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Summary of Opinion: State v. Parker, No. 3365 (Supreme Court of New Mexico, Jan. 13, 1930)

Factual and Procedural Background

This is an appeal from a conviction in the District Court of Guadalupe County (Armijo, J.). Appellant was charged by information with murder in the first degree but was convicted of voluntary manslaughter. On appeal he raised, for the first time, multiple objections to the proceedings below, including the jurisdiction of the trial court to try and sentence him for voluntary manslaughter under an information charging first degree murder, challenges to the sufficiency of the evidence (directed verdict), and several grounds in a pretrial motion to quash the information. The State defended the conviction. The Supreme Court considered statutory provisions (chapter 145, Laws 1925, sections 9 and 15), prior New Mexico authority, and various procedural and evidentiary points and affirmed the judgment below.

Legal Issues Presented

  1. Whether a conviction for voluntary manslaughter may be sustained under an information charging murder in the first degree, in light of section 9, c. 145, Laws 1925 (requiring separate counts for different grades) and section 15 of the same act.
  2. Whether appellant could raise for the first time on appeal the alleged jurisdictional defect of trying and sentencing him for voluntary manslaughter when the information charged only murder in the first degree.
  3. Whether the trial court erred in refusing to direct a verdict of not guilty on the ground that the evidence was insufficient to go to the jury.
  4. Whether the information should have been quashed because (a) no preliminary-examination transcript was on file in the clerk's office when the information was filed; (b) the district attorney's verification language was insufficient; and (c) the notary who administered the oath lacked authority (because he was appointed in another county and was the district attorney's assistant).
  5. Whether the district attorney's conduct in cross-examination constituted reversible prosecutorial abuse.
  6. Whether the trial court erred in giving Instruction No. 14 (allegedly burden-shifting) and in refusing three defendant-tendered instructions (Nos. 1–3).

Arguments of the Parties

Appellant's Arguments

  • The trial court lacked jurisdiction to try and sentence him for voluntary manslaughter because the information charged only murder in the first degree and, under section 9 of chapter 145, Laws 1925, each grade should have been set out in separate counts.
  • The information should be quashed because, when it was filed, no transcript or document from the magistrate showing a preliminary examination was on file in the clerk's office, in apparent contradiction of the constitutional amendment requiring a preliminary examination or waiver for an information.
  • The district attorney's verification phrased as "according to the best of his knowledge, information and belief" is insufficient under section 2, c. 145, Laws of 1929 (as alleged by appellant).
  • The notary who administered the oath was appointed in another county and was the district attorney's assistant, therefore lacked authority to administer the oath for verification of the information.
  • The district attorney abused a defense witness during testimony, warranting reversal.
  • Instruction No. 14 improperly shifted the burden to the defendant and other tendered instructions (Nos. 1–3) were correct statements of law that the court erred in refusing.
  • Defense counsel impliedly asserts that the evidence was insufficient to submit appellant's case to the jury (seeking a directed verdict of not guilty).

