Rel: May 3, 2024
Notice: This opinion is subject to formal revision before publication in the advance sheets of Southern
Reporter. Readers are requested to notify the Reporter of Decisions, Alabama Appellate Courts, 300 Dexter
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corrections may be made before the opinion is published in Southern Reporter.
Alabama Court of Criminal Appeals
OCTOBER TERM, 2023-2024
_________________________
CR-21-0044
_________________________
Christopher Matthew Henderson
v.
State of Alabama
Appeal from Madison Circuit Court
(CC-17-3064)
McCOOL, Judge.
Christopher Matthew Henderson was convicted of 15 counts of
capital murder for intentionally causing the deaths of his wife, Kristen
Smallwood ("Kristen"); Henderson and Kristen's unborn child, Loryn
Brooke Smallwood ("Loryn"); Kristen's son, Clayton Chambers
CR-21-0044
("Clayton"); Kristen's nephew, Eli Sokolowski ("Eli"); and Kristen's
mother, Carol Jean Smallwood ("Carol Jean"). The murders were made
capital because they were committed during the course of committing a
burglary in the first degree, see § 13A-5-40(a)(4), Ala. Code 1975; during
the course of committing arson in the first degree, see § 13A-5-40(a)(9),
Ala. Code 1975; and during one act or pursuant to one scheme or course
of conduct, see § 13A-5-40(a)(10), Ala. Code 1975. The murder of
Kristen was further made capital because it was committed in violation
of a court-issued protection order, see § 13A-5-40(a)(19), Ala. Code 1975,
and the murders of Loryn, Clayton, and Eli were further made capital
because those victims were less than 14 years of age, see § 13A-5-
40(a)(15), Ala. Code 1975. The jury recommended by a vote of 11-1 that
Henderson be sentenced to death, and the trial court followed the jury's
recommendation and imposed that sentence.
Facts
Henderson and his ex-wife, Rhonda Carlson, were divorced in
2014 after Carlson discovered that Henderson was having an affair
with Kristen. Henderson later married Kristen, and, in May 2015, the
couple was living in Kristen's parents' house ("the Smallwood house")
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with her parents; Clayton, who was 8 years old; Eli, who was 14 months
old; and Eli's parents. Kristen was also pregnant with Loryn, who was
scheduled to be born near the end of August. Henderson and Kristen
began "having issues in their marriage" during that time (R. 1504), and,
in June 2015, Kristen's father asked Henderson to move out of the
Smallwood house. After Henderson moved out, Kristen's father
changed the locks on all the exterior doors.
Kristen's brother, Keith Smallwood ("Keith"), testified that, after
Henderson moved out of the Smallwood house, the family experienced
"odd things that [they] had never experienced" (R. 1505), including
hearing "loud noises" in the middle of the night, such as "banging on the
garage doors" (R. 1506), and finding a bag of marijuana in the mailbox.
Keith also testified that the family discovered that "the light bulb on
the light at the garage service door had been unscrewed as if … just
loosened enough to where the light would not shine." (Id.) The family
had no evidence indicating that Henderson was responsible for those
events, but, nevertheless, on July 29, 2015, Kristen obtained from the
Madison Circuit Court a temporary ex parte protection order that
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CR-21-0044
commanded Henderson to "stay away from" Kristen and her residence.1
(C. 740.) A deputy with the Madison County Sheriff's Office served
Henderson with the protection order the next day. That same day,
Keith purchased two surveillance cameras and installed them on the
exterior of the Smallwood house; one camera was mounted "so that it
would show the view of anyone entering the front of the house or exiting
the front of the house" (R. 1513), and the other camera was mounted so
that it would "show a view of anyone or any vehicles in the driveway or
anyone entering or exiting that side of the home" through the garage
door or garage service door. (R. 1514.) The third exterior door -- the
back door -- was not surveilled by camera.
After moving out of the Smallwood house, Henderson reconnected
with Carlson, and Carlson testified that, by "the end of July, [they] were
getting back together." (R. 1761.) Carlson knew that Henderson and
Kristen were still married, but Henderson told her that he and Kristen
"were working on getting a divorce" (R. 1762) because "they had been
arguing and fighting about different things" and "weren't getting
along." (R. 1764.) According to Carlson, Henderson was angry during
1Kristen's petition for a protection order is not included in the
record, so the circuit court's basis for issuing the order is not clear.
