Opposition Brief — Nebraska v. Rust
Supreme Court brief1995
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BARBARA STHIELEN:
QUESTIONS PRESENTED FOR REVIEW
Whether the Nebraska Supreme Court erred in finding that the
life sentence imposed at Rust’s capital resentencing hearing
served to acquit him of the harsher sentence of death.
Whether the Nebraska Supreme Court erred in finding that this
Court’s holdings in Bullington v. Missouri, 451 U.S. 430, 101
S.Ct. 1852, 68 L.Ed.2d 270 (1981), Arizona v. Rumsey, 467 U.S.
203, 104 S.Ct. 2305, 81 L.Ed.2d 164 (1984), and Poland v.
Arizona, 476 U.S. 147, 106 S.Ct. 1749, 90 L.Ed.2d 123 (1986),
make the protections of the double jeopardy clause applicable
to the capital resentencing procedure involved herein, thereby
preventing the State of Nebraska from challenging, as
"excessively lenient", the life sentence imposed in this case.
TABLE OF CONTENTS
QUESTIONS PRESENTED FOR REVIEW
TABLE OF CONTENTS
TABLE OF AUTHORITIES
STATEMENT OF THE CASE
SUMMARY OF THE ARGUMENT
ARGUMENT
I. THE DOUBLE JEOPARDY CLAUSE BARS ANY RECONSIDERATION
OF A LIFE SENTENCE IMPOSED AFTER A CAPITAL
SENTENCING TRIAL oe Te ee wl Ie
CONCLUSION
Page
iii
17
T. A R
T. E OF
Arizona v. Rumsey, 467 U.S. gis 104 S.Ct. ages
Ok tee Oa tee AS a ke Me is <= ee ae
t Vv. ssouri, 451 U.S. 430, 101 S.Ct. 1852,
68 L.Ed. 2d 270 et Pies s aK eg Se ee, Ge ee OE ie
Poland v. Arizona, 476 U.S. 147, 106 S.Ct. 1749,
To Maes ee bee Eeewe). 2 6 3 we 4 to ocw. By ii, 12, 33, 14, 15
Rust v. Hopkins, 984 F.2d 1486 (8th Cir. 1993),
Gert. denied, .... U.S. ___, 113 &.Ct. 2950,
en MO IR oe cl Nene ee enue eg
State v. Joubert, 224 Neb. 411, 399 N.W.2d 237 (1986) ..... 1
State v. Moore, 210 Neb. 457, 316 N.W.2d 33 (1982) ...... 1
State v. Rumsey, 136 Ariz. 166, 665 P.2d 48 (1983) 9
State v. Rust, 247 Neb. 503 (1995) 5
State v. Simants, 197 Neb. 549, 250 N.W.2d 881 (1977) 1
STATUTES CITED
Neb.Rev.Stat. §$28-303 (Reissue 1989) .......24+4+++e+-. 1
Neb.Rev.Stat. §29-2320 et. seq. (Cum. Supp. 1992) ....... 4
Neb.Rev.Stat. §29-2519 et. seq. (Reissue 1989) 1
Neb.Rev.Stat. §29-2520 (Reissue 1989) .......4.4+4+4+e+-. 1
Neb.Rev.Stat. $29-2521 (Reissue 1989) ........24++++-. 1
Neb.Rev.Stat. $29-2522 (Reissue 1989) .......4.4++.e+ 2,3
Neb.Rev.Stat. §29-2523(1) (Reissue 1989) ........+4+4. 1
iii
TATEMENT OF THE E
A defendant convicted of capital murder in Nebraska can be
sentenced either to death or life imprisonment. Neb. Rev. Stat.
§28-303 (Reissue 1989). Special statutory procedures must be
followed in the determination of sentence. Neb. Rev. Stat.
§29-2519 et. seq. (Reissue 1989). The determination may be made
by the ected judge alone or by a panel of three judges, including
the trial judge. Neb. Rev. Stat. §29-2520 (Reissue 1989).
A separate proceeding is held wherein evidence is presented
regarding any of the statutorily defined aggravating and mitigating
circumstances. The state and the defendant are permitted to
present argument for or against a sentence of death. Neb. Rev.
Stat. §29-2521 (Reissue 1989).