State's (Respondent's) Positions as Recited by the Court

  • Under the preexisting common-law rule recognized in New Mexico decisions, a conviction of a lesser included offense (if supported by substantial evidence) will be upheld even though the information charged a higher offense; that rule remains operative unless the 1925 statute clearly changed it.
  • Although the Legislature intended by section 9 (Laws 1925) to require separate counts where different grades are charged, section 15 evidences that defects in form that do not prejudice substantial rights are not jurisdictional and do not invalidate proceedings; therefore failure to set out separate counts is not a jurisdictional defect if the defendant fails to seasonably object.
  • Appellant waived any objection to duplicity or misjoinder by failing to raise it at trial and by allowing the court to instruct the jury on the theory that the information supported a conviction for voluntary manslaughter.
  • The constitutional amendment requiring preliminary examination is self-executing; it is not necessary to allege or prove on the face of the information that a preliminary examination was held; the absence of a filed magistrate transcript does not bar filing the information if a preliminary examination was actually held or waived.
  • Prior New Mexico decisions (State v. Whitaker; State v. Nieto) support the sufficiency of the verification language used by the district attorney.
  • Statutes in New Mexico give notaries statewide authority to administer oaths, and the fact the notary was appointed in another county or was the district attorney's assistant does not affect his authority under the cited statute (Code 1915, § 3924); Oklahoma authority to the contrary rests on differing statutes and does not control.
  • No timely request was made at trial for disciplinary action or curative ruling regarding alleged prosecutorial abuse, and absent an affirmative request the appellate court will not reverse for such conduct unless discretion was clearly abused.
  • The court's instructions as a whole correctly stated the law: the burden of proof remained on the State and Instruction No. 14, read with other instructions, did not impermissibly shift the burden or comment on the weight of evidence; proposed instructions were sufficiently covered elsewhere in the charge.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
Tenorio v. Territory, 1 N.M. 279 Early New Mexico authority recognizing that conviction of a lesser included offense will be upheld if supported by substantial evidence. Placed alongside other state cases to show the pre-1925 common-law rule retained in New Mexico.
Territory v. McGinnis, 10 N.M. 269, 61 P. 208 Same general rule regarding lesser included offenses under prior New Mexico law. Used to support the proposition that convictions for lesser included offenses have been sustained historically in the state.
Territory v. Alarid, 15 N.M. 165, 106 P. 371 Same common-law rule on lesser included offenses. Included in the line of precedents establishing the pre-1925 rule.
State v. Wallis, 34 N.M. 454, 283 P. 906 Authority cited regarding waiver and procedural objections (duplicity/misjoinder) that must be seasonably raised. The court analogized the present situation to duplicity or misjoinder and held the defendant waived the objection by not timely raising it.
State v. Taylor, 33 N.M. 35, 261 P. 808 Held that assault with a deadly weapon is not necessarily included in assault with intent to kill (illustrating that not all offenses of differing degree are necessarily included). The court clarified that Taylor was not controlling here because voluntary manslaughter is necessarily included within murder, unlike the Taylor offense pairing.
Smith v. Territory, 14 Okla. 162, 77 P. 187; Cochran v. State, 4 Okla. Cr. 379, 111 P. 974; Sanders v. State, 13 Okla. Cr. 134, 162 P. 676; Polk v. State, 15 Okla. Cr. 324, 176 P. 538; Henderson v. State, 18 Okla. Cr. 611, 197 P. 720; Payne v. State, 30 Okla. Cr. 218, 235 P. 558; Hickman v. State, 32 Okla. Cr. 307, 240 P. 1097 Oklahoma cases establishing that where a lesser offense is necessarily included in a higher charged offense, conviction for the lesser may be supported; otherwise, a fatal variance exists. Some of the decisions rest upon an Oklahoma statutory provision declaring the jury may find a defendant guilty of an offense necessarily included in that charged. The court viewed these cases as supportive because they state the common-law principle (also recognized in New Mexico), and found them inapplicable to defeat the conviction here because voluntary manslaughter is necessarily included in murder and New Mexico law contains the common-law rule.
State v. Rogers, 31 N.M. 485, 247 P. 828 Holds the constitutional amendment requiring a preliminary examination is self-executing and that it is not necessary to allege or prove that a preliminary examination was in fact held on the face of the information. Cited to reject appellant's claim that an information must be quashed where no magistrate transcript or filing appears in the clerk's office when the information is filed.
State v. Vigil, 33 N.M. 365, 266 P. 920 Discusses the preliminary-examination requirement and the district attorney's right to proceed by information after the preliminary examination has in fact been held or waived. Relied upon to support the court's conclusion that absence of a filed magistrate paper does not affect the district attorney's right to file an information where a preliminary examination was in fact held or waived.
State v. Whitaker, 34 N.M. 477, 284 P. 119 Authority upholding the sufficiency of verification language similar to that used by the district attorney ("according to the best of his knowledge, information and belief"). Used to dispose of appellant's claim that the verification was insufficient under the invoked statute.
State v. Nieto, 34 N.M. 232, 280 P. 248 Also discusses verification and related procedural points. Supplementary authority cited to support the court's conclusion on verification sufficiency.
Bowes v. State, 7 Okla. Cr. 316, 126 P. 580 An Oklahoma case holding that a notary public who was deputy county attorney had no power to administer the oath to his chief (decision rests on Oklahoma law). Cited by appellant but distinguished: the New Mexico statute grants notaries statewide authority to administer oaths in all cases where magistrates may do so; thus Bowes was not controlling here.
Territory v. Torres, 16 N.M. 624, 121 P. 27 Addresses trial-court discretion in handling prosecutorial conduct and trial decorum. Invoked to support the view that alleged prosecutorial abuse was within trial-court discretion and did not show reversible error absent an affirmative request for remedial action.
State v. Graves, 21 N.M. 556, 157 P. 160 Also pertains to the discretionary handling of trial proceedings and prosecutorial conduct. Applied to the same effect as Territory v. Torres in rejecting appellant's prosecutorial-abuse claim as insufficient for reversal.

