STATE of Missouri, Respondent, v. David NEAL, Appellant.
No. 57861.
Supreme Court of Missouri, En Banc.
Sept. 9, 1974.
Rehearing Denied Oct. 14, 1974.
506 S.W.2d 546
Robert C. Babione, St. Louis, for appellant.
HIGGINS, Commissioner.
David Neal, charged in Count I of an information with robbery, first degree, by means of a dangerous and deadly weapon, and in Counts II and III with assault with intent to kill with malice aforethought, was convicted by a jury which assessed his punishment at imprisonment for ten years on each of Counts I and II, and for five years on Count III. Sentences and judgment were rendered pursuant to the verdicts with the sentences to run consecutively.
Count I alleged that Earl Fingers and David Neal “acting with another,” on October 15, 1971, in the City of St. Louis, feloniously and by means of a pistol, did rob and take $282, the property of William Cordes, d/b/a Cordes Hardware, in the care and custody of Johnnie Walton, by putting Johnnie Walton in fear of immediate injury to his person; Count II alleged that Earl Fingers and David Neal, on October 15, 1971, in the City of St. Louis, feloniously, and of malice aforethought, did make an assault upon William O. Cordes, with a pistol, with intent to kill William O. Cordes; Count III was identical to Count II except that the assault alleged was upon the life of Johnnie Walton.
“At about 5:45 p.m. on Friday, October 15, 1971, James Walton and William Cordes were working at the Cordes Hardware, * * * 1125 Salisbury in the City of St. Louis.
“Three men came to the store. One of them engaged Cordes in a conversation * * *. Shortly thereafter Cordes was hit over the head from behind by one of the other men. That man had a weapon, a thirty-two or smaller.
“A third man, with a thirty-eight revolver, got behind Walton and told him to get on the floor. Walton threw up his hand, and a shot was fired, which caused the loss of a finger * * *. After the shot Walton fell to the floor next to Cordes. Walton was then ordered to get up and open the register by the man who had shot him. * * * Cordes testified that approximately $284 was taken from his place. After the money was taken, Cordes and Walton were instructed not to move, and the men left without doing anything else.
“Cordes was not able to identify any of the participants in the robbery. Walton identified appellant as the individual who struck Cordes. * * *
“Appellant was arrested on October 22, 1971 and placed in a police lineup. Walton and Cordes were present when the lineup was conducted, and Walton identified appellant, but Cordes did not.
“Appellant testified that on the day of the robbery he was sick with a stomach disorder. * * * he did not leave his house after 1:15 p.m. and * * * his girlfriend was there with him between 4:15 and about 7 or 7:30. He denied knowing Earl Fingers who was charged as a co-defendant, and he denied that he had even been near the Cordes Hardware on the date of the robbery. Michele Burnett testified in corroboration of the testimony offered by appellant.”
Although tacitly conceding the sufficiency of the State‘s case, appellant contends (III) that the court erred in refusing his tendered instruction A regarding identification testimony: “You are instructed so far as the identity of the defendant is concerned, that if you believe, from the evidence and the circumstances proved, that there is reasonable doubt whether James Johnny Walton might not be mistaken as to identity, then you would not be authorized to convict the defendant. The corroborating circumstances tending to establish his identity must be such as, with other testimony, produces a degree of certainty in your minds so great that you can say that you have no reasonable doubt of the identity of the defendant.”
He argues that criminal agency was established solely by witness Walton; that the tendered instruction amounted to “a converse of the essential element of criminal agency“; that “the defense * * * rested on the theory that the witness [Walton] was mistaken because appellant was elsewhere,” and that only by Instruction A “could counsel realistically argue the subject to the jury.”
Instructions 3, 4, and 5 submitted Counts I, II, and III to the jury. Each required the jury to find beyond a reasonable doubt that the defendant committed the acts necessary to conviction of the offenses thus submitted. Instruction 7 submitted defendant‘s alibi, instructing the jury that if it had a reasonable doubt regarding defendant‘s presence at the time and place of each offense, it should find defendant not guilty.