The prosecution is limited to proof of the statutorily
defined aggravating circumstances Neb. Rev. Stat. §29-2523(1)
(Reissue 1989), and the existence of any such circumstance(s) must ie:
be proven beyond a reasonable doubt. State v. Simants, 197 Neb.
549, 250 N.W.2d 881 (1977). The defendant may offer any
evidence in mitigation and is not limited to the statutory
mitigating circumstances. State v. Joubert, 224 Neb. 411, 399
N.W.2d 237 (1986). State v. Moore, 210 Neb. 457, 316 N.W.2d 33
(1982).
Neb. Rev. Stat. §29-2522 (Reissue 1989) provides that:
After hearing all of the evidence and
arguments in the sentencing proceeding,
the judge or judges shall fix the
sentence at either death or life
imprisonment, but such determination
shall be based upon the following
considerations:
(1) Whether sufficient aggravating
circumstances exist to justify
imposition of a sentence of death;
(2) Whether sufficient mitigating
circumstances exist which approach or
exceed the weight given to the
aggravating circumstances; or
a
(3) Whether the sentence of death is
excessive or disproportionate to the
penalty imposed in similar cases,
considering both the crime and the
defendant.
In each case in which the court imposes
the death sentence, the determination of
the court shall be in writing and shall
be supported by written findings of fact
based upon the records of the trial and
the sentencing proceeding, and referring
to the aggravating and mitigating
circumstances involved in its determination.
The sentencing panel in Rust’s case considered the evidence
in light of the statutory aggravating and mitigating
circumstances, and also considered the non-statutory mitigating
circumstances proffered by the defendant. (Appendix to Petition
p- 30).
The panel unanimously found that aggravating circumstance
(1)(h) (“the crime was committed to disrupt or hinder .. . the
enforcement of the laws"), and the first prong of aggravating
circumstance (1)(a) ("the offender was previously convicted of
- a crime intoivins ti use or threat of violence to the
person ...") were applicable in this case beyond a reasonable
doubt. (Appen ix to Petition pp. 32, 38, 46). The panel also
found that mit ating circumstance (2)(c) ("the crime was
committed whi’ re offender was under the influence of extreme
mental or emoti. 1 disturbance") was applicable in this case.
(Appendix to Petition p. 40). The Court determined that the
non-statutory mitigating factors were entitled to "little, if
any, weight." (Appendix to Petition p. 45)
Following the above procedure as mandated by Neb. Rev.
Stat. §29-2522 (Reissue 1989), the sentencing panel determined
that the two aggravating circumstances existing in this case
were “not sufficient to justify the imposition of a death
sentence." (Appendix to Petition p. 47).
The panel stated, in addition, that "the weight we accord
to mitigating circumstance (2)(c) approaches the weight we give
to the existing aggravating circumstances. On that basis, we
conclude that a sentence of death would not be appropriate in
this case." (Appendix to Petition p. 47).
Claiming that the sentencing panel erred in its considera-
tion of various aggravating circumstances, the state appealed to
the Nebraska Supreme Court urging remand for "further evaluation
of an appropriate sentence for Rust." The Court rejected the
state’s attempt to appeal this case pursuant to Neb. Rev. Stat.
§29-2320 et. seq. (Cum. Supp. 1992), which authorizes the
prosecution to appeal a sentence believed to be "excessively
lenient."
The Nebraska Supreme Court held:
It is the life sentence imposed at the
resentencing hearing which served to
acquit Rust of the harsher death sentence.
Accordingly, the holdings of the U.S.
Supreme Court in Bullington, Poland and
Rumsey make the protections of the Double
Jeopardy Clause applicable to the capital
resentencing procedure involved and prevent
the State from challenging as excessively
lenient the life sentence imposed in this
case.
(Appendix to Petition p. 16).
MMARY OF THE ARGUMENT
On October 30, 1975, Respondent Rust was sentenced to
death in connection with his conviction for the offense of
felony murder. The granting of federal habeas corpus relief
was affirmed by the Eighth Circuit Court of Appeals. Rust v.
Hopkins, 984 F.2d 1486 (8th Cir. 1993), cert. denied, __ U.S.