Court's Reasoning and Analysis

The court's analysis proceeded in a series of discrete steps, each grounded in the statutes and prior authority cited in the opinion:

  1. The court began by identifying the relevant statutory provisions: section 9 of chapter 145, Laws 1925, which requires that different grades or forms of the same offense be set out in separate counts, and section 15 of the same act, which provides that defects of form not prejudicial to the defendant's substantial rights shall not render an indictment or information insufficient nor affect proceedings thereon.
  2. The court reviewed New Mexico's pre-1925 common-law rule (citing Tenorio, McGinnis, Alarid) that a conviction of a lesser offense necessarily included in a higher charged offense will be upheld if supported by substantial evidence, and noted that at common law a conviction for voluntary manslaughter under an indictment for murder could be sustained.
  3. The court asked whether the 1925 statute changed that rule. It recognized the Legislature intended to require separate counts for separate grades when timely objected to, but concluded that section 15 showed the Legislature did not intend the separate-count requirement to be jurisdictional. Thus failure to specify separate counts in the information was a non-jurisdictional defect that the defendant could waive by failing to seasonably object.
  4. Applying waiver principles (and analogizing to duplicity/misjoinder doctrine and authority such as State v. Wallis), the court held that because appellant did not object at trial, did not call the issue to the court's attention, and allowed the court to instruct the jury on the theory that voluntary manslaughter could be supported by the information, he waived the objection and could not raise it for the first time on appeal unless the defect went to jurisdiction.
  5. The court addressed appellant's reliance on State v. Taylor and Oklahoma cases. It distinguished Taylor because that case involved offenses not necessarily included one within the other, whereas voluntary manslaughter is necessarily included in murder. The Oklahoma cases were found supportive of the common-law principle (and thus not hostile to the present result); differences in statutory language did not change the outcome in New Mexico because the common-law principle exists here.
  6. On the directed-verdict point, the court noted defense counsel did move for instructed verdicts as to codefendants but did not move for such a motion as to appellant; hence the sufficiency-of-the-evidence claim was not properly preserved for appeal and was not before the court.
  7. Regarding the motion to quash for lack of a filed preliminary-examination transcript: the court relied on the holding that the constitutional amendment is self-executing and that it is unnecessary to allege or prove on the face of the information that a preliminary examination was held. The absence of a filed magistrate paper did not, by itself, deprive the district attorney of the right to file an information where the preliminary examination had in fact been held or waived.
  8. On verification and notary issues, the court applied recent New Mexico authority (State v. Whitaker; State v. Nieto) to hold the verification language was sufficient, and observed that New Mexico statute (Code 1915, § 3924) grants notaries powers extending throughout the state; therefore the fact the notary was appointed in another county or was an assistant to the district attorney did not invalidate the verification.
  9. As to alleged prosecutorial abuse during cross-examination, the court observed there was no request for curative action at trial (e.g., to discipline the district attorney or to strike the remark), and that matters of this type rest in the trial court's discretion; the record did not show an abuse of discretion requiring reversal.
  10. On Instruction No. 14 and the refused instructions, the court evaluated Instruction No. 14 in the context of the full charge. Because other instructions properly stated the state's burden to prove every material allegation beyond a reasonable doubt and the presumption of innocence remained until removed by proof, Instruction No. 14 was not erroneous when read together with those instructions. The refused tendered instructions were also deemed adequately covered by Instruction No. 32 given by the court.

