Opinion ID: 271339
Heading Depth: 1
Heading Rank: 2

Heading: The Jury's Determination of Sentence.

Text: 36 Curry next attacks the manner in which the jury considered the question of his sentence. Under 18 U.S.C. 2113 (e) 7 the jury determines the guilt or innocence of the defendant and, in the event of conviction, it may direct that he receive the death penalty. At Curry's trial the jury considered both issues simultaneously. Curry contends that the trial judge erred in refusing to hold a two-stage trial in which the jury would hear matters relevant to sentencing after it had returned a verdict resolving the question of guilt. We hold that, under all the circumstances of this case, Judge Dooling did not abuse his discretion in conducting a unitary trial To put this in other terms, the unitary trial did not prejudice Curry's defense, particularly in light of the fact that he never specifically requested the two-stage trial. 37 An initial question is whether a trial judge has the power to direct a two-stage trial under 2113(e). Historically, there is no authority for such a power. Section 2113(e) is one of a group of statutes 8 in which Congress has ameliorated the harshness of a mandatory death penalty by giving the jury discretion with respect to whether the death sentence shall be imposed. See Winston v. United States, 172 U.S. 303, 310, 19 S.Ct. 212, 43 L.Ed. 456 (1899). There is no indication that Congress thereby contemplated a two-stage trial of guilt and sentence. And, while the Supreme Court has never passed directly on the question, it has dealt with and upheld these statutes under the assumption that they provide for a unitary trial. See Smith v. United States, 360 U.S. 1, 79 S.Ct. 991, 3 L.Ed.2d 1041 (1959); Andres v. United States, 333 U.S. 740, 68 S.Ct. 880, 92 L.Ed. 1055 (1948). 38 Nevertheless, the unitary trial can be highly unsatisfactory. The most serious problem arises when the trial judge is compelled either to exclude evidence relevant to an intelligent disposition of the sentencing question, or to admit such evidence knowing that the trial of guilt is thereby opened to matters prejudicial and otherwise inadmissible. The Third Circuit has held that, in cases of 'grave prejudice,' admission of such extraneous sentencing evidence amounts to a denial of due process. See United States ex rel. Scoleri v. Banmiller, 310 F.2d 720 (1962), cert. denied, 374 U.S. 828, 83 S.Ct. 1866, 10 L.Ed.2d 1051 (1963); United States ex rel. Thompson v. Price, 258 F.2d 918, cert. denied, 358 U.S. 922, 79 S.Ct. 295, 3 L.Ed.2d 241 (1958). And four States have reacted to the problem by requiring the two-stage trial by statute. N.Y. Penal Law, Consol.Laws, c. 40, 1045-a (McKinney Supp. 1964); Cal. Penal Code 190.1; Conn. Gen. Stat. 53-10 (Supp. 1963); Penn. Ann. Stat. tit. 18, 4701 (1963). See also Model Penal Code 210.6 (Proposed Official Draft, May 4, 1962). 39 Since the unitary trial poses these fundamental problems, we do not interpret the silence of Congress on this question as precluding the trial judge from confining the first presentation to the jury to the issue of guilt when the defendant's right to a fair trial would be jeopardized by a unitary trial. If a verdict of guilty is returned, the same jury can then hear such additional evidence as the government and the deendant might wish to introduce before determining the sentence. 40 However, we think it unwise to require the two-stage trial in every case under 2113(e) and related statutes. Only three of nine members of the District of Columbia Circuit sitting in banc suggested that the two-stage trial be required under an analogous provision in the D.C.Code; and Judge Burger in his separate opinion pointed out potential problems which this procedure might raise. Frady v. United States, 121 U.S.App.D.C. 78, 348 F.2d 84, 115-116, cert. denied, 382 U.S. 909, 86 S.Ct. 247, 15 L.Ed.2d 160 (1965). See generally Note, The Two-Trial System in Capital Cases, 39 N.Y.U.L.Rev. 50 (1964). Moreover, it has been suggested that the two-stage trial does not always work to the defendant's advantage, 8A and we are loath to compel unwilling defendants to submit to a procedure which is devised for their benefit but which may be prejudicial in its application to a particular case. Given the many considerations which may affect the necessity for a two-stage trial in each case, and considering the questionable desirability of this untested technique, we think it best to leave this question to the discretion of the trial court. 