In the circumstances of this case the subject matter of requested Instruction A was argumentative and was adequately covered by Instructions 3, 4, 5, and 7, and the court was thus justified in refusing the requested instruction. State v. McGowan, 432 S.W.2d 262 (Mo.1968). See also State v. Taylor, 472 S.W.2d 395 (Mo.1971);
Appellant contends (I) that submission of Counts II and III subjected him to multiple conviction and punishment for a single offense without any statutory authority and contrary to his constitutional rights “because the facts relied upon for the assaults alleged in those counts were exactly the same facts which were required to establish the personal violence or fear of immediate injury which were necessary elements of the robbery submitted in Count I.”
He contends (II) that the court “improperly combined”
These contentions present no claim of error with respect to Count I, robbery, first degree, by means of a dangerous and deadly weapon; and the judgment, insofar as it convicts defendant and sentences him to ten years’ imprisonment for that offense, must, therefore, be affirmed. State v. Smith, 491 S.W.2d 257, 258 (Mo.1973).
With respect to Point I, the 3-count information in this case was authorized by
Appellant‘s claim that the procedure authorized by
First, the robbery in this case of Cordes Hardware by taking money from the custody of Johnnie Walton, Count I, was the result of the assault committed upon Johnnie Walton and it was the identical assault also charged in Count III. To thus split the single crime of robbery and prosecute it in Count I and a second time in Count III as an assault violated the rule against double jeopardy. State v. Richardson, 460 S.W.2d 537 (Mo. banc 1970). Accordingly, Count III was improperly submitted; and the judgment, insofar as it convicts defendant and sentences him to five years’ imprisonment for the offense there charged, must, therefore, be reversed.
Second, since the robbery of Cordes Hardware was the result of the assault against Johnnie Walton, the assault upon William O. Cordes, charged in Count II, was, by the same reasoning, a separate crime; and trial of such assault with the separate crime of robbery accomplished by the assault upon Johnnie Walton in Count I, did not place defendant in double jeopardy. See State v. Moton, 476 S.W.2d 785 (Mo.1972), where defendant‘s conviction of robbery of one gas station attendant from whom he obtained money did not bar subsequent prosecution for robbery of a second gas station attendant from whom defendant also obtained money, on a theory
By reference to
Under Point II appellant argues that this provision, when applied to a case of joined offenses under
To support this argument, appellant asserts that “concurrent sentences could be imposed if he waived the right to [jury] trial. In such a situation he could plead guilty to one Count and be sentenced. Then he could proceed with the second Count and be sentenced to concurrent time.”
The difficulty in appellant‘s position is that
Judgment on Counts I and II affirmed; judgment on Count III reversed.
PER CURIAM:
The above Division I opinion by HIGGINS, C., is adopted as the opinion of the Court en Banc.
MORGAN, HOLMAN, HENLEY and FINCH, JJ., concur.
DONNELLY, C. J., concurs in separate concurring opinion filed.
BARDGETT, J., dissents in separate dissenting opinion filed.
SEILER, J., dissents and concurs in separate dissenting opinion of BARDGETT, J.
DONNELLY, Chief Justice (concurring).
