BURKE, Judge.
Hope Elisabeth Ankrom pleaded guilty to chemical endangerment of a child, a violation of § 26-15-3.2, Ala.Code 1975. The trial court sentenced Ankrom to three years in prison, but the court suspended that sentence and placed her on one year of supervised probation. Ankrom appealed her conviction. We affirm.
At the guilty-plea hearing, the parties stipulated to the following facts:
On February 18, 2009, Ankrom was arrested and charged with chemical endangerment of a child. On August 25, 2009, the grand jury indicted Ankrom. The indictment stated that Ankrom "did knowingly, recklessly, or intentionally cause or permit a child, to-wit: [B.W.], a better description of which is to the Grand Jury otherwise unknown, to be exposed to, to ingest or inhale, or to have contact with a controlled substance, chemical substance, or drug paraphernalia as defined in Section 13A-12-260 of the Code of Alabama, 1975, to-wit: Cocaine, in violation of Section [26-15-3.2(a)(1)]."
On September 25, 2009, Ankrom filed a motion styled as a "Motion to Dismiss Indictment." In that motion, after setting forth the facts, Ankrom argued that "[t]he plain language of [§ 26-15-3.2, Ala.Code 1975,] shows that the legislature intended for the statute to apply only to a child, not a fetus"; that "courts in other states which have enacted the same or similar chemical endangerment statutes have determined that such statutes do not apply to prenatal conduct that allegedly harms a fetus"; that "[t]he state's contention that the defendant violated this statute renders the law impermissibly vague, and therefore the rule of lenity applies"; that "[t]he legislature has previously considered amending the statute to include prenatal conduct that harms a fetus, and declined to do so"; that "the defendant has not been accorded due process because there was no notice that her conduct was illegal under this statute"; that "[t]he prosecution of pregnant women is a violation of the constitutional guarantee of Equal Protection"; and that "[p]rosecution of pregnant, allegedly drug-addicted women is against public policy for numerous moral and ethical reasons." The State responded to that motion on October 13, 2009. In the State's response, it agreed that on January 31, 2009, Ankrom gave birth to a son and that medical records showed that Ankrom tested positive for cocaine immediately prior to giving birth and that the child tested positive for cocaine after birth. Based on that conduct, the State argued that prosecution of Ankrom was proper under § 26-15-3.2, Ala.Code 1975. On October 15, 2009, the trial court denied Ankrom's motion.
On April 1, 2010, Ankrom pleaded guilty to a violation of § 26-15-3.2(a)(1), Ala. Code 1975. (R. 1-14.) At the guilty-plea hearing, before entering her plea, Ankrom reserved an issue for appellate review, in the following exchange:
Ankrom alleges that based on the facts of this case, she cannot be convicted of violating § 26-15-3.2(a)(1), Ala.Code 1975. Her allegation presents a question of first impression for this Court. Specifically, the issue before this Court is whether a mother who ingested a controlled substance during her pregnancy, may be prosecuted under § 26-15-3.2(a)(1), Ala. Code 1975, if at birth the infant tests positive for the controlled substance. We answer that legal question in the affirmative, and we conclude that based on the facts of this case, Ankrom's conviction was proper.
Initially, we note that in Doseck v. State, 8 So.3d 1024 (Ala.Crim.App.2008), this Court declined to review the merits of a similar issue because the issue had been improperly raised in the trial court by way of a motion to dismiss. This Court held that Rule 13.5(c)(1), Ala. R.Crim. P., does not permit dismissal of an indictment based on the insufficiency of the evidence and that no other "Rule of Criminal Procedure... provides a mechanism for a pretrial challenge to the sufficiency of the evidence." Doseck, 8 So.3d at 1025.
In the present case, Ankrom's attorney referenced the indictment when reserving the issue for review and styled the pleading as a "Motion to Dismiss Indictment." However, the motion was obviously mislabeled, because it did not challenge the validity of the indictment. Rather, Ankrom's motion and argument forthrightly raised the issue whether her conduct, as a matter of law, constituted a violation of § 26-15-3.2, Ala.Code 1975, the offense charged in the indictment. The trial court was clearly on notice of this legal issue, interpreted the language of the statute to encompass Ankrom's conduct, and accepted Ankrom's reservation of the issue for appellate review. The State did not object to the reservation of this issue.
Procedurally, Doseck appears to be nearly identical to the present case
882 So.2d at 875. This Court has subsequently followed the teachings of Ex parte
In his dissent in Doseck, then Judge Shaw
Doseck, 8 So.3d at 1026 (Shaw, J., dissenting).
We agree with Judge Shaw's dissent, and we now hold that, in circumstances such as those presented in this case and in Doseck — where a pure question of law as to whether an accused's
Turning to the merits of the present case, § 26-15-3.2(a)(1), Ala.Code 1975, provides:
Ankrom alleges that the term "child" in § 26-15-3.2, Ala.Code 1975, does not include a viable fetus. The State responds that the plain meaning of the term "child," as used in the statute, includes an unborn child.