41 We find no error in Judge Dooling's handling of this question at CurryS trial. The issue was raised by defendantS pre-trial motion to dismiss the indictment on two grounds, one of which was that 'The absolute power given the jury by 18 U.S.C. 2113(e) to fix the death penalty violates the constitutional guarantee against deprivation of life without due process of law.' Judge Dooling initially ruled that the statute was constitutional, but he noted that the unitary trial might raise problems of 'the standards of relevancy that will prevail in United States against Curry,' and he deferred ultimate disposition of the motion. 42 The defendant again requested disposition of his motion two days later during another pre-trial colloquy. Judge Dooling still found the question premature, but he stated that 'it would be unthinkable if such matters (evidence relevant only to sentence) were brought in to the normal criminal trial of the general issue in a criminal case,' and he suggested 'that if there is precedent for it    consideration of serially verdicts be undertaken, and that the second verdict should be restricted to the matter of sentence and be based, if need be, on additional evidence which may be appropriate.' At this point, government counsel stated: 43 'Your Honor, it is the Government's intention to offer evidence only on the issue (of) guilt or innocence    As to the proper procedure under consideration of sentence, I would submit that this consideration could well be deferred on the agreement of both counsel until a later time in the case, when perhaps our choices would be more apparent; that is, choices of procedure would be a little bit more clear to us than they are to us at the present time. 44 The Court: Very well.' Defense counsel made no comment or objection to this suggestion. 8B 45 At the close of the government's case, during which no evidence relevant solely to the sentence was introduced, the defendant's attorney again renewed his motion to dismiss the indictment. He now alleged that the count charging a violation of 2113(e) should be dismissed because the possibility of a death sentence deprived Curry of a fair trial in that it compelled him to take the stand to gain the jurors' sympathy. Judge Dooling adhered to his ruling that the statute was constitutional. He did not interpret the defendant's motion as requesting a two-stage trial, and defense counsel at that point stated, 'I have no further motions at this time, your Honor.' 46 After Judge Dooling had shown sympathy for a two-stage trial, and after government counsel had invited consideration of that procedure, we think the defendant should have moved for a severance of the issues of guilt and sentence at the conclusion of the government's case if he felt that he was still at any disadvantage in a unitary trial. He could not expect Judge Dooling to sever these issues sua sponte, particularly when the Judge had manifested some doubt as to his power to order such a trial under 2113(e). See United States v. Dalhover, 96 F.2d 355, 261 (7 Cir.1938) (dissenting opinion). 47 We agree with Judge Dooling that 2113(e) is constitutional. And we think it was appropriate to defer consideration of whether a two-stage trial was necessary. After this deferral, the government, in accordance with its stated intention, introduced no evidence relevant only to sentencing and the defendant never specifically requested a two-stage trial. Under all these circumstances, we think it was within the discretion of Judge Dooling, who had observed the nature of the government's case and the defense strategy, to reject the unsupported assertion by Curry's counsel that the unitary trial would force him to put the defendant on the stand. 8C Once Curry took the stand, his testimony concerning his background and prior convictions, which he gave during his direct testimony but which he now alleges prejudiced his claim of innocence, was available to either side and cannot be considered prejudice flowing from the unitary trial. 8D 48 We think we should note for the future that, where it is clear that a defendant is requesting a two-stage trial, it would be preferable to grant such a request. However, the dangers inherent in the unitary trial which lead us to that conclusion were not present in Curry's trial, where no evidence relevant only to sentencing was introduced by the government and where the jury in fact did not recommend death. When we consider the careful manner in which Judge Dooling guarded against the prejudicial aspects of the unitary trial, the ambiguous manner in which the defendant presented this question to the trial court, and the long and unbroken history of unitary trials under this and other federal statutes, we are unwilling to conclude that the unitary trial so prejudiced Curry's presentation of his defense that Judge Dooling abused his discretion in allowing it to proceed. Compare United States ex rel. Rucker v. Myers, 311 F.2d 311 (3 Cir. 1962), cert. denied, 374 U.S. 844, 83 S.Ct. 1901, 10 L.Ed.2d 1064 (1963). 49