—__., 113 S.Ct. 2950, 124 L.Ed.2d 697 (1993). Following a
Capital resentencing hearing, wherein the sentencing panel
found two aggravating circumstances and one mitigating
circumstance, the evidence was deemed insufficient to justify
the death penalty. Rust received é« life sentence. The State
of Nebraska appealed, arguing that the life sentence was
"excessively lenient" and urging the Nebraska Supreme Court to
remand the matter to the trial court for "further evaluation of
an appropriate sentence for Rust."
The Nebraska Supreme Court found that the life sentence
imposed at the resentencing hearing served to acquit Rust of
the harsher death sentence. The Court held that this Court’s
holdings in Bullington v. Missouri, 451 U.S. 430, 101 S.Ct.
1852, 68 L.Ed.2d 270 (1981), Arizona v. Rumsey, 467 U.S. 203,
104 S.Ct. 2305, 81 L.Ed.2d 164 (1984), and Poland v. Arizona,
476 U.S. 147, 106 S.Ct. 1749, 90 L.Ed.2d 123 (1986) made the
protections of the Double Jeopardy Clause applicable to Rust’s
capital resentencing and prevented the state from challenging
the life sentence as "excessively lenient." State v. Rust, 247
Neb. 503 (1995).
In its petition for certiorari filed herein, the state
argues that the Nebraska Supreme Court’s resolution of this
question is contrary to rules of law and the analysis contained
in prior rulings of this Court. The Petitioner alleges that the
state’s only burden at a capital sentencing is to prove facts
sufficient to establish the existence of aggravating
circumstances. Petitioner misstates the law, totally ignoring
that its ultimate burden is one of persuading the sentencer that
death is the appropriate penalty.
The Petitioner’s attempt to distinguish the facts of this
case from those in Poland is illusory, and the argument completely
disregards the principles previously enunciated by this Court on
the issue involved herein. This case is squarely controlled by
Bullington, Rumsey and Poland. The petition for writ of
certiorari filed herein is wholly frivolous and contains no
novel question meriting this Court’s consideration.
THE DOUBLE JEOPARDY CLAUSE BARS ANY RECONSIDERATION
OF A LIFE SENTENCE IMPOSED AFTER A CAPITAL SENTENCING TRIAL.
In Bullington v. Missouri, 451 U.S. 430, 101 S.Ct. 1852,
68 L.Ed.2d 270 (1981), this Court held that because the sentenc-
ing proceeding at the petitioner’s first trial was like a trial
on the issue of guilt or innocence, the protection afforded by
the Double Jeopardy Clause to one acquitted by a jury was also
available, with respect to the death penalty, upon retrial.
Id. at 447, 101 S.Ct. at 1862.
This Court noted that Missouri law provided only two
possible sentences for a defendant convicted of capital murder:
death or life imprisonment. The Missouri statutes contained
substantive standards to guide the discretion of the sentencers
and afforded procedural safeguards to a convicted defendant. A
separate proceeding was required to be held before the jury that
had found the defendant guilty, wherein evidence of statutory
aggravating and mitigating circumstances was to be heard. The
jury was to consider whether any of the statutory aggravating or
mitigating circumstances were present; whether any aggravating
circumstances that did exist were sufficient to warrant the death
penalty; and whether any mitigating circumstances that did exist
outweighed the aggravating circumstances. A jury that imposed a
sentence of death was required to designate in writing the
aggravating circumstance or circumstances that it found beyond a
reasonable doubt. The Missouri statutory scheme also
required that the jury be convinced beyond a reasonable doubt
that any aggravating circumstance or cizcematanle that it
found to exist were sufficient to warrant the imposition of the
death penalty. Id. at 435, 101 S.Ct. at 1855-1856.
This Court noted that the jury was not given unbounded
discretion, but was presented with a choice between two alterna-
tives, and standards to guide the making of that choice.
Further, the prosecution did not simply recommend a sentence,
“it undertook the burden of establishing certain facts beyond a
reasonable doubt in its quest to obtain the harsher of the two
alternative verdicts." Id. at 439, 101 S.Ct. at 1858. The
sentencing proceeding was, therefore, "itself a trial on the
issue of punishment so precisely defined by the Missouri
statutes." Id. at 439, 101 S.Ct. at 1858.