"Principles of statutory construction instruct this Court to interpret the plain language of a statute to mean exactly what it says and to engage in judicial construction only if the language in the statute is ambiguous." Ex parte Pratt, 815 So.2d 532, 535 (Ala.2001). "[T]he fundamental rule [is] that criminal statutes are construed strictly against the State." Ex parte Hyde, 778 So.2d 237, 239 n. 2 (Ala.2000). "The `rule of lenity requires that "ambiguous criminal statute[s] ... be construed in favor of the accused."'" Ex parte Bertram, 884 So.2d 889, 892 (Ala. 2003) (quoting Castillo v. United States, 530 U.S. 120, 131, 120 S.Ct. 2090, 147 L.Ed.2d 94 (2000)).
Walker v. State, 428 So.2d 139, 141 (Ala. Crim.App.1982).
The legislature has stated that "[t]he public policy of the State of Alabama is to protect life, born, and unborn. This is particularly true concerning unborn life that is capable of living outside the womb." § 26-22-1(a), Ala.Code 1975. Chapter 15 of Title 26, Ala.Code 1975, does not define the term "child." However, Chapters 14 and 16 of Title 26, Ala.Code 1975, define a "child" as a "person" under the age of 18 years. § 26-14-1(3), Ala.Code 1975; § 26-16-2(1), Ala.Code 1975.
Also, the Alabama Supreme Court has interpreted the term "minor child" in Alabama's wrongful-death-of-minor statute to
Furthermore, the dictionary definition of a word provides the meaning ordinary people would give the word. Carpet Installation & Supplies of Glenco v. Alfa Mut. Ins. Co., 628 So.2d 560, 562 (Ala.1993). According to Merriam-Webster's Collegiate Dictionary 214 (11th ed.2003), the word "child" is defined as "an unborn or recently born person." The word "child" is defined in Black's Law Dictionary 254 (8th ed.2004), as "[a] baby or fetus."
The present case is similar to the situation in Whitner v. State, 328 S.C. 1, 492 S.E.2d 777 (1997). We find the reasoning of the South Carolina Supreme Court in that case to be persuasive.
In Whitner, a mother pleaded guilty to criminal child neglect, a violation of S.C.Code Ann. § 20-7-50 (1985), for causing her baby to be born with cocaine metabolites in its system by reason of the mother's ingestion of crack cocaine during the third trimester of her pregnancy. On appeal, the South Carolina Supreme Court held that the mother had been properly convicted of the charge. S.C.Code Ann. § 20-7-50 (1985), provided in relevant part: "Any person having the legal custody of any child ..., who shall, without lawful excuse, refuse or neglect to provide... the proper care and attention for such child ..., so that the life, health or comfort of such child ... is endangered or is likely to be endangered, shall be guilty of a misdemeanor and shall be punished within the discretion of the circuit court." Whitner, 328 S.C. at 5, 492 S.E.2d at 779. The issue on appeal was whether that statute encompassed maternal acts that endanger or were likely to endanger the life, health, or comfort of a viable fetus. Id. The Court stated that
328 S.C. at 6, 492 S.E.2d at 779.
The South Carolina Supreme Court held that a viable fetus is a child under S.C.Code Ann. § 20-7-50 (1985), reasoning:
Whitner, 328 S.C. at 6-8, 492 S.E.2d at 779-81.
Likewise, in the present case, we do not see any reason to hold that a viable fetus is not included in the term "child," as that term is used in § 26-15-3.2, Ala.Code 1975. Not only have the courts of this State interpreted the term "child" to include a viable fetus in other contexts, the dictionary definition of the term "child" explicitly includes an unborn person or a fetus. In everyday usage, there is nothing extraordinary about using the term "child" to include a viable fetus. For example, it is not uncommon for someone to state that a mother is pregnant with her first "child." Unless the legislature specifically states otherwise, the term "child" is simply a more general term that encompasses the more specific term "viable fetus." If the legislature desires to proscribe conduct against only a "viable fetus," it is necessary to use that specific term. However, if the legislature desires to proscribe conduct against a viable fetus and all other persons under a certain age, the term "child" is sufficient to convey that meaning. In fact, proscribing conduct against a "child" and a "viable fetus" would be redundant.
The term "child" in § 26-15-3.2, Ala. Code 1975, is unambiguous; thus, this Court must interpret the plain language of the statute to mean exactly what it says and not engage in judicial construction of the language in the statute. Also, because the statute is unambiguous, the rule of lenity does not apply. We do not see any rational basis for concluding that the plain and ordinary meaning of the term "child" does not include a viable fetus.
Ankrom advances three main arguments against interpreting the term "child" in § 26-15-3.2, Ala.Code 1975, to include a viable fetus: (1) The legislature has specifically included the term "fetus" or "unborn child" in other statutes when the legislature's intent was for the statute to apply to a fetus; (2) most courts from other jurisdictions have held that mothers could not be criminally prosecuted for prenatal substance abuse on the statutory theories of child abuse/endangerment or drug distribution; and (3) the legislature has declined to amend § 26-15-3.2, Ala.Code 1975, to explicitly include an unborn child in the definition of the term "child." We will address each argument in turn.