Holding and Implications

HOLDING: The Supreme Court of New Mexico affirmed the judgment of the district court. The court concluded that: (1) a conviction for voluntary manslaughter may be sustained under an information charging murder in the first degree when voluntary manslaughter is necessarily included in the charge and there is substantial evidence to support it; (2) the separate-count requirement of section 9, c. 145, Laws 1925, is not jurisdictional when read with section 15, and objections based on that requirement may be waived if not seasonably raised; and (3) there was no reversible error in the trial court's rulings on motions to quash, evidentiary rulings, prosecutorial conduct, and jury instructions as presented in the record.

Implications: As applied here, the direct effect is to leave appellant's conviction for voluntary manslaughter intact and to affirm the sentence imposed by the district court. The opinion explains and applies procedural principles about waiver, the non-jurisdictional character of certain form defects under the 1925 act (in light of section 15), the sufficiency of certain verification language (per prior New Mexico decisions), the authority of notaries under New Mexico law, and the standard for preservation of alleged trial error. The court did not announce that it was overruling any prior controlling precedent, but interpreted the 1925 statute in light of existing common-law principles and state precedent.

Disposition: Judgment of the lower court affirmed. Bickley, C.J., and Catron, J., concur; Watson and Parker, JJ., not participating.

STATE v. PARKER

OPINION OF THE COURT

SIMMS, J.

[ 1, 2] Appellant was convicted of voluntary manslaughter under an information which charged him with murder in the first degree. Here he raises for the first time the question of the jurisdiction of the trial court to try and sentence him for voluntary manslaughter, and cites section 9, c. 145, Laws 1925, which reads:

"The indictment or information must charge but one offense; but where the same acts may constitute different offenses the accused may be convicted of, the different offenses may be set forth in separate counts in the same indictment or information and the accused may be convicted of either offense, and the court or jury trying the cause may find all or either of the persons guilty of either of the offenses charged, and the same offense may be set forth in different forms or degrees under different counts; and where the offense may be committed by the use of different means the means may be alleged in the alternative in the same count."

It would also be well to consider section 15 of the same act, which is as follows:

"No indictment or information is insufficient, nor can the trial, judgment or other proceeding thereon, be affected, by reason of a defect or imperfection in the matter of form which does not tend to the prejudice of the substantial rights of the defendant upon the merits."

In this state, prior to the above statute, we have consistently followed the common-law rule that a conviction of a lower degree of crime which is necessarily included within the higher charged by the indictment, if supported by any substantial evidence, will be upheld. Tenorio v. Territory, 1 N.M. 279; Territory v. McGinnis, 10 N.M. 269, 61 P. 208; Territory v. Alarid, 15 N.M. 165, 106 P. 371. It appears, however, that the present case is the first in which we have been called upon to decide whether a conviction for voluntary manslaughter, where there is evidence to sustain it, can be had under an information or indictment charging murder. At common law the conviction could be sustained. Wharton Criminal Law (11th Ed.) par. 675 and cases cited. It remains for us to inquire whether the act of 1925, supra, has changed the rule in this state.

It cannot be doubted that the Legislature intended by the act of 1925 to require that each grade of felonious homicide be set out in a separate count. If appellant had objected seasonably, the trial court would have been obliged to hold that he was entitled to be informed against in a separate count for each grade of felonious homicide with which the state desired to charge him. But he made no such objection. He heard the trial court instruct the jury upon the theory that the information would support a conviction for voluntary manslaughter. He said nothing to call the matter to the court's attention in time to have it corrected, nor did he demand that the jury be charged that the only crime they might consider was murder in the first degree. Appellant speculated on the outcome of the trial, and, after being convicted cannot be heard to object, unless the question is one which goes to the jurisdiction of the court and cannot be waived.

In view of section 15 of the act, supra, we think it sufficiently appears that the Legislature did not intend to make the requirements of section 9 jurisdictional in the matter of separate counts in an information. Where, as here, one count contains in general language sufficient allegations of fact to support the charge upon which the conviction was had, there is no jurisdictional defect in the proceedings. The situation is similar to a case of duplicity or misjoinder in an indictment; the defendant must seasonably raise the question of his right to have the several grades of felonious homicide stated separately, or he will be deemed to have waived it. He cannot make his first objection here. Bishop's Criminal Procedure (3d Ed.) vol. I, p. 274. State v. Wallis, 34 N.M. 454, 283 P. 906: 31 C.J. "Indictments and Informations," pp. 823, 878 and 883.

