Opinion ID: 2358953
Heading Depth: 1
Heading Rank: 6

Heading: historical review of lesser-included offenses in tennessee

Text: Tennessee Code Annotated section 40-18-110 mandates giving an instruction on every offense included in an indictment. We have interpreted this provision to mean that `a trial court must instruct the jury on all lesser-included offenses if the evidence introduced at trial is legally sufficient to support a conviction for the lesser offense.' Burns, 6 S.W.3d at 464 (quoting State v. Langford, 994 S.W.2d 126, 128 (Tenn.1999)). The definition of what constitutes an included offense in Tennessee jurisprudence has evolved over time. In 1979, this Court adopted a definition that described an offense as necessarily included in another if the elements of the greater offense, as those elements are set forth in the indictment, include, but are not congruent with, all the elements of the lesser. Howard v. State, 578 S.W.2d 83, 85 (Tenn.1979). This approach, coined the statutory elements approach, involved a strict comparison between the statutory elements of the offense charged in the indictment with the statutory elements of the lesser offense at issue. Under this approach, an offense was not considered necessarily included in another unless the elements of the lesser offense were a subset of the elements of the charged offense. See Schmuck v. United States, 489 U.S. 705, 716, 109 S.Ct. 1443, 103 L.Ed.2d 734 (1989). In other words, the lesser offense could not require proof of any element that was not also required for the greater offense. This definition of lesser-included offenses was expanded in State v. Trusty, 919 S.W.2d 305 (Tenn.1996), to include lesser grades or classes of offenses. A lesser grade or class offense was defined by whether it was located in the same statutory chapter and part of the Code as the greater offense. See State v. Cleveland, 959 S.W.2d 548, 553 (Tenn.1997). The expanded definition adopted in Trusty was based on our perception that application of the Howard definition was too restrictive and, under the 1989 Criminal Sentencing Reform Act, precluded a defendant from obtaining instructions on offenses that were traditionally considered lesser-included offenses under the common law. However, this expanded definition soon proved unworkable. First, the structure of the 1989 Act was such that any particular chapter or part might contain diverse offenses that were related in a general sense but quite distinct in character. Many lesser grade offenses within the same class of crime could not reasonably be considered as lesser-included under any common sense definition of the term. See Burns, 6 S.W.3d at 465. The fact that many criminal offenses were scattered throughout the Code, and did not necessarily fall neatly into a lesser grade or class, further complicated the analysis. Id. Still, we were reluctant to apply a strict elements approach because it was perceived that such an approach could deprive a defendant in some cases of the right to present a defense. We resolved the dilemma by first overruling Trusty , see State v. Dominy, 6 S.W.3d 472 (Tenn.1999), and by then adopting a modified Model Penal Code approach, see Burns, 6 S.W.3d at 466-67. Under the test adopted in Burns , an offense is lesser included if: (a) all of its statutory elements are included within the statutory elements of the offense charged; or (b) it fails to meet the definition in part (a) only in the respect that it contains a statutory element or elements establishing (1) a different mental state indicating a lesser kind of culpability; and/or (2) a less serious harm or risk of harm to the same person, property or public interest; or (c) it consists of (1) facilitation of the offense charged or of an offense that otherwise meets the definition of lesser-included offense in part (a) or (b); or (2) an attempt to commit the offense charged or an offense that otherwise meets the definition of lesser-included offense in part (a) or (b); or (3) solicitation to commit the offense charged or an offense that otherwise meets the definition of lesser-included offense in part (a) or (b). Id. at 467. Under this test, the statutory elements remain the focus of the inquiry. Id. Our intent in formulating the Burns test was to provide trial courts and litigants with a more simple and predictable method of determining whether a particular lesser offense was included in a greater charged offense. Part (a) of the test was simply a re-adoption of the Howard statutory elements approach. Part (b) of the test was designed to accommodate offenses that were logically related to the charged offense in terms of the character and nature of the offense but in which the injury or risk of injury, damage, or culpability [was] of a lesser degree than that required for the greater offense. Burns, 6 S.W.3d at 466. Part (c) of the test was meant to apply to situations in which a defendant attempts to commit, or solicits another to commit, either the crime charged or a lesser-included offense, but no proof exists of the completion of the crime. Part (c) also applies when the defendant participates in some lesser role than as the principal actor. APPLICATION OF BURNS TO DETERMINE LESSER-INCLUDED OFFENSES OF FELONY MURDER When applying the Burns test to determine whether second degree murder, reckless homicide, criminally negligent homicide, and facilitation of felony murder are lesser-included offenses of felony murder, we necessarily begin with a comparison of the elements of the respective offenses. Under current law, the offense of felony murder requires proof of the following elements: 1. That the defendant unlawfully killed the alleged victim; 2. that the killing was committed either in the perpetration of or the attempt to perpetrate any first degree murder, arson, rape, robbery, burglary, theft, kidnapping, aggravated child abuse or aircraft piracy; or as the result of the unlawful throwing, placing or discharging of a destructive device or bomb; and 3. that the defendant intended to commit the alleged felony. See Tenn.Code Ann. § 39-13-202(a)(2), (a)(3), (b) (1997). To compare, the offense of facilitation of felony murder requires proof that 1. a killing was committed in the perpetration of one of the felonies specified by Tenn.Code Ann. § 39-13-202(a)(2) or (3); 2. the defendant knew that another person intended to commit the underlying felony, but he or she did not have the intent to promote or assist the commission of the offense or to