Contrary to Ankrom's argument, the fact that the legislature has included the term "fetus" or "unborn child" in other statutes does not mean that the term "child" in § 26-15-3.2, Ala.Code 1975, does not include a viable fetus. Ankrom specifically points to § 26-23-3, Ala.Code 1975, as an example to support her argument. Section 26-23-3, Ala.Code 1975, provides: "Any physician who knowingly performs a partial-birth abortion within this state and thereby kills a human fetus shall be guilty of a Class C felony and upon conviction thereof shall be punished as prescribed by law." Ankrom states that "[t]here is no doubt in the plain meaning of that statute of which class it is designed to protect: human fetuses." Ankrom's brief, at 20. Ankrom then reasons that "[i]f the legislature had intended for § 26-15-3.2(a) to apply to a fetus, then the legislature would have specifically included that language as
Next, we acknowledge the many decisions from appellate courts in other states holding that a mother cannot be criminally prosecuted for prenatal substance abuse under those states' child abuse/endangerment or drug-distribution statutes. See, e.g., Reinesto v. Superior Court, 182 Ariz. 190, 894 P.2d 733 (Ct.App.1995); Johnson v. State, 602 So.2d 1288 (Fla.1992); Commonwealth v. Welch, 864 S.W.2d 280 (Ky. 1993); State v. Gray, 62 Ohio St.3d 514, 584 N.E.2d 710 (1992); Reyes v. Superior Court, 75 Cal.App.3d 214, 141 Cal.Rptr. 912 (1977); State v. Gethers, 585 So.2d 1140 (Fla.Ct.App.1991); State v. Luster, 204 Ga.App. 156, 419 S.E.2d 32 (1992), cert. denied (1992); People v. Hardy, 188 Mich.App. 305, 469 N.W.2d 50, app. denied, 437 Mich. 1046, 471 N.W.2d 619 (1991); Sheriff, Washoe County, Nev. v. Encoe, 110 Nev. 1317, 885 P.2d 596 (1994); Collins v. State, 890 S.W.2d 893 (Tex.App. 1994); State v. Martinez, 139 N.M. 741, 137 P.3d 1195 (N.M.Ct.App.2006); State v. Dunn, 82 Wn.App. 122, 916 P.2d 952 (1996); State v. Wade, 232 S.W.3d 663 (Mo.App.2007); State v. Geiser, 763 N.W.2d 469 (N.D.2009). However, we find that those cases are either distinguishable from the present case or unpersuasive.
Some of the cases from other jurisdictions involved prosecutions under statutes forbidding delivery of a controlled substance and, unlike the present case, depended on statutory construction of the term "deliver." See, e.g., Johnson, supra; Hardy, supra; Luster, supra. In other cases, the courts noted that their states' homicide statutes did not apply to a fetus, unlike Alabama's homicide statute, which does apply to unborn children. § 13A-6-1(a)(3), Ala.Code 1975. See, e.g., Reinesto, 182 Ariz. at 192, 894 P.2d at 735; Reyes, 75 Cal.App.3d at 217, 141 Cal.Rptr. at 913; Welch, 864 S.W.2d at 281.
In Collins, the Texas Court of Appeals held that, divergent from Alabama, "the [Texas] Penal Code does not proscribe any conduct with respect to a fetus, and the Legislature, by its definitions of `child,' `person,' and `individual,' has specifically limited the application of our penal laws to conduct committed against a human being who has been born and is alive." Collins, 890 S.W.2d at 897-98. Similarly, in Dunn, the Washington Court of Appeals held that "[n]o Washington criminal case has ever included `unborn child' or fetus in its definition of person." Dunn, 82 Wash.App. at 128, 916 P.2d at 955.
In Gray, unlike the present case, the mother was prosecuted under a statute that stated, in relevant part: "No person, who is the parent ... of a child under eighteen years of age ... shall create a substantial risk to the health of safety of the child, by violating a duty of care, protection, or support...." Gray, 62 Ohio St.3d at 515, 584 N.E.2d at 711. Noting that criminal statutes must be strictly construed, the Ohio Supreme Court interpreted that statute by defining the terms "parent" and "child" to apply only to the relationship between mothers and fathers
Other courts have worried about the implications of holding a mother criminally liable under a child-endangerment statute for conduct harmful to her fetus. Specifically, other courts have worried that holding a mother liable under such statutes would open the proverbial floodgates to prosecution of pregnant women who ingest legal toxins, such as alcohol or nicotine, or engage in any behavior that could conceivably injure the fetus. See, e.g., Encoe, 110 Nev. at 1319, 885 P.2d at 598; Welch, 864 S.W.2d at 283; Wade, 232 S.W.3d at 665-66. In Wade, the Missouri Court of Appeals stated that the logic of allowing prosecutions to protect the interest of the fetus "would be extended to cases involving smoking, alcohol ingestion, the failure to wear seatbelts, and any other conduct that might cause harm to a mother's unborn child. It is a difficult line to draw and, as such, our legislature has chosen to handle the problems of pregnant mothers through social service programs instead of the court system." Wade, 232 S.W.3d at 666. However, in the present case, we need not worry about such unlimited extensions because we are not dealing with a general endangerment statute. Section 26-15-3.2(a)(1), Ala.Code 1975, the only statute we are asked to construe, concerns only conduct involving controlled substances or drug paraphernalia. It does not concern conduct involving smoking, alcohol ingestion, failure to wear seatbelts, or any other potentially harmful conduct that does not involve controlled substances.
