Title: State v. Carpenter
Citation: 228 Kan. 115, 612 P.2d 163
Docket Number: 51,278
State: Kansas
Issuer: Kansas Supreme Court
Date: June 14, 1980

228 Kan. 115 (1980)
612 P.2d 163
STATE OF KANSAS, Appellee,
v.
EBEN W. CARPENTER, Appellant.
No. 51,278

Supreme Court of Kansas.
Opinion filed June 14, 1980.
David J. Waxse, of Payne &amp; Jones, Chartered, of Olathe, argued the cause and was on the brief for appellant.
Gene M. Olander, district attorney, argued the cause and Robert T. Stephan, attorney general, was with him on the brief for appellee.
The opinion of the court was delivered by
HOLMES, J.:
Defendant, Eben W. Carpenter, appeals from a conviction in a trial to the court of one count of second-degree murder. This is the third appearance of this case, in one form or another, before this court. See State v. Carpenter, 215 Kan. 573, 527 P.2d 1333 (1974) (Carpenter I), and Carpenter v. State, 223 Kan. 523, 575 P.2d 26 (1978) (Carpenter II), for a statement of the facts in the prior cases which will not be repeated in detail here.
In Carpenter I, the defendant Eben W. Carpenter was charged with the first-degree murder of one Willis Upshaw. Defendant's brother, Jan Carpenter, Karen Larson and Donald Brenner were also charged in connection with the murder. Karen Larson later pled guilty to the crime of aiding a felon and was placed on probation. Jan Carpenter and Brenner both pled guilty to murder in the second degree and Brenner testified against defendant. It appears to be undisputed that Brenner fired the shots which killed Upshaw and that at the time of the actual killing, the defendant Eben Carpenter was outside the State of Kansas. Brenner, an employee of the Carpenter brothers, killed Upshaw as the result of a conspiracy and agreement among Jan and Eben Carpenter and Brenner. Following a trial to a jury, Eben Carpenter *116 was convicted of second-degree murder. The jury had been instructed on second-degree murder as a lesser included offense of first-degree murder and no objection was made to the instruction by either defendant's counsel or the prosecutor. As a result this court, in Carpenter I, held that the instruction was not clearly erroneous and affirmed the conviction on the authority of then K.S.A. 1971 Supp. 22-3414(3), and State v. Yargus, 112 Kan. 450, 211 Pac. 121 (1922).
Thereafter, defendant filed a motion under K.S.A. 60-1507 to have his conviction set aside on the ground he had been deprived of his right to effective assistance of counsel based upon an alleged conflict of interest of defense counsel. During these proceedings, the trial judge, the Honorable Harold R. Riggs, was disqualified based upon an affidavit of prejudice filed pursuant to K.S.A. 1979 Supp. 20-311d. Judge Buford Shankel, after a hearing, disqualified Judge Riggs and subsequently found a conflict of interest did exist and set aside the conviction. The State appealed and this court, in Carpenter II, held that Judge Riggs had been erroneously removed by Judge Shankel and the case was remanded for further proceedings before Judge Riggs. Judge Riggs then granted the defendant a new trial based upon the conflict of interest of defense counsel.
Defendant's present counsel, who has represented defendant throughout the proceedings in Carpenter II, and on this appeal, submitted the matter by stipulation to the trial judge on the record from the original murder trial. Based upon that record the trial judge found the defendant guilty of second-degree murder. Defendant now appeals in what hopefully will not come to be known at some later date as Carpenter III.
On January 12, 1979, the State and the defendant entered into the following stipulation:
"STIPULATION
Appellant makes two principal points on appeal. The first is that the original first-degree murder indictment was not amended and no new indictment, information or complaint was filed charging second-degree murder. Hence, it is argued defendant could not be tried for second-degree murder under an indictment charging first-degree murder. The second principal point is that the undisputed evidence will not support a conviction of second-degree murder as it clearly shows the defendant was either guilty of first-degree murder or nothing.
