which he has been charged, his claim of double jeopardy would be substantial under
Brown
and our later decision in
Harris v. Oklahoma
[
2. Florida’s Variance Theory
The state contends that the two indictments satisfy the Blockburger test for different offenses brought against Mars under a Florida judicial rule known as the variance theory. 11 Florida’s variance theory differs from the Blockburger test in that it focuses on the facts alleged in the indictments rather than the statutory elements of the crimes.
Florida’s test for determining whether successive prosecutions impermissibly involved the same offense is based upon the sufficiency of the allegations in the second information with regard to a conviction of the offense charged in the first. If the facts alleged in the second information, taken as true, would have supported a conviction of the offense charged in the prior information, the offenses are the same and the second prosecution is barred. Bizzell v. State, 71 So.2d 735 (Fla.1954).
State v. Katz,
The origin of Florida’s variance theory can be traced back to
Sanford v. State,
The Florida Supreme Court held that the second prosecution violated the double jeopardy provision of the Florida Constitution. The court reasoned that Sanford’s conviction of the lesser offense of assault and battery constituted an acquittal of the greater offense of assault with intent to commit rape. In addition, the court cited a slightly different rule: “The test is whether, if what is set out in the second indictment had been proved under the first there could have been a conviction. When there could, the second cannot be maintained.”
Sanford,
Florida’s variance theory historically has allowed a second prosecution only when the defendant relied on the variance to avoid conviction. In
Driggers v. State,
Several Florida cases demonstrate that when a defendant relies on a material variance in obtaining a directed verdict, the bar of double jeopardy is not available.
State v. Beamon,
The Florida Supreme Court’s decision in State v. Mars is a radical departure from that court’s previous interpretation of the variance theory. 12 The court completely abandoned the distinction between directed verdicts of acquittal based on a material variance and general acquittals such as Driggers v. State. The court held that the two indictments as limited by their bills of particulars did not charge the “same offense” because of the variance in time without addressing the nature of the acquittal. 13
The only way to square the court’s decision in
State v. Mars
with prior state law is to examine the questions the jury raised during the deliberations and assume that the jury’s verdict was based on the time variance. The district court properly found that such speculation into the specific grounds behind a general verdict of acquittal would “violate established double jeopardy principles and represent an unprecedented and dangerous invasion of the sacrosanct province of the jury in the setting of a criminal trial.”
See McDonald v. Pless,
3. Bill of Particulars
74
Middleton v. State,
[t]he purpose of a bill of particulars is merely to give the defendant notice of the particular acts relied upon by the state to establish the crime charged, that the defendant may be fully advised of the nature and cause of the accusation against him, and that he may have an opportunity to prepare his defense.
A bill of particulars is granted at the court’s discretion on a defendant’s motion for a more definite statement of the conduct charged.
14
If the court considers the indictment sufficiently specific to give the defendant notice of the crime charged, the court may deny the defendant’s motion. “[T]he effect of such a specification of date in a bill of particulars is to narrow the Indictment or Information as to the time within which the act or acts allegedly constituting the offense may be proved.”
State v. Beamon,
The Florida Supreme Court’s analysis in this case depended on the specification of the time the crime occurred in the bills of particulars. The indictments identify the date, January 30, 1983, but do not specify the time of the murder. Mars did not request a bill of particulars, nor could it be argued that the indictment alleging the murder of Willie Berry on or about 30 January, 1983, is not sufficiently specific.
4. Analysis
We begin our analysis by observing a fundamental principle for determining whether two indictments charge the same offense. “It has long been understood that separate statutory crimes need not be identical — either in constituent elements
or in actual proof
— in order to be the same within the meaning of the constitutional prohibition.”
Brown v. Ohio,
The district court ruled that the indictment of Mars for the murder of Willie Berry on or about January 30, 1983, represents a single “allowable unit of prosecution,” prohibiting reindictment of Mars for the same murder, of the same victim, on the same date.