Appellant says that we have held in State v. Taylor, 33 N.M. 35, 261 P. 808, that a lesser degree of crime cannot be included within an information for a higher degree. He misinterprets that decision. We held that assault with a deadly weapon is not necessarily included in a charge of assault with intent to kill, and that an information for the latter would not support a conviction for the former. Voluntary manslaughter is necessarily included within a charge of murder. See authorities cited supra.

However, appellant contends that, since we have said in the Taylor Case that our statute is taken from Oklahoma, we are bound by the decisions of that state construing it, under the well-known rule. He cites, and we have carefully considered, the following Oklahoma cases: Smith v. Territory, 14 Okla. 162, 77 P. 187; Cochran v. State, 4 Okla. Cr. 379, 111 P. 974; Sanders v. State, 13 Okla. Cr. 134, 162 P. 676; Polk v. State, 15 Okla. Cr. 324, 176 P. 538: Henderson v. State, 18 Okla. Cr. 611, 197 P. 720; Payne v. State, 30 Okla. Cr. 218, 235 P. 558; Hickman v. State. 32 Okla. Cr. 307, 240 P. 1097. Each of these cases lays down the rule that, where an offense of lower degree is necessarily included in a charge of a higher degree or grade, an information for the higher will support a conviction for the lower, but, where the offense of which the defendant is convicted is not necessarily included in the charge made by the information, there is a fatal variance between it and the verdict. Appellant can gain no comfort from these cases.

But appellant seeks to break the force of this argument by contending that Oklahoma has a statute authorizing the conviction for a lower degree of crime under an information for a higher, and that we have not, and therefore the Oklahoma cases would be authority for holding that, in the absence of such a statute, the information which charges only the highest degree of the crime would not support a conviction of a lower degree necessarily included within it. The Oklahoma statute reads as follows:

"The jury may find the defendant guilty of any offense, the commission of which is necessarily included in that with which he is charged, or of an attempt to commit the offense."

Revised Laws of Oklahoma 1910, § 5923. It is true that we have no such statute. But the Oklahoma statute (with the possible exception of its application to attempts to commit an offense) is simply a declaration of the common law which is in force in this state. Section 1355, Code of 1915.

And we see nothing in the provisions of chapter 145, Laws of 1925, to indicate that the Legislature intended to repeal section 1355 of the Code, or that it regarded the same as repugnant to or inconsistent with the enactment. In view of the provisions of section 15, supra, we are inclined to the opinion that the reverse would probably be the case. Lewis Sutherland's Statutory Construction, par. 329-331; 36 Cyc., "Statutes," p. 1145, and cases cited.

[ 3] Appellant next contends that there is error in the refusal of the lower court to grant his request for a directed verdict of not guilty, on the ground that the evidence is not sufficient to go to the jury. Examination of the transcript discloses that first a motion was made as to W.D. Parker, Jr., and sustained; then counsel stated that they wished to make motions for an instructed verdict as to the other two defendants, and they did make such a motion as to Malcolm Titus, codefendant, which was also sustained. They made no motion to instruct as to appellant; as to him, they may have intended to raise the question of the sufficiency of the testimony to make out a case for the jury, but they did not do it, and no such question is now before us.

[ 4] Before trial commenced, appellant moved to quash the information on three grounds which will be separately noticed.

The first one was that at the time the district attorney filed the information, September 21, 1927, there was not on file in the clerk's office any transcript or document from the magistrate showing that a preliminary examination had been held, as required by section 14 of article 2 of our Constitution, as amended by the H.J.R. No. 14 of 1923 (see Laws 1923, p. 351), adopted at the election of 1924. The pertinent words of that amendment with reference to informations for felony are:

"No person shall be held on information without having had a preliminary examination before an examining magistrate, or having waived such preliminary examination."

