Lead Opinion
OPINION
¶ 1 In light of principles set forth by the United States Supreme Court in Apprendi v. New Jersey,
I.
¶ 2 Kerby McKaney was indicted August 2, 2001 on two counts of first degree murder, one count of first degree burglary, one count of sexual assault, and two counts of kidnapping.
¶ 3 On November 5, 2003, McKaney moved to dismiss the State’s notice of intent and notice of aggravating factors, arguing that these factors are elements of the capital crime of first degree murder and as such were unsupported by an initial finding of probable cause by the grand jury. The trial court denied McKaney’s motion on December 19, 2003. McKaney then filed this petition for special action. We accepted jurisdiction because the issue is applicable in every capital case initiated under Arizona’s death penalty statutes and is thus of statewide significance. The issue is also one of first impression in this jurisdiction.
II.
¶ 4 McKaney’s argument that the aggravating factors must be alleged in the indictment and supported by evidence of probable cause is based on the Due Process Clause of the Fourteenth Amendment to the United States Constitution and Article 2, Section 30, of the Arizona Constitution. In support, McKaney cites Apprendi and Ring as fashioning a new rule of law required by the United States and Arizona Constitutions.
A.
¶ 5 In Apprendi, the defendant, having fired gunshots into the home of an African-American family, pled guilty to two counts of possessing a firearm for an unlawful purpose, a second degree offense, and one count of unlawful possession of a prohibited weapon, a third degree offense.
¶ 6 The trial judge found “that the crime was motivated by racial bias.” Id. at 471,
¶ 7 The United States Supreme Court granted certiorari and reversed, finding unconstitutional the procedure by which Apprendi’s sentence was enhanced by the judge rather than by a jury. Id. at 474,
¶ 8 The holdings in Apprendi greatly informed the Supreme Court’s decision in Ring in which the Court held unconstitutional Arizona’s capital sentencing scheme. Because Arizona law permitted the death penalty only when aggravating factors were established, the Court held that Apprendi and the Sixth Amendment on which Apprendi is based required the jury rather than the judge find those factors. Ring,
B.
¶ 9 In the aftermath of Apprendi and Ring, many jurisdictions faced the issue we now face, namely, whether principles announced in the two cases require that statutory aggravators which may subject a criminal defendant to capital punishment be specifically alleged in the grand jury indictment or other charging document and be supported by sufficient evidence of probable cause. The vast majority of state jurisdictions have held they do not, and we agree.
¶ 10 Both Apprendi and Ring are expressly grounded in the right to trial by an impartial jury under the Sixth Amendment to the United States Constitution. The Court’s key concern in those decisions was that a criminal defendant be afforded the full benefit of jury trial on all evidence, including aggravating factors, that could result in a sentence greater than the maximum prescribed for the offense charged. The instant case, however, does not fall under the Sixth Amendment and does not present that issue. Rather, McKaney argues that in addition to the Apprendi/Ring requirement that aggravators be found for sentencing purposes by the trial jury, he is also entitled to have each aggravating factor preliminarily considered by the grand jury or neutral arbiter and included by specific allegation as a probable cause finding in the charging document, either a grand jury indictment or an information.
¶ 11 The United States Constitution does not impose on the states the rule McKaney asserts. Although prosecutions in the federal courts require, under the Fifth Amendment, that aggravators be alleged in an indictment and supported by probable cause, United States v. Cotton,
¶ 13 Accordingly, the only federal mandate applicable to McKaney in the context of the instant case is the Fourteenth Amendment due process requirement that a defendant receive adequate notice of the charges against him. See, e.g., Harris v. United States,
C.
¶ 14 The Arizona Constitution requires an “information or indictment” before a person can be prosecuted for a felony or misdemeanor. Ariz. Const. art. 2, § 30. This court has held, pursuant to state due process requirements, that a charging document must “fairly indieate[] the crime charged; state[] the essential elements of the alleged crime; and [be] sufficiently definite to apprise the defendant so that he can prepare his defense to the charge.” State v. Marquez,
¶ 15 But even if proof of an aggravating factor, now defined as merely a new procedural rule in Schriro v. Summerlin, — U.S. —,
¶ 16 It thus becomes irrelevant that aggravators are not specified in the indictment or information based on evidence of probable cause presented to a grand jury or magistrate
¶ 17 All state jurisdictions with one exception have thus far held, as we hold today, that aggravating factors need not be specified or alleged in the indictment. See, e.g., People v. McClain,
¶ 18 New Jersey alone has adopted the position McKaney urges. The Supreme Court of New Jersey, in State v. Fortin,
¶ 19 The New Jersey court noted that “[although we recognize that the Fifth Amendment right to indictment by a grand jury does not apply to the States, we have never construed our grand jury provision under Article 1, Paragraph 8 as providing lesser protection than its federal analogue.”