4
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that time because he felt he had been mistreated by Kristen's father,
and, as his anger intensified, he eventually formed a plan to "tak[e] out
the entire family." (R. 1766.) Carlson agreed to help Henderson with
his plan because she "blamed Kristen for taking [Henderson] away from
[her]" (R. 1823), and she "hated that [Kristen] was pregnant with
[Henderson's] child" and "wanted revenge." (R. 1826.) Carlson testified
against Henderson in exchange for the State's pledge that it would not
seek the death penalty against her, and her testimony provided the jury
with the details of Henderson's plan and the couple's execution of that
plan.
Henderson's plan "was to break into the [Smallwood] house and
shoot all the members of the family." (R. 1769.) In order to get into the
house, Henderson "was going to pick the lock" on the garage service
door (R. 1770), and he purchased a .22 caliber Ruger brand handgun,
which he intended to use to commit the murders. Henderson also
"started doing research on … how long the baby would be viable in the
mother … if he killed … a pregnant mother." (R. 1767-68.) That
research was necessary, Carlson explained, because she and Henderson
planned to "keep [Loryn]" and "raise [her]" themselves. (R. 1782-83.)
5
CR-21-0044
However, at some point before the murders occurred, Carlson changed
her mind and told Henderson that she "didn't want to be a mom again."
(R. 1783.) Carlson's role in the plan was "to make sure that the gas can
was full" because she and Henderson "were going to set the house on
fire … to make sure that there wasn't any evidence." (R. 1771-72.)
One night a few days before the murders occurred, Henderson and
Carlson attempted to execute their plan. However, "the lockpick didn't
work on the lock," and the couple "chickened out and decided not to do
it." (R. 1770.) Carlson testified that she believed, though was not sure,
that Henderson "unscrewed the light bulb" near the garage service door
before they left that night. (R. 1771.) Ultimately, though, Henderson
and Carlson "decided to [commit the murders] during the day" because
they knew that the men who lived in the Smallwood house would not be
home at that time. (Id.)
On the afternoon of August 4, 2015, Henderson and Carlson drove
to the Smallwood house in Carlson's Jeep sport-utility vehicle, and the
plan was that Carlson would "drop [Henderson] off" so that he could
commit the murders. (R. 1775.) When they arrived at the house,
Carlson got out of the vehicle and checked to see if the garage service
6
CR-21-0044
door was unlocked, which it was. Henderson then entered the house,
and Carlson left in her vehicle and parked on a dirt road behind the
house, where she waited for Henderson to contact her on her cellular
telephone. As planned, Henderson eventually contacted Carlson and
"told [her] to bring the gas can," and Carlson returned to the house. (R.
1778.) When she arrived, Carlson attempted to enter the house through
the garage service door, but she could not open the door because "there
was a body laying there." (Id.) Speaking through the garage service
door, Henderson told Carlson to go to the front door, and, when he
opened it for her, she saw "blood on the carpet and all over him" and
"saw Clayton's body in a pool of his own blood." (R. 1779.) Henderson
"took the gas can out of [Carlson's] hand and started spreading gas
down the hallway and through the house" (R. 1779), and "then he lit it
on fire with a lighter that he had." (R. 1780.) Henderson and Carlson
then left the property in Carlson's vehicle.
Deputies with the Madison County Sheriff's Office were
dispatched to the Smallwood house shortly after Henderson and
Carlson left, and, when they arrived, they saw "heavy smoke" coming
from the house and "flames starting to come from out of the attic area."
7
CR-21-0044
(R. 1487.) "[T]wo subjects … in the front yard … started telling [the
deputies] that people were inside" the house (id.), but, by that time, "the
fire had gotten very large … and the smoke and heat were just too
intense," so the deputies could not provide any assistance to those
inside the house. (R. 1488-89.) After the fire was extinguished, the
bodies of Kristen, Clayton, Eli, and Carol Jean were found inside the
house; Loryn's body, which had been cut out of Kristen's womb, was also
found inside the house. Shortly thereafter, law enforcement officers
viewed the videos recorded by the surveillance cameras that Keith had
installed, and those videos were admitted into evidence and played for
the jury. Consistent with Carlson's testimony, the surveillance-camera
videos show Carlson enter the Smallwood house through the garage
service door, exit a few moments later, and then leave the property;
show Carlson return to the property with a gas can, unsuccessfully
attempt to enter the garage service door, and then carry the gas can to
the front door; and, approximately three minutes later, show a barefoot
man whom Carlson identified as Henderson hurrying from the front
door, followed by Carlson. However, no video shows Henderson
entering the house.