Other courts have examined policy issues, legislative history, or other extrinsic materials to reach their conclusions that a mother cannot be criminally prosecuted for prenatal substance abuse under those states' child-abuse/endangerment statutes. See, e.g., Gethers, supra; Martinez, supra; Geiser, supra. However, we are not at liberty to engage in such a review because we hold that § 26-15-3.2(a)(1), Ala.Code 1975, is unambiguous on its face. See Pinigis v. Regions Bank, 977 So.2d 446, 451 (Ala.2007) (holding that "courts may examine extrinsic materials, including legislative history, to determine [legislative] intent" only "[i]f the statutory language is ambiguous").
Again, we find the cases from other states holding that a mother cannot be criminally prosecuted for prenatal substance abuse under those states' child-abuse/endangerment or drug-distribution statutes to be distinguishable from the present case. To the extent that they are not distinguishable, we find that their reasoning is unpersuasive.
Ankrom's final argument against interpreting the term "child" in § 26-15-3.2, Ala.Code 1975, to include a viable fetus alleges that we should not interpret the term "child" to include a viable fetus because the legislature recently attempted to amend § 26-15-3.2, Ala. Code 1975, to explicitly state that the term "child" includes a child in utero at any stage of development, but the amendment failed. However, "`failed legislative proposals are "a particularly dangerous ground on which to rest an interpretation of a prior statute...."'" Baney v. State, 42 So.3d 170, 174 (Ala.Crim.App.2009), quoting United States v. Craft, 535 U.S. 274, 287, 122 S.Ct. 1414, 152 L.Ed.2d 437 (2002), quoting in turn Pension Benefit Guar. Corp. v. LTV Corp., 496 U.S. 633, 650, 110 S.Ct. 2668, 110 L.Ed.2d 579 (1990). "`[Legislative] inaction lacks persuasive significance because several equally tenable inferences may be drawn from
Finally, Ankrom argues that § 26-15-3.2, Ala.Code 1975, as applied in the present case, is void for vagueness because, she says, the statute did not give her adequate notice that her conduct was proscribed. See Vaughn v. State, 880 So.2d 1178, 1195 (Ala.Crim.App.2003) (holding that "the void-for-vagueness doctrine requires that a penal statute define the criminal offense with sufficient definiteness that ordinary people can understand what conduct is prohibited and in a manner that does not encourage arbitrary and discriminatory enforcement," but "[t]his prohibition against excessive vagueness does not invalidate every statute which a reviewing court believes could have been drafted with greater precision" because "[m]any statutes will have some inherent vagueness, for [i]n most English words and phrases there lurk uncertainties"). Specifically, Ankrom alleges that "[t]he plain language of the statute does not give notice that its criminal sanctions apply to fetuses exposed to controlled substances, and for that reason, Ms. Ankrom is being deprived of her due process right to fair notice of what conduct is impermissible." Ankrom's brief, at 27. However, as we held above, the plain meaning of the term "child," as found in § 26-15-3.2, Ala. Code 1975, includes a viable fetus. Therefore, Ankrom had adequate notice that her conduct was proscribed; thus, her constitutional argument is without merit.
Based on the foregoing, the judgment of the trial court is affirmed.
AFFIRMED.
KELLUM and JOINER, JJ., concur.
WELCH, P.J., and WINDOM, J., concur in the result and dissent in part.
WELCH, Presiding Judge, concurring in the result and dissenting in part.
The majority affirms Hope Elisabeth Ankrom's conviction following her guilty plea to chemical endangerment of a child, a violation of § 26-15-3.2, Ala.Code 1975, after reviewing her challenge to the trial court's denial of her motion to dismiss the indictment. I agree that Ankrom's conviction is due to be affirmed, but I do not agree that a construction of the statute charging chemical endangerment of a child is necessary or proper in this case, and is in fact premature.