It is undisputed that the defendant cannot be tried a second time upon a greater charge than that of which he was convicted in the first trial. A conviction of second-degree murder in the first trial is tantamount to an acquittal of the original charge of first-degree murder. Benton v. Maryland, 395 U.S. 784, 23 L. Ed. 2d 707, 89 S. Ct. 2056 (1969); Green v. United States, 355 U.S. 184, 2 L. Ed. 2d 199, 78 S. Ct. 221 (1957); K.S.A. 1979 Supp. *118 21-3108(1)(c). Appellant argues that as the original indictment charging first-degree murder was never amended or superseded by a complaint, information or indictment charging second-degree murder, he cannot be tried for second-degree murder under the original instrument charging first-degree murder.
We find no Kansas cases wherein the question of amending an indictment has been before the court.
K.S.A. 1979 Supp. 22-3201 provides in part:
....
As is apparent from the statute, a complaint or information may be amended and the courts have been lenient in allowing such amendments. In Cox v. State, 205 Kan. 867, 473 P.2d 106 (1970), we held that in the second trial of a defendant an amendment of an information was not necessary.
However, nothing in the statute allows the amendment of an indictment. K.S.A. 1979 Supp. 22-3201 is based largely on Rule 7 of the Federal Rules of Criminal Procedure. Under the federal rules it has long been the general rule that an indictment may not be amended.
In 1 Wright, Federal Practice and Procedure: Criminal § 127, it is stated:
In United States v. Beeler, 587 F.2d 340 (6th Cir.1978), the reason for the federal policy against allowing indictments to be amended was stated as follows:
It is equally clear that a defendant under the federal rules may waive the right to be proceeded against by indictment and consent to be charged by information. Obviously, the purpose of allowing waiver is to expedite matters for the benefit of alleged offenders who desire expedition. 1 Wright, Federal Practice and Procedure: Criminal § 122, p. 214. The waiver of the right to an indictment to be valid must be voluntarily and intelligently made in open court. Bartlett v. United States, 354 F.2d 745 (8th Cir.1966). See also Ching v. United States, 292 F.2d 31 (10th Cir.1961), Fed. R. Crim. Proc., Rule 7(b), and 1 Wright, Federal Practice and Procedure: Criminal § 122, p. 217. In those cases where indictment has been waived, however, it should be noted that the prosecution has proceeded under an information.
Numerous older cases from the state courts indicate that where a new trial has been granted after a conviction of a lesser offense than that charged in the original indictment, the second trial may proceed upon the original indictment but the trial will be limited to a consideration of the lesser offense of which the defendant was originally convicted. The cases require that the jury be instructed to this effect. See Ison v. State, 35 Ala. App. 218, 45 So. 2d 174 (1950); State v. Foley, 131 W. Va. 326, 47 S.E.2d 40 (1948); State v. McLane, 126 W. Va. 219, 27 S.E.2d 604 (1943); Coley v. State, 69 Fla. 568, 68 So. 655 (1915); West v. State, 55 Fla. 200, 46 So. 93 (1908).
*120 In 24 C.J.S., Criminal Law § 1426, at p. 17, we find:
In 24B C.J.S., Criminal Law § 1952(8), at p. 414, it is stated:
The purpose of an indictment, information or complaint is to advise the accused and the court of the charges alleged to have been committed and the essential facts constituting the crime or crimes charged. Regardless of what the rule might be as to the necessity of a new indictment, information or complaint in a second trial before a jury, here the case was tried to the court and all parties were fully advised, as shown by the stipulation, of the nature of the charges against appellant and that the trial would be limited to the charge of second-degree murder. In addition, the defendant submitted the matter to the trial court upon the record from the previous trial. Defendant cannot claim any surprise as to the nature of the proceedings against him and certainly no prejudice to the defendant has been shown. Under such circumstances we hold that it was not error for the case to proceed to trial on the charge of second-degree murder without a new indictment, information or complaint. While the state might very well have filed a new information charging defendant with second-degree murder, the failure to do so is not fatal where all parties were fully informed, no surprise or prejudice to defendant is shown and the trial was to the court upon a charge of second-degree murder on the existing record from the first trial. Defendant was not retried for first-degree murder and no question of double jeopardy is involved.