8
CR-21-0044
When Henderson and Carlson left the Smallwood house, they
drove to a nearby lake, where they burned Henderson's clothes and
shoes. Henderson then "washed off" in the lake because he "was
covered in blood" and put on fresh clothes. (R. 1784.) Henderson also
threw his .22 caliber handgun into the lake, and, according to Carlson,
the handle of the gun was broken because Henderson kept "hitting
[Kristen] in the head with it because 'the bitch just wouldn't die.' " (R.
1782.) During the drive to the lake, Carlson asked Henderson "what
happened to the baby, and he said that it would end up being whiny
and needy like the mom, so he decided that he didn't want the baby."
(R. 1783.)
When they left the lake, Henderson and Carlson drove to a Wal-
Mart discount store so that Carlson could purchase shoes for
Henderson. While at the store, Carlson received a telephone call from
her daughter, who told her that law enforcement officers had been to
Henderson's mother's house, where Henderson and Carlson were living
at the time. Henderson then told Carlson that he "wanted to go to
another county" (R. 1775), but Carlson told him that she was "not
abandoning [her] kids" (R. 1786), so they returned to Henderson's
9
CR-21-0044
mother's house and "just waited for the police to get there." (Id.)
Henderson and Carlson were arrested at his mother's house soon
thereafter and were taken to the Madison County Sheriff's Office, where
they were advised of their Miranda2 rights before being interrogated by
Inv. Eugene Nash. Henderson refused to make a statement during his
interrogation, but, shortly thereafter, while waiting to be booked into
the Madison County jail, Henderson spontaneously said to Inv. Nash:
"I'm glad you caught me when you did because I don't believe I could
live with what I've done." (R. 1870.)
The next day, Henderson's mother consented to a search of her
house. During that search, a Madison County sheriff's deputy
discovered a backpack, and, when he picked it up, an unidentified
"young female adolescent child yell[ed]: 'That's my daddy's backpack.' "
(R. 1718.) That backpack contained, among other items, "one lockpick
type gun," some type of punch or tool of some sort," and "a pry bar." (R.
1719.) Sheriff's deputies also found a cellular telephone that belonged
to Henderson, and a search of the telephone revealed that, in the month
preceding the murders, Henderson had conducted Internet searches on
2Miranda v. Arizona, 384 U.S. 436 (1966).
10
CR-21-0044
topics such as "how to break glass," "break window homes," ".22 Ruger
CGI quiet rounds," ".22 handguns with quiet rounds," "how to break a
house window," "how to use a lockpick gun," "quiet way to break a
window pane," and "what happens when a person is shot." (R. 1745.)
Sheriff's deputies also searched Carlson's Jeep vehicle, where they
found two boxes of .22 caliber ammunition and a "lockpick set." (R.
1557.)
Dr. Steven Dunton, a forensic pathologist, testified as to the
causes of death for the five victims. Kristen's causes of death were a
"gunshot wound of the neck and multiple sharp-force injuries of the
head and torso." (R. 1636.) Dr. Dunton also testified that Kristen had
suffered "a cut … on the left side of her abdomen" (R. 1642), that "the
uterus ha[d] been opened" (R. 1643), and that Loryn had been "removed
from the womb." (R. 1664.) Loryn's cause of death was "multiple sharp-
force injuries" (R. 1663), including "stab wounds" in her lungs. (R.
1665.) Clayton's cause of death was "multiple sharp-force injuries" (R.
1657), including "stab wounds" in his lungs and in the back of his head.
(R. 1659.) Eli's causes of death were "multiple sharp-force injuries and
smoke inhalation" (R. 1648); specifically, Eli had suffered a "stab
11
CR-21-0044
wound" in his abdomen (R. 1650), which breached his intestines, and
another "stab wound" in his head, which "enter[ed] his brain." (R.
1653.) Carol Jean's cause of death was "gunshot wounds" to her "upper
head" (R. 1626), and she had also been stabbed in the eyes several
times. The gunshot wounds to Kristen and Carol Jean were inflicted
with a .22 caliber gun. (R. 1859.)