Some additional details of the procedural history in this case are relevant to an understanding of the posture of this case on appeal. Ankrom was charged with knowingly, recklessly, or intentionally causing or permitting a child to be exposed to, to ingest or inhale, or to have contact with cocaine, in violation of § 26-15-3.2(a)(1), Ala.Code 1975. Ankrom filed a motion to dismiss the indictment and stated that "the alleged scenario suggested by the prosecution" would "suffice for the Court's understanding of this motion to dismiss the indictment" against her. (C. 20.) Ankrom then stated in the motion that a police officer had been notified that Ankrom had given birth that day and that both she and the infant had tested positive for cocaine. Ankrom raised numerous grounds in support of the motion to dismiss the indictment, and she summarized the grounds as follows:
(C. 21-22.) (Emphasis in original.)
The State filed a response to Ankrom's motion to dismiss, and its argument to the trial court began, "Fool me once, shame on you; fool me twice, shame on me." (C. 37.) The State argued that the issue of the applicability of the chemical-endangerment statute to a woman whose infant had tested positive for cocaine at birth already had been presented to this Court in a mandamus proceeding arising out of a Covington County prosecution. See Ex parte Ward (CR-07-1925, Oct. 16, 2008), 33 So.3d 656 (Ala.Crim.App.2008) (table). The State alleged that the facts and legal
(C. 62.) (Emphasis added.)
After the State filed its response to Ankrom's motion to dismiss the indictment, the trial court entered an order denying Ankrom's motion:
(C. 127.)
Ankrom subsequently entered a guilty plea and stated that she was reserving the issue raised in the motion to dismiss the indictment, that is, whether the facts as alleged charged an offense against her.
Ankrom argues that the judgment against her should be reversed and a judgment rendered in her favor because, she says, the indictment failed to charge an offense under the law and the trial court erred when it denied the motion to dismiss the indictment. I believe the trial court correctly denied the motion to dismiss the indictment because the claim underlying Ankrom's challenge to the indictment was based on the sufficiency of the evidence to prove the crime with which she had been charged, and such challenges are not properly made in pretrial motions to dismiss. Because I believe that the trial court's judgment was due to be affirmed on that ground, I also believe that the majority has incorrectly framed the issue as "whether a mother who ingested a controlled substance during her pregnancy may be prosecuted under § 26-15-3.2(a)(1), Ala.Code 1975, if at birth the infant tests positive for the controlled substance," 152 So.3d at 377, and that the majority's interpretation of the statute is unnecessary to the resolution of the case. Finally, because I do not agree that Doseck v. State, 8 So.3d 1024 (Ala.Crim.App. 2008), should be overruled, I dissent from that portion of the decision.
This Court has consistently held that a motion to dismiss an indictment, Rule 13.5(c)(1), Ala. R.Crim. P., does not provide
The majority recognizes that Doseck would be controlling precedent in this case and that, if Doseck were followed, it would have to hold that the Ankrom's claim was not properly before this Court for review. Then, without invitation from either party, the majority overrules Doseck. The majority states it has reexamined Doseck, a case that was decided less than three years ago, and has determined it conflicts with established precedent from the Alabama Supreme Court, such as Ex parte Deramus, 882 So.2d 875 (Ala.2002), that hold that the substance of a motion — and not its style — determines what kind of motion it is. The majority also quotes with approval the dissenting opinion in Doseck, in which then Judge Shaw
The principles underlying this Court's opinion in Doseck were recently reaffirmed by the Alabama Supreme Court in Ex parte Worley, 102 So.3d 428 (Ala.2010). A decision overruling Doseck would conflict with precedent from the Alabama Supreme Court; therefore, I believe that this Court cannot overrule Doseck.
In Ex parte Worley, the State had charged Worley with five felony violations and five misdemeanor violations related to her campaign activities. Worley filed a pretrial motion to dismiss the charges, and the trial court dismissed the felony charges against her because, that court determined, the State's proposed evidence could not support the felony charges. The State appealed, and this Court, relying on Doseck, reversed the trial court's judgment and held that the dismissal was improper. We held that "the trial court truly made a pretrial determination as to the sufficiency of the evidence, and such a determination is not permitted by the Alabama Rules of Criminal Procedure or by Alabama caselaw." State v. Worley, 102 So.3d 408, 417 (Ala.Crim.App.2009). The Alabama Supreme Court reversed this Court's judgment and stated, in relevant part:
Ex parte Worley, 102 So.3d at 434 (emphasis added).
The Alabama Supreme Court's holding reaffirms the legal principles discussed and applied in Doseck — that a challenge to the sufficiency of the State's evidence is not properly raised in a pretrial motion to dismiss an indictment. If a trial court was permitted by law to conduct a pretrial examination of the sufficiency of the evidence in the context of a motion to dismiss, the Alabama Supreme Court would not have relied on the doctrine of invited error in its analysis of Worley's case.
Because the Alabama Supreme Court has recently reaffirmed the principles underlying Doseck and similar cases decided both before and after Doseck, this Court is not at liberty to overrule Doseck. As an intermediate appellate court, we are bound by the decisions and holdings of the Alabama Supreme Court. See § 12-3-16, Ala.Code 1975, which provides: "The decisions of the Supreme Court shall govern the holdings and decisions of the courts of appeals, and the decisions and proceedings of such courts of appeals shall be subject to the general superintendence and control of the Supreme Court as provided by Constitutional Amendment No. 328."