It appears that on the 27th of September, after the term of court had opened, and a day after appellant's motion to quash was filed, there was found among the files of this case what purported to be a copy of a criminal complaint and an order of a justice of the peace, binding defendant over to await the action of the district court for murder. These papers were neither certified by the justice of the peace, nor were they marked as filed by the clerk. Defendant did not offer to show that in fact he had not had a preliminary examination. He took below, as he does here, the position that, until something is filed in the district court to show that a preliminary examination has in fact been held or waived, the district attorney has no right to file an information, and the court should quash one so filed. But the language of the constitutional amendment, supra, does not justify such a contention. We have held that the amendment is self-executing, and that it is not necessary either to allege or prove that the preliminary examination was in fact held. State v. Rogers, 31 N.M. 485, 247 P. 828; see also State v. Vigil, 33 N.M. 365, 266 P. 920. The question is one of fact, as to which the defendant is possessed of ample personal knowledge, and the omission of the magistrate to file his report, transcript, or other paper in the clerk's office has nothing to do with the district attorney's right and power to proceed by information, after the preliminary examination has in fact been held or waived. State v. Vigil, supra.

[ 5] Next appellant's motion to quash was based on the assertion that the verification of the information was made by the district attorney "according to the best of his knowledge, information and belief," which appellant alleges is insufficient under the terms of section 2, c. 145, Laws of 1929. We have just held to the contrary in State v. Whitaker, 34 N.M. 477, 284 P. 119, wherein the authorities are discussed. See, also, State v. Nieto, 34 N.M. 232, 280 P. 248.

[ 6] Appellant's next point in his motion to quash the information is that it was verified by the district attorney before a notary public appointed within and for San Miguel county, but who administered the oath in Guadalupe county, and that such notary was in fact the district attorney's assistant and had no right to administer the oath.

Notaries are appointed "in each county," but their powers and authority extend throughout the state. Section 3924, Code 1915.

[ 7] Appellant cites Bowes v. State, 7 Okla. Cr. 316, 126 P. 580, as holding that a notary public who is deputy county attorney has no power to administer the oath to his chief. That case was decided on the ground that the notary had no such power under Oklahoma law. Nothing was said as to his being assistant to the county attorney. The court held that informations must be verified before a magistrate, as at common law. Section 3932, Code of 1915 of this state, expressly confers upon notaries public the same power to administer oaths and affirmations "in all cases where magistrates and other officers within the State authorized to administer oaths may do so, under existing laws and with like effect." This disposes of the objection. We attach no importance to the fact that the notary who administered the oath to the district attorney was also his assistant.

[ 8] Next appellant claims that there is error in the action of the trial court in allowing the district attorney to abuse a defense witness while testifying. We do not find any request from defendant's counsel that the court discipline the district attorney, or strike or withdraw the objectionable remark, or do anything affirmative about it. There is simply an exception. Matters of this kind rest in the sound discretion of the trial court, and we see no such abuse of discretion as to require us to interfere and reverse for this reason. Territory v. Torres, 16 N.M. 624, 121 P. 27; State v. Graves, 21 N.M. 556, 157 P. 160.

[ 9] The giving of the following instruction is assigned as error:

"No. 14. The defendant in a criminal case is not required to satisfy the jury of the existence of any fact which, if true, is a complete defense. It is sufficient if he creates in the minds of the jury a reasonable doubt of the existence of such fact."

Appellant, who set up self-defense, claims that this instruction is erroneous, because it puts upon the defendant the burden of proof to exculpate himself; second, because it was calculated to mislead the jury as to defendant's duty in the case; and, third, because it was, in effect, an instruction upon the weight of the testimony. We find no merit in either of these contentions. Taken in connection with other instruction given, whereby the jury was told that the burden was on the state to prove every material allegation of the information beyond a reasonable doubt and that the presumption of innocence remained with the defendant throughout the trial until removed by proof which convinced the jury of guilt beyond a reasonable doubt, the instruction is not erroneous.

[ 10] Finally, appellant says that three instructions tendered by him and refused, Nos. 1, 2, and 3, were proper instructions and were correct statements of the law, not otherwise given by the court, and the refusal of which was error. We find that the court has sufficiently covered the questions presented by these proposed instruction in No. 32 of the instructions given, so far as the evidence justified, for which reason the refusal of those tendered was not error.

Finding no reversible error in the record, the judgment of the lower court should be affirmed, and it is so ordered.

BICKLEY, C.J., and CATRON, J., concur.

WATSON and PARKER, JJ., not participating.

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STATE v. PARKER
(Jan 13, 1930)