Appellant's next principal point is that even if it were proper to proceed without a new indictment, information or complaint charging second-degree murder, the evidence will not support a conviction of second-degree murder. It is his position that the *121 evidence clearly shows he was not at the scene of the crime at the time Upshaw was murdered and, therefore, if he had anything to do with the murder, it would have been as an aider or abetter, which would obviously include premeditation and support a conviction of first-degree murder. In fact, the evidence shows Carpenter was outside the State of Kansas at the time and hence it is argued he was either guilty of murder in the first degree or guilty of no murder at all. Having been acquitted of first-degree murder in the previous trial, he now contends he cannot be convicted of the crime of second-degree murder when the evidence would support first-degree murder. Under the facts and circumstances of this case, can the defendant be tried and convicted of second-degree murder upon proof of facts which would substantiate a verdict of guilty of first-degree murder? We think so.
K.S.A. 21-3401 provides:
"Murder in the first degree is a class A felony."
K.S.A. 21-3402 provides:
"Murder in the second degree is a class B felony."
The trial court made the following findings of fact:
Appellant relies on numerous cases from this court involving the giving of or failure to give instructions on lesser included offenses. See State v. Seelke, 221 Kan. 672, 561 P.2d 869 (1977); State v. Jones, 220 Kan. 136, 551 P.2d 801 (1976); State v. King, 219 Kan. 508, 548 P.2d 803 (1976); State v. Ponds &amp; Garrett, 218 Kan. 416, 543 P.2d 967 (1975); State v. McCorgary, 218 Kan. 358, 543 P.2d 952 (1975), cert. denied 429 U.S. 867 (1976); State v. James, 216 Kan. 235, 531 P.2d 70 (1975); State v. Reed, 214 Kan. 562, 520 P.2d 1314 (1974); State v. Masqua, 210 Kan. 419, 502 P.2d 728 (1972), cert. denied 411 U.S. 951 (1973); State v. Zimmer, 198 Kan. 479, 426 P.2d 267, cert. denied 389 U.S. 933 (1967). In several of these cases the court refused to give an instruction on second-degree murder when the defendant was charged with first-degree murder under the felony murder rule. Our holdings have been consistent that an instruction on lesser degrees of homicide is not necessary when the evidence of the underlying felony is clear and convincing. In James we held it was proper not to give an instruction on simple assault and simple battery as lesser included offenses of rape when the two events were separate and distinct. In King we held it was not error to refuse to give an instruction on second-degree murder when all the evidence showed premeditation and the elements of first-degree murder. In Seelke we held it was error to fail to give an instruction on manslaughter and involuntary manslaughter in a trial for second-degree murder when there was evidence which might support a conviction of a lesser offense. In State v. Bradford, 219 Kan. 336, 548 P.2d 812 (1976), the trial court in a first-degree murder trial gave an instruction on second-degree murder over the objection of the defendant. This court held there was no error as the evidence of the underlying felony was weak and conflicting. We do not find any of these cases to be in point or controlling on the question now before the court. There were no instructions *123 in this case as it was a trial to the court upon a stipulated record. The propriety of the instructions in Carpenter I was previously decided and does not control the proceedings in this case. As pointed out in Carpenter I, if the court had refused to give an instruction on second-degree murder upon request of the defendant, we probably would have found no error as the evidence clearly proved and supported first-degree murder. On the other hand, if the second-degree instruction had been given over defendant's objections, this court might very well have found reversible error.