benefit in the proceeds or results of the offense; and 3. the defendant furnished substantial assistance to that person in the commission of the felony; and 4. the defendant furnished such assistance knowingly. See Tenn.Code Ann. §§ 39-13-202, 39-11-403 (1997). The offenses of second degree murder, reckless homicide, and criminally negligent homicide require proof that 1. the defendant unlawfully killed the alleged victim; and 2. the defendant acted either knowingly (second degree murder), recklessly (reckless homicide), or with criminal negligence (criminally negligent homicide). See Tenn.Code Ann. §§ 39-13-210, -212, -213 (1997). The State argues that facilitation of felony murder is not a lesser-included offense of felony murder because Ely was not specifically charged with criminal responsibility for the conduct of another. We disagree. First, we note part (c) of the Burns test expressly states that facilitation of the charged offense is a lesser-included offense of the charged offense. Second, the facilitation statute applies to a person who has facilitated the criminal conduct of another by furnishing substantial assistance but who also acted without an intent to promote, assist in, or benefit from the commission of the felony. See Tenn.Code Ann. § 39-11-403 (1997) Sentencing Commission comments. This Court has previously recognized that `virtually every time one is charged with a felony by way of criminal responsibility for the conduct of another, facilitation of the felony would be a lesser-included offense.' State v. Fowler, 23 S.W.3d 285, 288 (Tenn.2000); Burns, 6 S.W.3d at 470. Although Ely was not specifically charged as being criminally responsible for Carden's conduct, we note that he was charged in a joint indictment with Carden for the felony murder of the victim in this case. Thus, we find that the failure to charge him as criminally responsible instead of jointly liable as a principal is insignificant, and we hold that facilitation of felony murder is a lesser-included offense in this case. Applying part (a) of the Burns test to the lesser offenses of second degree murder, reckless homicide, and criminally negligent homicide, we note that all require proof of a specific mental state, which is not an element of that felony murder. Thus, none of these offenses can be considered lesser-included offenses under part (a). Moreover, these offenses do not qualify as lesser-included offenses under part (c) of Burns because they obviously do not fall within the category of attempt, facilitation, or solicitation. Applying part (b) of the test, an offense may qualify as lesser included if it fails to meet the definition in part (a) only in the respect that it contains a statutory element or elements establishing (1) a different mental state indicating a lesser kind of culpability; and/or (2) a less serious harm or risk of harm to the same person, property or public interest. Burns, 6 S.W.3d at 466-67. We note that the relevant portion of the Burns test does not say a less culpable mental state, but rather, a different mental state indicating a lesser kind of culpability. (emphasis added) We made this distinction deliberately, recognizing that there are certain offenses in the Code that are related but have different mental states that do not fit neatly into the hierarchy of intentional, knowing, reckless, or negligent. Under our statutory scheme the various criminal offenses, including homicide offenses, are classified according to seriousness and level of culpability. As we explained in Burns , [i]n a general sense, the various criminal offenses can be visualized as layers, with the most serious, culpable versions of each type of crime at the top, meriting the most severe punishment. Correspondingly, underneath are the less serious versions in decreasing order of seriousness and culpability and with consequently less serious punishment. Id. at 466. First degree murder is classified as the most serious type of homicide, with a corresponding punishment of either death, life imprisonment without parole, or life imprisonment with parole. Tenn.Code Ann. § 39-13-202(c). The lesser forms of homicide are listed in order of seriousness and levels of culpability. Tennessee has a single first degree murder statute that encompasses both premeditated murder and felony murder. See Tenn.Code Ann. § 39-13-202 (1997). Premeditated murder and felony murder are not designated by that statute as separate and distinct offenses but rather as alternative means by which criminal liability for first degree murder may be imposed. See Carter v. State, 958 S.W.2d 620, 624-25 (Tenn.1997); State v. Hurley, 876 S.W.2d 57, 70; see also State v. Darden, 12 S.W.3d 455, 458 (Tenn.2000). The mental state required for the commission of felony murder is intent to commit the alleged felony. Tenn.Code Ann. § 39-13-202(b). While this is a different mental state than that required for premeditated murder, in terms of culpability it equates with the intent required for the commission of premeditated murder. Under our statutory scheme, one who commits felony murder is held to the same level of culpability as one who commits premeditated murder. Both are subject to punishment by death, life in prison without parole, or life imprisonment with parole. When comparing the offense of felony murder to the lesser homicide offenses, it is immediately apparent that one accused of felony murder is held to a higher level of culpability, as felony murder is considered the more serious offense and merits a more severe punishment than either second degree murder, reckless homicide, or criminally negligent homicide. [4] In other words, when a death results from the commission of, or the attempt to commit, a felony, the mental state required for the commission of the felony is deemed a more culpable mental state than knowledge, recklessness, or negligence. After comparing the respective elements of felony murder, second degree murder, reckless homicide, and criminally negligent homicide, it appears that the elements of the lesser offenses are a subset of the elements of the greater and otherwise differ only in the mental state required. We hold that because the mental states required for the lesser offenses differ only in the level of culpability attached to each in terms of seriousness and punishment, the offenses of second degree murder, reckless homicide, and criminally negligent homicide are lesser-included offenses of felony murder under part (b) of the Burns test. [5]