I concur in the principal opinion, and file this concurring opinion because I believe there is an additional difficulty in appellant‘s position in that his failure to object to being tried and convicted of multiple charges at the same trial effected a waiver of his right to rely on the general “Missouri rule that a defendant may not be convicted at the same trial of two distinct felonies. . . .” State v. Terry, 325 S.W.2d 1, 5 (Mo.1959). In Terry, this Court said:
“Thus, inasmuch as there is no express prohibition against the conviction of a defendant of two distinct felonies at the same trial, and inasmuch as there appears to be no reason for the established rule in Missouri which should prevent a waiver of that rule, and inasmuch, as heretofore noted, an information or indictment in which are joined two distinct felonies is not bad as a matter of law, we are of the view that a defendant‘s failure to assign as error in his motion for new trial the action or inaction of the trial court which resulted in his conviction of two distinct felonies at the same trial, effects a waiver of his right to rely on the rule in question. In other words, if a defendant prefers that two distinct felonies with which he is to be charged be joined in one information, and if he prefers that he be tried on both those charges at one and the same trial, we perceive no reason why he may not so elect. We hold, therefore, that a defendant‘s failure to raise any question in his motion for new trial about the fact that or the procedure whereby he was convicted of two distinct felonies at the same trial and separately sentenced for each, should have the same effect as though defendant had specifically elected to be tried on both felonies at the same time.”
The amendment of
- When a defendant has been charged with more than one offense, other than burglary and stealing, in the same indictment or information, and moves for a severance of offenses before trial, the court shall order a severance of the offenses.
- When a defendant has been charged with more than one offense, other than burglary and stealing, in the same indict-
ment or information, and moves for a severance of offenses during trial but before or at the close of all the evidence, the court may order a severance of the offenses if it is deemed necessary to achieve a fair determination of that defendant‘s guilt or innocence of each offense. The court should consider whether, in view of the number of offenses charged and the complexity of the evidence to be offered, the trier of fact will be able to distinguish the evidence and apply the law intelligently as to each offense. - If a severance is granted a defendant, the granting of the severance shall not bar a subsequent trial of that defendant on the offenses severed. (Cf. ABA Minimum Standards, Joinder and Severance, §§ 2.1, 2.2).
BARDGETT, Judge (dissenting).
I respectfully dissent. In the instant case there was no waiver nor was there any consent to go to trial on multiple counts with the knowledge that the punishments assessed and the sentences adjudged on multiple convictions would be automatically consecutive. Just the opposite actually took place.
Prior to the start of the trial, the following proceedings were held outside the presence of the jury. Mr. Kasten was counsel for defendant.
“THE COURT: All right, Mr. Kasten, at this time, you have a Motion to Suppress Identification. It says, on the grounds that it would rest on a pre-trial confrontation which was unnecessarily suggestive and conducive to an irreparable mistaken identification. Are you ready to proceed in the Motion?
“MR. KASTEN: Before that, may I go on record that I mentioned to him the possible maximum punishment?
“THE COURT: Make the statement you want.
“MR. KASTEN: Your Honor, I did advise the defendant there is no maximum punishment on any of the charges that he is charged with.
“THE COURT: There‘s a maximum on robbery with a dangerous and deadly weapon. I understand the State is going to waive the death penalty.
“MR. KASTEN: There is no maximum on imprisonment in the other counts, and the jury can bring in consecutive sentences and it is possible for him to get one hundred years or many more years, and I explained this to him. After I told him the offer of the State, he still wants to proceed to trial. Isn‘t that right?
“DEFENDANT: Right.
“THE COURT: Do you understand the maximum and minimum sentence on each of the counts?
“DEFENDANT: Yes.
“THE COURT: Do you understand the jury can assess punishment in this case? Do you understand that or not?
“DEFENDANT: Yes, sir.
“THE COURT: Do you understand what he was telling you? They can give you consecutive or concurrent sentence? Do you understand that?
“DEFENDANT: Yes, sir.
“THE COURT: Do you want to proceed in trial?
“DEFENDANT: Yes, sir. I do.” (Emphasis mine.)
From the foregoing it is crystal clear that the defendant understood that the sentences would not be automatically consecutive but that the jury would have the discretion to decide whether the sentences would be concurrent or consecutive.
The statement by the court to the defendant that the jury would decide whether the sentences would be concurrent or consecutive was clearly erroneous. The jury never decides that question. Unless the sentences are consecutive as a matter of
Nevertheless, the defendant was certainly entitled to rely upon the accuracy of the court‘s statements in deciding whether or not to proceed to trial or accept whatever offer it was that the state had made to him.