The majority's decision overruling Doseck thus conflicts with Ex parte Worley.
Even if precedent from the Alabama Supreme Court did not preclude this Court from overruling Doseck, I would nevertheless dissent from that portion of the majority opinion doing so, because Doseck should not be overruled.
First and foremost, I believe the majority has ignored the doctrine of stare decisis. In Grantham v. State, 540 So.2d 779 (Ala.1988), the Alabama Supreme Court adopted Judge Bowen's dissenting opinion, which stated, in relevant part:
Grantham v. State 540 So.2d at 781, quoting Grantham v. State, 540 So.2d 775, 778-79 (Ala.Crim.App.1987) (Bowen, P.J., dissenting).
Although Grantham discussed a decision of this Court construing a statute as having the force and effect of judicial construction until it is reversed by the Alabama Supreme Court, I am unaware of anything in Alabama law that would set a different standard for a decision of this Court following its construction of a rule of criminal procedure. The Alabama Supreme Court has stated: "Stare decisis commands, at a minimum, a degree of respect from this Court that makes it disinclined to overrule controlling precedent when it is not invited to do so." Moore v. Prudential Residential Servs., Ltd. P'ship, 849 So.2d 914, 926 (Ala.2002). By conducting a sua sponte reexamination of Doseck the majority has ignored the foregoing principle and has abandoned recent precedent from this Court without any briefing or argument from the parties, and without any reexamination of the underlying rationale for the decision. The majority's willingness to cast aside a recent decision of the Court without an intervening change in the law or a challenge from the parties reflects a lack of judicial restraint. This Court's decision in Doseck is entitled to stand until it is properly challenged and receives an adequate review following a thorough briefing from the parties. "Stare decisis should be made of sterner stuff than the mere fabric of this year's fashion." Lowman v. Piedmont Exec. Shirt Mfg. Co., 547 So.2d 90, 96 (Ala.1989) (Houston, J., concurring in part and dissenting in part).
Furthermore, there exists no valid basis for overruling Doseck. Since 2008, when Doseck was decided, there has been no change in the Alabama Rules of Criminal Procedure or in the legal principles on which this Court relied in Doseck. Rule 13.5(c), Ala. R.Crim. P., did not in 2008 — and it does not today — provide for the pretrial dismissal of an indictment based on a presumed insufficiency in the State's evidence. The majority does not dispute this point. Rather, the majority's argument in support of overruling Doseck and reaching the merits of Ankrom's argument is that defendants like Ankrom, who present to the trial court the question whether their actions constitute a violation of the statute under which they are charged should not be penalized for presenting the question in an "improperly styled manner," such as in a motion to dismiss the indictment. 152 So.3d at 379.
I do not disagree with the majority's discussion of the proposition that a motion or other pleading should be treated according to its substance and not its style. However, the significant fact that the majority does not address here, and that then Judge Shaw failed to address in his dissent in Doseck, is that in Ex parte Deramus and in subsequent cases applying that principle of law, two conditions existed: first, there was a "misstyled" petition or pleading of some sort filed by the petitioner, and second, there was also another petition or pleading available to the petitioner as the appropriate means of gaining judicial review of the relevant issue. That is not the case here, and it was not the case in Doseck. Ankrom could not properly use a motion to dismiss the indictment as a means of gaining review of her argument that the facts, as alleged, did not charge a crime under the chemical-endangerment statute. However, there exists no alternative procedure or filing by which Ankrom could have properly obtained pretrial
Undeterred by the fact that no mechanism exists in current Alabama procedure for a court to conduct a pretrial review of the sufficiency of the State's evidence, the majority creates a mechanism and simply declares:
152 So.3d at 378-79.
I disagree with the majority's analysis for several reasons. First, the issue was not "properly presented" to the trial court. As I have discussed above, this Court is not reviewing a mislabeled or a misstyled pleading that can be considered as if it were some other "properly styled" pleading. There is no pleading, petition, or procedure allowing a trial court to conduct a pretrial review of the underlying substantive issue presented here — whether the defendant's actions constitute a violation of the statute. By sanctioning such a procedure the majority has acted well beyond the bounds of its authority, and has, in essence, modified the Alabama Rules of Criminal Procedure and engrafted into the rules a form of summary judgment as found in the Alabama Rules of Civil Procedure. See Rule 56, Ala. R. Civ. P.