Standard of Review
Rule 45A, Ala. R. App. P., was amended on January 12, 2023, to
state:
"In all cases in which the death penalty has been
imposed, the Court of Criminal Appeals may, but shall not
be obligated to, notice any plain error or defect in the
proceedings under review, whether or not brought to the
attention of the trial court, and take appropriate appellate
action by reason thereof, whenever such error has or
probably has adversely affected the substantial right of the
appellant."
Before Rule 45A was amended, this Court was required to conduct
plain-error review in all cases in which the death penalty had been
imposed. Although Rule 45A now provides that plain-error review is
discretionary in such cases, this Court has explained that it will
continue to conduct plain-error review in all cases in which the death
penalty has been imposed. Iervolino v. State, [Ms. CR-21-0283, Aug. 18,
12
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2023] ___ So. 3d ___, ___ (Ala. Crim. App. 2023). However, that does
not mean that this Court will provide a detailed analysis, or even any
analysis, of those claims that were not properly preserved for appellate
review, as it historically did when plain-error review was mandatory.
Id.
The standard this Court employs in conducting plain-error review
is well settled:
" ' "The standard of review in reviewing a claim under
the plain-error doctrine is stricter than the standard used in
reviewing an issue that was properly raised in the trial court
or on appeal." Hall v. State, 820 So. 2d 113, 121 (Ala. Crim.
App. 1999), aff'd, 820 So. 2d 152 (Ala. 2001). Plain error is
"error that is so obvious that the failure to notice it would
seriously affect the fairness or integrity of the judicial
proceedings." Ex parte Trawick, 698 So. 2d 162, 167 (Ala.
1997), modified on other grounds, Ex parte Wood, 715 So. 2d
819 (Ala. 1998). "To rise to the level of plain error, the
claimed error must not only seriously affect a defendant's
'substantial rights,' but it must also have an unfair
prejudicial impact on the jury's deliberations." Hyde v.
State, 778 So. 2d 199, 209 (Ala. Crim. App. 1998), aff'd, 778
So. 2d 237 (Ala. 2000). "The plain error standard applies
only where a particularly egregious error occurred at trial
and that error has or probably has substantially prejudiced
the defendant." Ex parte Trawick, 698 So. 2d at 167.
"[P]lain error must be obvious on the face of the record. A
silent record, that is a record that on its face contains no
evidence to support the alleged error, does not establish an
obvious error." Ex parte Walker, 972 So. 2d 737, 753 (Ala.
2007). Thus, "[u]nder the plain-error standard, the
appellant must establish that an obvious, indisputable error
13
CR-21-0044
occurred, and he must establish that the error adversely
affected the outcome of the trial." Wilson v. State, 142 So. 3d
732, 751 (Ala. Crim. App. 2010). "[T]he plain error exception
to the contemporaneous-objection rule is to be 'used
sparingly, solely in those circumstances in which a
miscarriage of justice would otherwise result.' " United
States v. Young, 470 U.S. 1, 15, 105 S. Ct. 1038, 84 L. Ed. 2d
1 (1985) (quoting United States v. Frady, 456 U.S. 152, 163
n.14, 102 S. Ct. 1584, 71 L. Ed. 2d 816 (1982)).' "
Iervolino, ___ So. 3d at ___ (quoting DeBlase v. State, 294 So. 3d 154,
182-83 (Ala. Crim. App. 2018)).
Discussion
I.
Henderson argues that, on multiple occasions, the trial court
violated his right to a public trial, which is protected by both the Sixth
Amendment to the United States Constitution and Article I, § 6, of the
Alabama Constitution.
"[A]n open and public trial serves important interests." Smith v.
State, 213 So. 3d 327, 336 (Ala. Crim. App. 2011). In Waller v. Georgia,
467 U.S. 39, 46 (1984), the United States Supreme Court explained:
" ' " 'The requirement of a public trial is for
the benefit of the accused; that the public may see
he is fairly dealt with and not unjustly
condemned, and that the presence of interested
spectators may keep his triers keenly alive to a
sense of their responsibility and to the
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CR-21-0044
importance of their functions ....' " ' [Gannett Co.