This Court stated that:
By enacting a capital sentencing
procedure that resembles a trial on the
issue of guilt or innocence,
Missouri explicitly requires the jury
to determine whether the prosecution
has "proved its case." .. . Chief
Justice Bardgett, in his dissent from
the ruling of the Missouri Supreme Court
majority, observed that the sentence
of life imprisonment which petitioner
received at his first trial meant that
“the jury has already acquitted the
defendant of whatever was necessary
to impose the death sentence."
(Citation omitted) We agree.
A verdict of acquittal on the issue of
guilt or innocence is, of course,
absolutely final. The values that underlie
this principle .. . are equally applicable
when a jury has rejected the State’s claim
that the defendant deserves to die.
Id. at 445-446, 101 S.Ct. 1861.
In Arizona v. Rumsey, 467 U.S. 203, 104 S.Ct. 2305, 81
L.Ed.2d 164 (1984), this Court held that the Double Jeopardy
Clause prohibited the State of Avicces from sentencing respon-
dent to death after his life sentence was set aside on appeal,
notwithstanding the fact that the failure to initially impose
the death penalty was based on a misconstruction of an
aggravating circumstance under the capital sentencing law.
That decision was squarely controlled by the ruling in
Bullington v. Missouri, supra. The Court noted that Arizona’s
capital sentencing procedure shared the trial-like characteris-
tics of the Missouri proceeding which triggered double jeopardy
protection.
In Rumsey, supra, the defendant had been convicted of armed
robbery and first degree murder. The trial judge alone
conducted a separate sentencing hearing in connection with
Arizona’s capital sentencing scheme, which involved the weighing
of aggravating and mitigating circumstances. The state argued
that three aggravating circumstances were present. Defendant
countered that no aggravators were present, but that several
mitigating factors were. The sentencing judge found that no
aggravating or mitigating factors existed, and the defendant was
sentenced to life imprisonment. Defendant was also sentenced to
a consecutive term of 21 years for the armed robbery.
Defendant appealed the imposition of consecutive sentences
and the state cross-appealed, arguing that the trial court had
committed an error of law in interpreting one of the aggravating
circumstances. The Arizona Supreme Court concluded that the
trial court had in fact misinterpreted one of the aggravating
factors. Consequently, the sentence of life imprisonment was
set aside and the matter remanded for resentencing. Following
resentencing procedures in the trial court, defendant was
sentenced to death.
On further appeal to the Arizona Supreme Court, defendant
argued that the imposition of a sentence of death, after he had
effectively been "acquitted" of death at his initial sentencing,
violated the Double Jeopardy Clause of the Fifth Amendment as
applied to the states by the Fourteenth Amendment. The Arizona
Supreme Court agreed, concluding that under Bullington v.
Missouri, supra, defendant’s sentence of death violated the
constitutional prohibition against double jeopardy. State v.
Rumsey, 136 Ariz. 166, 665 P.2d 48 (1983). Defendant was once
again sentenced to life imprisonment.
This Court agreed with the Arizona Supreme Court that,
under the interpretation of the Double Jeopardy Clause adopted
in Bullinaton v. Missouri, supra, the imposition of the death
penalty on Rumsey would be unconstitutional. This Court found
that:
The double jeopardy principle relevant to
respondent’s case is the same as that invoked
in Bullington: an acquittal on the merits by
the sole decisionmaker in the proceeding is
final and bars retrial on the same charge.
Application of the Bullington principle
renders respondent’s death sentence a
violation of the Double Jeopardy Clause
because respondent’s initial sentence of life
imprisonment was undoubtedly an acquittal on
the merits of the central issve in the
proceeding - whether death was the appropriate
punishment for respondent’s offense.
Id. at 211-212, 104 S.Ct. at 2310.
This Court further noted that “an acquittal on the merits
- as such, bars any retrial of the appropriateness of the
death penalty." Id. at 212, 104 S.Ct. at 2310.
This Court recognized that an error of law had been made by
the trial court in arriving at its original sentence of life
imprisonment. However, such error did not dictate a different
result.
In making its findings, the trial court relied on a
misconstruction of the statute defining the pecuniary
gain aggravating circumstance. Reliance on an error
of law, however, does not change the double jeopardy
effects of a judgment that amounts to an acquittal
on the merits. "(T]he fact that ‘the acquittal may
result from erroneous evidentiary rulings or erroneous
interpretations of governing legal principles’...