Only the Alabama Supreme Court has the authority to promulgate rules and regulate the procedures applicable to criminal proceedings. § 12-2-7(4), Ala.Code 1975; Ala. Const.1901, § 150. The Alabama Supreme Court in Marshall v. State, 884 So.2d 900 (Ala.2003), noted that it has the authority to amend the rules of procedure and stated:
It is important to note that the substantive issue — whether Ankrom's actions constituted a violation of the statute — is not truly the issue before this Court. A defendant at a guilty-plea hearing may reserve for review only issues for which he or she received adverse rulings from the trial court. The only adverse ruling in the case was the denial of the motion to dismiss the indictment, and because the underlying substantive issue was not properly raised in a motion to dismiss the indictment, that substantive issue was not "properly presented" to the trial court. The majority labels the substantive issue as "a pure question of law" in an attempt to justify its review of the issue, but that label is not realistic because the resolution of the issue depends on an interpretation of the statute in light of the facts of Ankrom's case.
The State adopted the arguments in the briefs submitted in Ex parte Ward, and the initial argument in the attorney general's brief was that the trial court had properly denied Ward's motion to dismiss because Ward had a legal remedy available to challenge whether her actions constituted a violation of the chemical-endangerment statute — she could file a motion for a judgment of acquittal at the conclusion of the State's case at trial. So it is with Ankrom. The issue whether her actions constitute a violation of the chemical-endangerment statute can only be "properly presented" at trial in a motion for a judgment of acquittal. To sanction a pretrial review of the sufficiency of the evidence in this case, even under the guise that it is purely a legal question, amounts to an attempt by this Court to amend of the rules of criminal procedure.
Next, contrary to the majority's assertion, the substantive issue whether the statute applied to the facts of Ankrom's case was not "ruled on by the trial court." 152 So.3d at 378. As detailed earlier in this special writing, Ankrom raised numerous issues in the motion to dismiss the indictment, and the trial court merely denied the motion.
The majority reads far too much into the court's one-sentence order when it states that the underlying substantive issue was ruled on by the trial court. In fact, it is more likely that the trial court followed Doseck and denied the motion to dismiss the indictment because, as argued in the response of the State, none of the issues could be properly challenged in a motion to dismiss the indictment. Furthermore, when the trial court ruled on the motion to dismiss, it did not have before it the stipulated facts on which the majority now relies. Those facts were presented at the guilty-plea hearing, and they are not properly considered as part of the review of the trial court's ruling on the motion to dismiss the indictment.
Next, the majority contends that the parties were aware of the question presented to and ruled on by the trial court and, the majority says, "it is important to note that the State and Ankrom presented this legal issue fully to the trial court."
Although the majority argues that, to refuse to consider the issue now would be procedural folly and a waste of judicial resources, I note, again, that this Court does not have the authority to correct this perceived folly by making a structural change to the rules governing criminal procedure. In State v. McClain, 911 So.2d 54 (Ala.Crim.App.2005), cited in Doseck, the trial court granted the defendant's motion to dismiss the indictment after the alleged victim stated that she did not want to prosecute the case. This Court reversed the trial court's judgment and stated that a lack of evidence was not a viable basis for dismissing an indictment according to Rule 13.5(c), Ala. R.Crim. P. This Court also stated: "Although we understand the basis for the trial judge's frustration, we are nonetheless bound to follow the law." 911 So.2d at 56. It appears to me that the majority here is frustrated with the current state of the law, but, unlike the McClain Court, the majority has failed to follow the law. Instead, the majority has attempted to amend the Rules of Criminal Procedure to create a mechanism with which to conduct a pretrial review of the sufficiency of the evidence.
For all the foregoing reasons, I believe the majority's analysis fails. Not only is the majority's reversal of Doseck unsupported by the Alabama Rules of Criminal Procedure and caselaw from this Court, the majority's decision conflicts with the Supreme Court's decision in Ex parte Worley. A pretrial motion to dismiss an indictment is not a proper mechanism by which to challenge the validity of a charge based on the anticipated evidence, and this Court does not have the authority to rewrite the Rules of Criminal Procedure to engraft such a mechanism into the rules. I believe that the majority's attempt to rewrite the Rules of Criminal Procedure in order to reach the substantive issue in this case exceeds the boundaries of this Court's authority just as clearly as did this Court's actions in Fountain v. State, 842 So.2d 719 (Ala.Crim.App.2000), rev'd in part, 842 So.2d 726 (Ala.2001), when the Court purported to create an exception to the Rules of Appellate Procedure.
Finally, although I do not agree with the majority's analysis in this case, I believe that the creation of a procedural mechanism by which a circuit court could consider at the pretrial stage whether a set of alleged or stipulated facts supports a charge under the particular criminal statute might be a useful addition to Alabama's criminal procedure. Such a procedure would be a wholesale change in the existing law, however, and there is no way to know at this juncture whether that change is necessary or would be helpful to the administration of justice. In any case, a change in the existing law will have to be made by the Alabama Legislature or the Alabama Criminal Rules Committee, under the governance of the Alabama Supreme Court and subject to the limitations of Ala.
WINDOM, J., concurs.
WINDOM, Judge, concurring in the result and dissenting in part.