At this point it is observed that had the defendant accepted whatever offer the state made and entered pleas of guilty, the judge could have made the sentences concurrent by merely accepting a plea on count one and sentencing defendant and then accepting a plea on count two and sentencing defendant and ordering the second to be concurrent to the first. I have digressed at this point to note the foregoing in order to demonstrate the chilling effect on a jury trial that results from amended rule 24.04 being held to require consecutive sentences when a jury trial is had in view of the provisions of
The court‘s instructions did not leave it to the jury to determine whether the sentences were to be concurrent or consecutive. The court instructed the jury that the punishment assessed by the jury on each of the counts upon which the jury found defendant guilty would be consecutive. And this was exactly opposite as to what the defendant was informed by the court at the beginning of the trial what the law was.
It is clear, therefore, that there was no consent to be tried on multiple counts with knowledge that the sentences would be automatically consecutive. We are not dealing with a record that is silent on the matter under which it might be argued that the defendant and his counsel might be presumed to know the law. Here we have a record wherein the defendant was told by the court that the sentences would not be automatically consecutive but that the jury had the discretion to decide that question.
The trial judge had no intention of misleading the defendant but the statement was incorrect. Apparently the defense counsel and the prosecutor also believed the law was as stated by the judge because no attempt at correction by either of them appears in the record.
In my opinion, the foregoing warrants a remand of counts one and two to the trial court for the purpose of having the trial court exercise its discretion with respect to concurrent or consecutive sentences and enter its order accordingly, regardless of the court‘s decision with respect to the interpretation of amended rule 24.04 and
In my opinion, the construction placed upon amended rule 24.04 by the principal opinion means that this court has changed substantive rights and has adversely affected the defendant‘s right to trial by jury.
The substantive law of this state is that the defendant has the right to have the trial judge determine, in his discretion, whether sentences shall be consecutive or concurrent, except in those instances where the law mandates consecutive sentences. Sentences subject to the discretionary order of the trial judge are concurrent unless designated consecutive by the trial court. Anthony v. Kaiser, 350 Mo. 748, 169 S.W. 2d 47 (banc 1943); Forbes v. Haynes, 465 S.W.2d 485 (Mo. banc 1971). Prior to amended rule 24.04, there could not be multiple convictions in any one trial without the waiver or consent of the defendant except for burglary and larceny. State v. Terry, 325 S.W.2d 1, 4 (Mo.1959); State v. Christian, 253 Mo. 382, 161 S.W. 736 (1913). Therefore, the judge always had the discretionary power and opportunity to determine how the sentences would be served. The effect of this rule, as set forth in the principal opinion, deprives the
It is important also to bear in mind that the statute,
In at least four cases which have been decided on appeal since the adoption of amended rule 24.04, it is seen that circuit judges did not construe amended rule 24.04 to require the application of
Consecutive sentences are by their very definition an enhancement of punishment over concurrent sentences. The law of Missouri is that sentences are concurrent unless the trial judge orders them to be consecutive except where consecutive sentences are statutorily mandated. Anthony v. Kaiser, supra; Forbes v. Haynes, supra. Prior to amended rule 24.04, the counts contained in the instant indictment would have been separately prosecuted in separate indictments. If the defendant had been convicted of what is count two in this case in a second trial, the court would have determined the question of consecutive or concurrent terms, and the terms would have been consecutive only by the explicit order of the court. The only reason that two convictions can occur now, as they did in the instant case, is because this court authorized the multiple count trial for separate offenses by amended rule 24.04 under the practice and procedure rule-making power of
The defendant contends that the application of the mandatory consecutive provisions of
I disagree. United States v. Jackson, supra, concerned the Federal Kidnaping Act,
“Under the Federal Kidnaping Act, therefore, the defendant who abandons the right to contest his guilt before a jury is assured that he cannot be executed; the defendant ingenuous enough to seek a jury acquittal stands forewarned that, if a jury finds him guilty and does not wish to spare his life, he will die. Our problem is to decide whether the Constitution permits the establishment of such a death penalty, applicable only to those defendants who assert the right to contest their guilt before a jury. The inevitable effect of any such provision, is of course, to discourage assertion of the Fifth Amendment right not to plead guilty and to deter exercise of the Sixth Amendment right to demand a jury trial. If the provision had no other purpose or effect than to chill the assertion of constitutional rights by penalizing those who choose to exercise them, then it would be patently unconstitutional. . . .