10
affects the accuracy of that determination, but it
does not alter its essential character." United States
v. Scott, 437 U.S. 82, 98, 98 S.Ct. 2187, 2197, 57
L.Ed.2d 65 (1978) (quoting id., at 106, 98 S.Ct., at
2201 (BRENNAN, J., dissenting)). Thus, this Court’s
cases hold that an acquittal on the merits bars
retrial even if based on legal error.
Id. at 212, 104 §.Ct. at 2310.
It was also noted that a capital sentencing proceeding
is not made any less like a trial because of the availability of
appellate review. Such a review, including the reweighing of
aggravating and mitigating circumstances, does not "make the
appellate process part of a single continuing sentencing
proceeding." Id. at 210, 104 S.Ct. at 2309.
In Poland v. Arizona, 476 U.S. 147, 106 S.Ct. 1749, 930
L.Ed.2d 123 (1986), the petitioners robbed a bank, killed two
guards, and were convicted of first degree murder.
At a separate hearing, the trial judge found that the
“pecuniary gain" statutory aggravating circumstance related
only to contract killings and was therefore not applicable. The
Court did find the "especially heinous, cruel or depraved"
statutory aggravating circumstance to be present and, on that
basis, sentenced the petitioners to death. While the Arizona
Supreme Court reversed and remanded for a retrial on other
grounds, it found that the evidence was insufficient to support
the “especially heinous" circumstance. It further found,
however, that the trial court erred in limiting the "pecuniary
gain" circumstance to contract killings and that, if petitioners
ll
were again convicted, the judge could find this circumstance
present.
On remand, the petitioners were again convicted of first
degree murder and the trial judge again sentenced them to death,
finding the existence of both the "pecuniary gain" and
“especially heinous" aggravating circumstances.
The Arizona Supreme Court found the evidence still insuffi-
cient to support the "especially heinous" circumstance, but
sufficient to support the "pecuniary gain" circumstance. The
Court affirmed, rejecting Petitioners’ argument that double
jeopardy barred reimposition of the death penalty.
This Court granted certiorari to consider the question and
held that the trial judge’s rejection of the "pecuniary gain"
circumstance was not an "acquittal" of that circumstance for
double jeopardy purposes and did not foreclose its consideration
by the reviewing court. It was further held that because the
reviewing court did not find the evidence legally insufficient
to justify imposition of the death penalty, there was no death
penalty “acquittal” by that court and the Double Jeopardy Clause
did not, therefore, foreclose a second sentencing hearing at
which the “clean slate" rule applied. Id. at 158, 106 S.Ct. at
1756.
This Court noted that:
Under Bullington and Rumsey, therefore, the
relevant inquiry in the cases before us is
whether the sentencing judge or the reviewing
court has "decid{ed] that the prosecution has
not proved its case” for the death penalty
and hence has "acquitted" petitioners.
12
Bullington, 451 U.S., at 443, 101 S.Ct.,
at 1860.
Id. at 155, 106 &.Ct. at 1754.
The Court distinguished Poland from Bullington and Rumsey
by pointing out that:
At no point during petitioners’ first
capital sentencing hearing and appeal
did either the sentencing or the reviewing
court hold that the prosecution had
“failed to prove its case" that the
petitioners deserved the death penalty.
Plainly, the sentencing judge did not
acquit, for he imposed the death penalty.
Id. at 155, 106 S.Ct. at 1754-1755.
This Court observed that:
Aggravating circumstances are not separate
penalties or offenses, but are "standards
to guide the making of [the] choice" between
the alternative verdicts of death and life
imprisonment. 451 U.S., at 438, 101 S.Ct.,
at 1858. Thus, under Arizona’s capital
sentencing scheme, the judge’s finding of
any particular aggravating circumstance does
not of itself "convict" a defendant
(i.e., require the death penalty), and the
failure to find any particular aggravating
circumstance does not "acquit" a defendant
(i.e., preclude the death penalty).
It is true that the sentencer must find
some aggravating circunistance before the
death penalty may be imposed, and that the
sentencer’s finding, albeit erroneous, that
13
no aggravating circumstance is present is
an “acquittal” barring a second death
sentence proceeding. Arizona v. Rumsey,
467 U.S. 203, 104 S.Ct. 2305, 81 L.Ed.2d
164 (1984).