¶ 20 We choose not to adopt New Jersey’s rationale. We conclude there is a difference between “elements” for purposes of the Sixth Amendment right to trial by jury and the “functional equivalent of an element” for purposes of finding a state constitutional right to have aggravating factors alleged in an indictment or information. In the former, the trial jury addresses the adequacy of proof of the actual elements of the crime and the presence of aggravators to determine the defendant’s guilt or innocence and to fix the sentence. In the latter, we address simply the adequacy of notice. The difference is significant. Indeed, in this very case, the defendant does not claim the notice he received was inadequate.
¶ 21 Were we to follow New Jersey’s Fortin decision, we would, as a result, expand the statutory role of the grand jury as a matter of state constitutional law. As another court noted, such an expansion has consequences:
Another concern raised by requiring the grand jury to determine aggravating factors in death penalty cases is whether the judge empaneling the grand jury would be required to conduct a voir dire so as to exclude any potential grand jurors who would be unable to fairly determine aggravating factors on account of conscientious objection to the death penalty. If so, there would be no counsel present to assist the empaneling judge as by definition there would as yet be no ease. The chance that this voir dire could be conducted to the*273 satisfaction of counsel named after the indictment is returned would, at best, be nil.
United States v. Battle,
¶ 22 Finally, and respectfully, we disagree with the rather dramatic assertion advanced by our dissenting colleagues that today’s opinion, for the first time in history, affords less protection under the Arizona Constitution than the United States Constitution affords in its corresponding clause. First, as we have noted earlier, the federal constitution’s “corresponding clause” does not apply to the states and, as a result, affords no protection at all to McKaney or similarly situated defendants. The question before us is simply whether the Arizona Constitution requires that the State allege specific aggra-vators in a charging document. Arizona has never required that such factors be alleged in an indictment or information, so today’s decision neither reduces nor minimizes a right previously afforded criminal defendants. Rather, today’s opinion simply retains Arizona’s long-accepted view that the protection afforded by our rules of criminal procedure fully satisfies due process requirements.
III.
¶ 23 We therefore hold that aggravating factors essential to the imposition of a capital sentence need not be alleged in the grand jury indictment or the information in order to satisfy constitutional due process. Even though aggravating factors need not be specified in the charging document, an accused in the State of Arizona is accorded notice under the rules of criminal procedure that complies with constitutional requirements. In the ease at bench, McKaney was notified of the State’s intent to seek the death penalty and of the specific aggravating factors to be proved with ample time to prepare.
¶ 24 For the foregoing reasons, we accept jurisdiction of McKaney’s petition for special action, but deny relief. We remand the case to the superior court for further proceedings consistent with this opinion.
Notes
. The events giving rise to these charges were allegedly committed on December 8, 1985. McKaney remained at large until a happenstance match of DNA evidence in 1999 linked him to the crimes.
. Rule 15.1(i)(1) requires that "[tjhe prosecutor, no later than 60 days after the arraignment in superior court, shall provide to the defendant notice of whether the prosecutor intends to seek the death penalty. This period may be extended for thirty days upon stipulation of counsel. Additional extensions may be granted upon motion of the state and approval of the court.”
. Rule 15.1(i)(2) requires that ”[i]f the prosecutor files notice of intent to seek the death penalty, the prosecutor shall at the same time provide the defendant with a list of aggravating circumstances the state will rely on at the aggravation hearing in seeking the death penalty.”
. If the State proceeds by information, the State must hold a "preliminary examination before a magistrate,” unless the defendant waives this right. Ariz. Const. art. 2, § 30.
Concurrence Opinion
dissenting in part and concurring in part.
¶ 25 The Court today holds that the indictment clause of the Arizona Constitution, Article II, Section 30, provides less protection to our citizens than the corresponding clause in the federal constitution. This is to my knowledge the first time that this Court has reached such a conclusion, and I cannot join it. Nonetheless, for the reasons I describe in Section II below, I would decline petitioner’s request for special action relief because he has an adequate remedy at law.
I.