“. . . Whatever might be said of Congress’ objectives, they cannot be pursued by means that needlessly chill the exercise of basic constitutional rights. Cf. United States v. Robel, 389 U.S. 258, 88 S. Ct. 419, 19 L.Ed.2d 508; Shelton v. Tucker, 364 U.S. 479, 488-489, 81 S.Ct. 247, 252, 5 L.Ed.2d 231. The question is not whether the chilling effect is ‘incidental’ rather than intentional; the question is whether that effect is unnecessary and therefore excessive. . . . Whatever the power of Congress to impose a death penalty for violation of the Federal Kidnaping Act, Congress cannot impose such a penalty in a manner that needlessly penalizes the assertion of a constitutional right. See Griffin v. State of California, 380 U.S. 609, 85 S. Ct. 1229, 14 L.Ed.2d 106.”
Paraphrasing the foregoing with respect to the instant case, I believe the following is appropriate: Under amended rule 24.04, a defendant who abandons his right to contest his guilt as to multiple counts is assured that the sentence he receives will not be automatically consecutive but that he will have the benefit of the judge‘s discretion on that matter; the defendant ingenuous enough to seek a jury acquittal stands forewarned that, if a jury finds him guilty of more than one count, the sentences on those counts will be automatically consecutive and he will not have the benefit of the discretionary order of the trial judge. Our problem is to decide whether the constitutions permit the establishment of such a
Missouri has no more right to threaten a defendant with consecutive terms if he demands a jury trial than Congress has to threaten a defendant with possible death if he demands a jury trial.
Without amended rule 24.04, the problem of mandatory consecutive sentences in multiple court trials would not exist because, without that rule, multiple count trials could not take place and, therefore, multiple convictions in a single trial could not occur. The combined effect of amended rule 24.04 as construed in the principal opinion and
What can a defendant who is charged with multiple crimes in the same indictment do in order to have the benefit of a judge‘s discretion with respect to mandatory or consecutive sentences? He can waive jury trial and be tried by the court, with the court‘s assent.
How important is the difference between concurrent and consecutive sentences? In this case, the defendant was sentenced to ten years’ imprisonment on count one and ten years’ imprisonment on count two. If the terms are to be consecutive, then the total sentence is twenty years, and if concurrent the total is ten years. The difference—ten years in prison—is certainly substantial in itself without even considering the effect of the longer term on the chances of parole. Of course, I do not know whether the trial judge in this case would order consecutive or concurrent terms, but I am convinced that the right to that discretionary ruling is substantive and substantial.
By way of example, in State v. Johnson, supra, the defendant was convicted of two counts of robbery in the first degree by a jury which assessed punishment at fifteen years on each count. The trial court ordered the sentences to run concurrently. The difference between consecutive and concurrent terms? Fifteen years in prison. State v. Johnson, supra, State v. Henderson, supra, State v. Brooks, supra, State v. Hudson, supra, and innumerable other reported cases, demonstrate that trial judges oftentimes exercise their discretion in favor of concurrent terms. Depending upon the age of the defendant, the differ-
It is this right to the discretionary ruling of the trial judge that amended rule 24.04 operates to deprive the defendant of only when he exercises his right to a jury trial under the principal opinion in this case. This, in my opinion, unconstitutionally penalizes the defendant for exercising his constitutional right to a trial by jury and is violative of
For the foregoing reasons, I dissent from that part of the principal opinion which holds that