Id. at 157, 106 S.Ct. at 1755.
In Poland, this Court pointed out that the concern with
protecting the finality of acquittals is not implicated when a
defendant is sentenced to death, (i.e., "convicted"). The Court
was unwilling to extend Bullington to a point where the capital
sentencing hearing becomes "a set of minitrials on the existence
of each aggravating circumstance." It stated:
Bullington indicates that the proper
inquiry is whether the sentencer or
reviewing court has "decided that the
prosecution has not proved its case"
that the death penalty is appropriate.
(Emphasis in original)
id. at 356, 106 &.Ct. at 1755.
Clearly, the principles enunciated in Bullington, supra,
Rumsey, supra, and Poland, supra, squarely control the
disposition of this case. Nebraska’s capital sentencing
procedure shares the trial-like characteristics of the Missouri
and Arizona proceedings, thereby entitling Rust to the constitu-
tional protection of the double jeopardy clause.
Although the sentencing panel found the existence of two
aggravating circumstances, they were deemed insufficient to
justify imposition of the death penalty. As noted in Poland,
supra, the finding of any particular aggravucins circumstance
14
does not require the death penalty. The sentencers in Rust also
found the existence of one mitigating circumstance, which
approached the weight of the aggravating circumstances.
(Appendix to Petition p. 16).
After scrupulously following the statutory procedure, the
sentencing panel found that the existing circumstances were not
sufficient to justify the imposition of a death sentence.
The sentencers clearly decided that "’. . . the prosecution
had not proved its case’ that the death penalty is appropriate."
(Emphasis in original) Poland v. Arizona, supra, 476 U.S. at
156, 106 §.Ct. at 1755.
The Petitioner’s claim, that the Nebraska Supreme Court’s
resolution of this question is contrary to rules of law and the
analysis contained in prior rulings of this Court, is baseless and
completely without merit.
The state acknowledges that "the distinction between Poland
and Rust’s situation is that Poland ultimately received a
sentence of death prior to appeal and Rust did not", yet boldly
asserts that “our analysis of this Court’s cases on this subject
leads us to believe that such a distinction, standing alone, is
not legally significant and that Rust’s case, like Poland’s, was
capable of remand and resentencing without violation of the
Double Jeopardy Clause." (Petition p. 9).
The Petitioner erroneously claims that "The only burden the
prosecution assumes at the penalty phase is to offer evidence
sufficient to establish beyond a reasonable doubt that one or
more statutory aggravating circumstances are present in the
commission of the murder or the history of that defendant."
(Petition p. 16). This allegation is a misstatement of law. As
is always the case, the state bears both the burden of proving
facts to establish the existence of aggravating circumstances
beyond a reasonable doubt, and the burden of persuasion on the
ultimate issue; that is, convincing the sentencing entity that
death is the appropriate penalty.
The sentencing order makes clear that the state failed to
carry that ultimate burden in Rust’s case. The Petitioner’s
attempt to acknowledge the state’s burden of proving facts to
Support the existence of aggravating circumstances, while
ignoring its ultimate burden of proving the appropriateness of
the death penalty, is artifice. Petitioner’s entire argument
blatantly disregards the clear precedent contained in the prior
rulings of this Court.
In the case at bar, Rust has unequivocally been "acquitted"
of the death penalty, and the Double Jeopardy Clause constitu-
tionally bars any review or reconsideration of that sentence.
16
NCLUSION
The Respondent respectfully submits that the manner in
which the issues were addressed below and the results obtained
do not present any of the special or important considerations
outlined in Supreme Court Rule 10. The petition for certiorari
filed by the State of Nebraska is wholly frivolous and does not
contain any unsettled issue or other grounds meriting this
Court’s consideration. Respondent therefore requests that the
petition for writ of certiorari be denied.
JOHN E. RUST, Respondent
IL/M. FABIAN 6236 - of
Fabian & Thielen
4939 S. 24th St., PO Box 7567
Omaha, NE 68107
(402) 733-7766
Attorneys for Respondent
~
BY:
BARBARA THIELEN - #16673 - of
Fabian & Thielen
4939 S. 24th St., PO Box 7567
Omaha, NE 68107
(402) 733-7766
Attorneys for Respondent
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