See Sanabria v. United States,
We note that the state is not obligated to issue a bill of particulars with every indictment. The bill is designed as a shield for defendants to protect themselves against surprise at trial by granting them limited discovery of the state’s proof. It is not designed for the state’s use as a sword to sever a single offense into separate crimes absent legislative intent. In oral argument, counsel for the state conceded that under the version of the variance theory they argue here, the state could prosecute a defendant an unlimited number of times by simply changing the alleged hour of the crime. We agree with the district court’s ruling that double jeopardy bars successive prosecutions which vary only in the time periods alleged in their respective bills of particulars. “The Double Jeopardy Clause is not such a fragile guarantee that prosecutors can avoid its limitations by the simple expedient of dividing a single crime into a series of temporal or spacial units.”
Brown v. Ohio,
In addition, we reject the state’s argument because the two indictments, even as limited by their bills of particulars, do not charge crimes that could be tried in one trial and result in two separate sentences. As the Supreme Court observed in
Brown v. Ohio,
“[i]f two offenses are the same under [the
Blockburger
test] for purposes of barring consecutive sentences at a single trial, they necessarily will be the same for purposes of barring successive prosecutions.”
The state’s second prosecution of Mars for the murder of Willie Berry would also violate the broader double jeopardy protection provided under the
Nielsen
test. In a second trial, the state would have to rely on the same "incidents” of which Mars was acquitted in the original trial to prove its second-degree murder case. The jury returned a general verdict acquitting Mars of each element of the offense charged by the state. “[T]he Double Jeopardy Clause attaches special weight to judgments of acquittal.”
Tibbs v. Florida,
One of the central objectives of the double jeopardy prohibition against successive trials is to prevent the state, with its unlimited resources, from using the first trial in the appellate process to pinpoint the inadequacies of its case. The double jeopardy clause forbids a second trial for the purpose of affording the prosecution “another opportunity to supply evidence that it failed to muster in the first trial.”
Burks v. United States,
The underlying idea, one that is deeply ingrained in at least the Anglo-American system of jurisprudence, is that the state with all its resources and power should not be allowed to make repeated attempts to convict an individual for an alleged offense, thereby subjecting him to embarrassment, expense and ordeal and compelling him to live in a continuing state of anxiety and insecurity, as well as enhancing the possibility that even though innocent he may be found guilty.
Green v. United States,
The Florida Supreme Court departed from its prior analysis of variance theory in
State v. Mars
in order to avoid the double jeopardy consequences of what it characterized as “a non-prejudicial typing error.”
State v. Mars,
Our decision should not produce harsh results in future Florida cases. The Florida Supreme Court recently retreated from the rule that an indictment cannot be amended.
Tingley v. State,
CONCLUSION
In summary, we hold that the double jeopardy clause of the fifth amendment bars reprosecution for the murder of the same victim following a general verdict of acquittal. 17 Therefore, the district court’s grant of the writ of habeas corpus is affirmed.
AFFIRMED.
Notes
. Although the Committee Notes to Florida Rule of Criminal Procedure 3.140(n) characterize the rule's use of the phrase "Statement of Particulars” as a modernization, we retain the more traditional "bill” of particulars throughout this opinion.
. The first indictment reads in pertinent part:
FRANK MARS ... on or about the 30th day of January [1983], did unlawfully from a premeditated design to effect the death of a human being kill and murder WILLIE BERRY....
The second indictment reads in pertinent part:
FRANK MARS ... on the 30th day of January [1983], unlawfully killed a human being, to wit: WILLIE BERRY.
. Mars remained in custody under the authority of a parole warrant based on Willie Berry’s homicide. He seeks a writ of habeas corpus and an injunction against further state proceedings under the second indictment.
Mars asserted jurisdiction under
. The Court originally granted
certiorari
to consider claims based on the double jeopardy clause; however, "[ajfter briefing and oral argument, it now appears that those questions are so interrelated with rules of criminal pleading peculiar to the state of Tennessee, the constitutionality of which is not at issue, as not to warrant the exercise of the
certiorari
jurisdiction of this court.”
Duncan,
.
See, e.g., Florida v. Casal,
The state relied solely on Duncan for its independent and adequate state grounds argument because other cases on this issue provide no support. In the leading recent case discussing the doctrine of independent and adequate state grounds, the Court distinguished questions of substantive federal law from procedural state law issues.