¶ 26 Article II, Section 30 provides that “[n]o person shall be prosecuted criminally in any court of record for felony or misdemean- or, otherwise than by information or indictment.” The charging document, whether an indictment or information, provides the defendant with notice of the charges against him. It is therefore settled that the charging document must “state[] the essential elements of the alleged crime.” State v. Marquez,
¶ 27 After Ring v. Arizona,
¶ 28 Because capital aggravating factors are elements of the offense for Sixth Amendment purposes, every federal court of appeals to have considered the issue has concluded that the Fifth Amendment requires that they be alleged in an indictment. See United States v. Lee,
¶ 29 The majority correctly notes that the federal indictment clause does not apply to the states, and we therefore are not mandated by federal law to provide our citizens the same protections mandated by the Fifth Amendment. But as we noted only last year, while we are not bound by the federal courts’ interpretation of a federal constitutional clause similar to a clause in the Arizona Constitution, at the very least “those interpretations have great weight in accomplishing the desired uniformity between the clauses.” State v. Casey,
¶ 30 As several distinguished commentators have noted, there may often be compelling reasons to read provisions of the Arizona Constitution differently than their federal counterparts. See, e.g., Ruth V. McGregor, Recent Developments in Arizona State Constitutional Law, 35 Ariz. St. L.J. 265 (2003); Stanley G. Feldman and David L. Abney, The Double Security of Federalism: Protecting Individual Liberty Under the Arizona Constitution, 20 Ariz. St. L.J. 115 (1988). But no such reasons are present here. The pertinent language in the Fifth Amendment is analytically indistinguishable from the language in Article II, Section 30. Nor is there any suggestion that the framers of the state constitution believed that the scope of the Arizona provision differed in any material way from the federal. For these reasons, our previous decisions have generally relied upon federal jurisprudence when explaining the Arizona indictment clause. See, e.g., Maretick v. Jarrett,
¶ 31 The Court’s conclusion today that Article II, Section 30 is not congruent with the Fifth Amendment rests entirely on the notion that the notice of alleged aggravating circumstances provided to defendants under Arizona Rule of Criminal Procedure 15.1(i)(1) satisfies due process requirements. See Ariz. R.Crim. P. 13.5(e) (providing that the filing of such a list amends the charging document). I do not doubt that the list of aggravating circumstances, which must be served on the defendant no later than sixty days after arraignment in superior court, provides the defendant with ample notice of these elements for due process purposes. Our indictment clause, however, was intended not only to provide a defendant with
¶ 32 Under today’s decision, this constitutional protection is effectively eviscerated. The Court has interpreted our Constitution as allowing the State, and the State alone, to decide whether there is probable cause to charge the aggravating circumstances that put a defendant in peril of capital punishment. We would not countenance such a result in other areas. For example, it is unthinkable that we would allow the State, after obtaining from a grand jury an indictment charging a defendant with simple assault, to unilaterally amend the indictment to allege aggravated assault. Yet that is what Rules 15.1(i)(1) and 13.5(c) allow; they permit the State alone to decide that there is probable cause to add an element to a charge of first-degree murder so as to expose a defendant to an aggravated sentence.
¶ 33 There would be little cost to law enforcement if our Constitution, like its federal counterpart, were read to require that aggravating circumstances be part of the indictment issued by the grand jury. For pending cases, superseding indictments could be sought and obtained in accordance with the federal practice. For all cases already tried, any failure to have included the aggravating circumstances in the indictment is almost surely harmless error. A defendant who received the notice required by Rule 15.1(i)(1) or its predecessor will have had sufficient warning for due process purposes of the charges against him. And, after a jury of a defendant’s peers returns a verdict of conviction, thus finding all elements of the offense beyond a reasonable doubt, any failure to have submitted an element to the grand jury for a finding of probable cause is perforce harmless error. United States v. Mechanik,
¶ 34 In short, there is no warrant, either in settled doctrines of constitutional interpretation or in practical terms, for the Court’s conclusion today that Article II, Section 30 has less content than the Fifth Amendment to the United States Constitution. Because I cannot subscribe to the premise that the Arizona Constitution is not at least as generous in its protections of individual rights as the federal constitution, I cannot join the Court’s opinion.
II.
¶ 35 The case today before us arrives by way of a petition for special action. “The special action requests extraordinary relief, and acceptance of jurisdiction of a special action is highly discretionary with the court to which the application is made.” State Bar Committee Note, Ariz. R.P. Spec. Act. 3. Before granting such extraordinary relief, we should be satisfied that the petitioner has no other equally adequate and speedy remedy. Ariz. R.P. Spec. Act. 1(a); Twin City Fire Ins. Co. v. Burke,
¶ 36 In this ease, petitioner has such a remedy. As the Court accurately holds, he cannot complain that he has not received sufficient notice for due process purposes of the alleged aggravating circumstances. His
¶ 37 Under the Rule 13.5(c) procedure, a defendant claiming that there was no probable cause to support an alleged aggravator alleged under Rule 15.1(i)(1) is entitled to a determination by a neutral magistrate — a superior court judge — of the “legal sufficiency” of that aggravator.
¶ 38 Because petitioner’s trial has not yet commenced, he may still file a motion “pursuant to Rule 16” if he wishes a neutral determination as to whether the aggravating circumstances alleged by the State are based upon probable cause. Given the availability of this remedy, I concur in the Court’s judgment insofar as it denies petitioner special action relief.
. The State may, of course, choose to proceed under Article II, Section 30 by way of information rather than indictment. But if it does so, the defendant has the right to a preliminary hearing, where a neutral magistrate will determine if there is probable cause to proceed. See Ariz. R.Crim. P. 5.4(a); State v. Superior Court (Atwood),
. It is technically possible to read Rule 13.5(c) as limiting the defendant to a claim that the alleged aggravating circumstance was not listed under A.R.S. § 13-703(F) and is thus facially legally insufficient. That reading, however, is inconsistent with the notion, set forth in the comment to the Rule, that a defendant’s rights to challenge the aggravating circumstances alleged are waived if not raised before trial. Surely this Court would not countenance the execution of a defendant based on an aggravating circumstance not listed in § 13-703(F). The Rule therefore must pertain to more than facial "legal sufficiency,” i.e., the probable cause for the allegation of the aggravator.