I agree with the majority's decision to affirm the circuit court's denial of Hope Elizabeth Ankrom's pretrial motion to dismiss the indictment against her. Further, I agree with the majority's interpretation of § 26-15-3.2(a)(1), Ala.Code 1975. I, however, disagree with the majority's decision to overrule Doseck v. State, 8 So.3d 1024 (Ala.Crim.App.2008), because I do not believe that the law in this State provides a procedure for a trial judge to rule on the merits of a facially valid indictment before trial.
Initially, the majority correctly notes that "`"[t]he substance of a motion and not its style determines what kind of motion it is."'" 152 So.3d 373, 377 (quoting Ex parte Deramus, 882 So.2d 875, 876 (Ala.2002), quoting in turn Evans v. Waddell, 689 So.2d 23, 26 (Ala.1997)). Here, Ankrom filed a pretrial motion to dismiss the indictment against her on the ground that her actions — using cocaine while pregnant and giving birth to an infant who tested positive for cocaine — did not violate § 26-15-3.2(a)(1), Ala.Code 1975, which makes chemical endangerment of a child a criminal offense. Ankrom further sought to have the circuit court consider a stipulation of facts in deciding whether her actions violated § 26-15-3.2(a)(1), Ala.Code 1975. Because Ankrom sought to have the circuit court "look[] beyond the face of the indictment and rul[e] on the merits of the charges against [her, she] ... in effect [sought] summary judgment in [her] favor...." United States v. Salman, 378 F.3d 1266, 1267 (11th Cir.2004). Regardless of the label placed on her motion, Ankrom sought, in substance, a pretrial determination of the merits of the indictment. In other words, she sought a pretrial, judicial determination that she was not guilty of the offense charged in the indictment.
It is well settled that "[a]n indictment returned by a legally constituted and unbiased grand jury, ... if valid on its face, is enough to call for trial of the charge of the merits." Aaron v. State, 271 Ala. 70, 77, 122 So.2d 360, 365 (Ala.1960) (quoting Costello v. United States, 350 U.S. 359, 363, 76 S.Ct. 406, 100 L.Ed. 397 (1956)). Rule 13.5(c)(1), Ala. R.Crim. P., provides:
Although a defendant may challenge an indictment on the grounds detailed in Rule 13.5(c)(1), Ala. R.Crim. P., and on some
Accordingly, Alabama courts have long held that the merits of an indictment are not a proper consideration during pretrial proceedings.
For instance, in Salman, 378 F.3d at 1267, the defendant "was indicted for five counts of possession of firearms, and a sixth count of possession of ammunition, by an alien `illegally or unlawfully in the United States,' in violation of 18 U.S.C. § 922(g)(5)(A)." After he was indicted, "Salman filed a motion to dismiss the indictment, maintaining that he was not `illegally
On appeal, the Eleventh Circuit reversed the trial court's decision holding:
Salman, 378 F.3d at 1268 (footnotes omitted).
In Doseck, 8 So.3d at 1024-26, this Court merely followed the well-settled principle that a trial court may not make a pretrial determination on the merits of an indictment. Doseck was indicted for second-degree escape. See § 13A-10-32, Ala. Code. Doseck, like Ankrom and Salmon, filed a pretrial motion to dismiss the indictment against him on the ground that undisputed facts not contained in the indictment established that his actions did not constitute second-degree escape. Id. Thus, Doseck, like Ankrom and Salmon, sought to have the circuit court "look[] beyond the face of the indictment and rul[e] on the merits of the charges against [him,] ... in effect [seeking] summary judgment in [his] favor...." Salman, 378 F.3d at 1267. The circuit court denied Doseck's motion. On appeal, this Court followed well-settled law and held that the merits of an indictment are not a proper ground for dismissal.
The majority in this case overrules Doseck, 8 So.3d 1024, and holds that "in [a] case [where there is a stipulation of facts and] ... where [the trial court is presented with] a pure question of law as to
I believe that by overruling Doseck and holding that the question of Ankrom's guilt was properly before the trial court in a pretrial proceeding because the court was presented with "a pure question of law," the majority overlooks the fact that both Doseck and Ankrom sought a pretrial determination of the merits of the indictment, i.e., they each sought a summary judgment in their favor. I do not believe that the merits of an indictment are a proper consideration for a trial court because "[t]here is no summary judgment procedure in criminal cases." Critzer, 951 F.2d at 307. This Court's decision in Doseck merely followed well-settled precedent and correctly held that trial courts are not authorized under Alabama law to make a pretrial determination on the merits of a facially valid indictment; therefore, I disagree with the majority's decision to overrule that case. For the same reason, I disagree with the majority's determination that Ankrom's motion to dismiss sought relief that was available pretrial.
Accordingly, I respectfully dissent from that portion of the majority's holding that overrules Doseck. Because I believe that the circuit court's decision denying Ankrom's motion to dismiss should be affirmed because the motion sought relief that was unavailable pretrial, I concur in the result of the majority's decision to affirm Ankrom's conviction and sentence.
G.E.G. v. State, 54 So.3d 949, 956 (Ala.2010).