[S]ince Brown v. Allen,344 U.S. 443 ,73 S.Ct. 397 ,97 L.Ed. 469 (1953), it has been the rule that the federal habeas petitioner who claims he is detained pursuant to a final judgment of a state court in violation of the United States Constitution is entitled to have the federal habeas court make its own independent determination of his federal claim, without being bound by the determination on the merits of that claim reached in the state proceedings. This rule of Brown v. Allen is in no way changed by our holding today. Rather we deal only with contentions of federal law which were not resolved on the merits in the state proceeding due to respondent’s failure to raise them there as required by state procedure.
Wainwright v. Sykes,
.U.S. Const.amend. V. The fifth amendment guarantee against double jeopardy was made enforceable against the states through the fourteenth amendment in
Benton v. Maryland,
Florida’s Constitution provides that "[n]o person shall ... be twice put in jeopardy for the same offense_”
No person shall be held to answer on a second indictment, information, or affidavit for an offense for which he has been acquitted. The acquittal shall be a bar to a subsequent prosecution for the same offense, notwithstanding any defect in the form or circumstances of the indictment, information, or affidavit.
. The state relies entirely on its contention that no former jeopardy exists because the indictments charge separate offenses. The state does not argue that Mars’s objection to the state’s motion to amend the bill of particulars estops him from claiming double jeopardy protection.
. The Supreme Court found that
[i]f the unlawful cohabitation continued after the 13th of May, and if the adultery was only a part of and incident to it, then an indictment for the adultery was no more admissible, after conviction of the unlawful cohabitation, than a second indictment for unlawful cohabitation would have been; and for the very good reason, that the first indictment covered all continuous unlawful cohabitation down to the time it was found.
Nielsen,
. The Nielsen test was inapplicable to the facts in Blockburger. In Blockburger, the defendant challenged the imposition of multiple punishments in the same trial for “the same offense” —a single sale of drugs. The Nielsen test is only applicable to successive prosecutions. Under Nielsen, if an individual has been convicted (or acquitted) in one trial, the state may not prosecute that individual again by proving “incidents” already adjudicated in the first trial.
. In
Harris v. Oklahoma,
. The Florida Legislature has codified the
Blockburger
test for determining whether separate sentences may be imposed.
State v. Smith,
Whoever, in the course of one criminal transaction or episode, commits separate criminal offenses, upon conviction and adjudication of guilt shall be sentenced separately for each criminal offense; and the sentencing judge may order the sentences to be served concurrently or consecutively. For the purposes of this subsection, offenses are separate if each offense requires proof of an element and the other does not, without regard to the accusatory pleading or the proof adduced at trial.
. See generally Comment, Double Jeopardy In Florida: Two Bites of the Same Apple, An Offensive Nullification, 17 Stetson L.Rev. 343 (1988) (result in State v. Mars cannot be explained by state variance theory precedent).
. The Florida Supreme court adapted the variance theory to the facts of this case as follows:
Would the facts in the second indictment, taken to be true, alleging that respondent murdered decedent between the hours of 1 a.m., 30 January, and 1 a.m., 31 January support a conviction on the first indictment alleging that respondent murdered decedent between the hours of 5 p.m., 29 January and 12:59 a.m., 30 January?
State v. Mars,
.Florida Rule of Criminal Procedure 3.140(n) (Statement of Particulars) provides that:
The court, upon motion, shall order the prosecuting attorney to furnish a statement of particulars, when the indictment or an information upon which the defendant is to be tried fails to inform the defendant of the particulars of the offense sufficiently to enable him to prepare his defense. Such statement of particulars shall specify as definitely as possible the place, date, and all other material facts of the crime charged that are specifically requested and are known to the prosecuting attorney, including the names of persons intended to be defrauded. Reasonable doubts concerning the construction of this rule shall be resolved in favor of the defendant.
.
. The court held this rule to apply in cases where "(1) the crime was committed before the return date of the indictment; (2) the crime was committed within the applicable statute of limitations; and (3) the defendant has been neither surprised nor hampered in preparing his defense.”
Tingley,
Prior to
Tingley,
times within an indictment could not be modified by amendment under Florida law.
See, e.g., Pickeron v. State,
. We do not address the constitutionality of Florida’s variance rule as it is applied to dismissal of indictment and directed judgment of acquittal cases.