The question before this court is not one of whether jury instructions on lesser included offenses are appropriate but rather whether, under the facts in this case in a prosecution for second-degree murder, proof of a premeditated first-degree murder will sustain a conviction.
It has long been the majority rule, and the rule in this state, that in a trial for first-degree murder where the evidence shows premeditation and, therefore, theoretically precludes any conviction of second-degree murder or other lesser degrees of homicide, a conviction of second-degree murder will not be disturbed on appeal. State v. Bigler, 138 Kan. 13, 23 P.2d 598 (1933); State v. Uhls, 121 Kan. 377, 247 Pac. 1050 (1926); State v. Brundige, 114 Kan. 849, 220 Pac. 1039 (1923); State v. Yargus, 112 Kan. 450, 211 Pac. 121 (1922). For cases from other jurisdictions following the same rule see People v. Wimbush, 45 Mich. App. 42, 205 N.W.2d 890 (1973); State v. Heald, 292 A.2d 200 (Me. 1972); State v. Smith, 1 Or. App. 153, 458 P.2d 687 (1969).
40 Am.Jur.2d, Homicide § 533, states:
The same work at Section 543, pp. 801-802 states:
For annotations on the subject, see 21 A.L.R. 603, 625; 27 A.L.R. 1097, 1100; and 102 A.L.R. 1019, 1029.
In State v. Bigler, 138 Kan. 13, the evidence was clear that the defendant was an actual participant in a murder which occurred during an attempted robbery of the victim. The jury, however, found the defendant guilty of second-degree murder. In upholding the conviction this court stated:
In State v. Yargus the defendant was charged with committing murder in the first degree by the use of poison. The court held:
*125 In the instant case, defendant was convicted in Carpenter I of second-degree murder when the evidence clearly showed guilt of first-degree murder. Upon obtaining a new trial, he now contends he cannot be tried and convicted of second-degree murder and pleads double jeopardy as to any prosecution for first-degree murder. We agree that defendant could not be tried a second time for first-degree murder and he was not. Defendant, after his conviction of second-degree murder, which worked to his advantage considering the evidence supported the charge of first-degree murder, sought a new trial claiming he had not been given a fair trial because of ineffective assistance of counsel, based upon an alleged conflict of interest. However, after obtaining such a new trial he was content to submit the matter to the court on the record from the first trial. Obviously, he does not feel that his first trial lacked anything by way of preparation or presentation or he could have insisted upon his right to a new jury trial. Instead, he hopes to rely upon evidence showing guilt of first-degree murder to defeat a conviction of second-degree murder. In Lasecki v. State, 190 Wis. 274, 208 N.W. 868 (1926), a similar argument was made when the defendant was convicted of second-degree murder on evidence of first-degree murder. In affirming the conviction, although the Court found evidence which might support second-degree murder, it was stated:
In Yargus we said:
As stated in Carpenter I:
Under the record in this case the fact that the State went further than necessary in proving its case of second-degree murder and actually showed premeditation does not preclude the defendant's conviction of second-degree murder. Premeditation (or its equivalent, the proof of a felony) is a necessary element in first-degree murder not required in proof of second-degree murder, but it is not incumbent upon the State to disprove premeditation when there is a malicious killing and defendant has only been charged with second-degree murder. Under the peculiar factual and procedural situation existing in this case where defendant sought and obtained a new trial for alleged ineffective assistance of counsel, the failure of the State to disprove premeditation will not invalidate defendant's conviction for second-degree murder.
The learned trial judge, in his well-considered memorandum decision, in commenting upon the majority rule that the conviction of a lesser offense when the evidence proves a greater offense will not be upset on appeal stated:
The holding herein is based upon the factual and procedural circumstances of this case in a trial to the court and the reasoning as set forth herein and previous rules and decisions on the propriety or necessity of jury instructions are not intended to be modified or affected.
All points raised by appellant have been considered.
The judgment is affirmed.