Inc. v. DePasquale, 443 U.S. 368, 380 (1979)]
(quoting In re Oliver, 333 U.S. 257, 270, n.25, 68
S. Ct. 499, 506, n.25, 92 L. Ed. 682 (1948), in turn
quoting T Cooley, Constitutional Limitations 647
(8th ed. 1927)).
"In addition to ensuring that judge and prosecutor carry out
their duties responsibly, a public trial encourages witnesses
to come forward and discourages perjury."
(Footnote omitted.) In short, a public trial is one mechanism for
"protecting the defendant against unjust conviction," Weaver v.
Massachusetts, 582 U.S. 286, 299 (2017), and "has always been
recognized as a safeguard against any attempt to employ our courts as
instruments of persecution." In re Oliver, 333 U.S. 257, 270 (1948).
However, even with these important interests at stake, the right
to a public trial is not absolute. As the Waller Court explained, "the
right to an open trial may give way in certain cases to other rights or
interests," 467 U.S. at 45, and the Court set forth the following test to
use in determining whether competing interests justify a closed
courtroom:
" '[1] [T]he party seeking to close the hearing must advance
an overriding interest that is likely to be prejudiced, [2] the
closure must be no broader than necessary to protect that
interest, [3] the trial court must consider reasonable
15
CR-21-0044
alternatives to closing the proceeding, and [4] it must make
findings adequate to support the closure.' "
Ex parte Easterwood, 980 So. 2d 367, 376 (Ala. 2007) (quoting Waller,
467 U.S. at 48). The first step of the Waller test must be satisfied,
though, only when there is "a total closure of the courtroom." Ex parte
Easterwood, 980 So. 2d at 376. When there is "only a partial closure of
the courtroom, the party seeking the closure need only advance a
'substantial reason' for the closure," as opposed to the "overriding
interest" required for a total closure. Id. This lesser standard applies
to a partial closure because a partial closure " ' "does not raise the same
constitutional concerns as a total closure," ' " given that " ' "an audience
remains to ensure the fairness of the proceedings." ' " Id. at 373 (quoting
Ex parte Judd, 694 So. 2d 1294, 1296 (Ala. 1997), quoting in turn
United States v. Osborne, 68 F.3d 94, 98 (5th Cir. 1995)).
Not only may the public-trial right yield to competing interests, it
also does not necessarily extend to every aspect of criminal proceedings.
Indeed, the Waller Court noted that the first question it had to answer
in that case was whether "the accused's Sixth Amendment right to a
public trial extend[s] to a suppression hearing," 467 U.S. at 43 -- a
question that would have been unnecessary to the Court's analysis if
16
CR-21-0044
the right to a public trial automatically extends to every aspect of
criminal proceedings. Thus, in reviewing any alleged public-trial
violation, the threshold inquiry is whether the right to a public trial
extends to the proceeding in question. See United States v. Ivester, 316
F.3d 955, 959 (9th Cir. 2003) ("Though some courts and treatises boldly
declare that the Sixth Amendment right to a public trial applies to the
entire trial, this position has been rejected by recent decisions which
demonstrate that the right to a public trial does not extend to every
moment of trial." (internal citations omitted)); United States v.
Gallman, 57 F.4th 122, 126 (3d Cir. 2023) (noting that the right to a
public trial "likely does not extend" to certain aspects of trial); Smith v.
Titus, 958 F.3d 687, 692-93 (8th Cir. 2020) (noting that it was "an open
question whether a defendant's right to a public trial encompasse[d] the
sort of nonpublic proceeding at issue"); State v. Love, 183 Wash. 2d 598,
605, 354 P.3d 841, 844 (2015) (stating that the first step in reviewing a
public-trial claim is to "ask if the public trial right attaches to the
proceeding at issue"); State v. Smith, 876 N.W.2d 310, 329 (Minn. 2016)
(noting that some "nonpublic proceedings simply may not implicate the
Sixth Amendment right to a public trial, depending on the nature of the
17
CR-21-0044
proceeding"); State v. Reed, 302 Kan. 227, 239, 352 P.3d 530, 540 (2015)
(stating that "this case ultimately turns on whether [the defendant's]
Sixth Amendment right to a public trial attached to the [proceeding in]
question" and holding that it did not; "[n]ot every proceeding is subject
to the Sixth Amendment's demand for openness"); and State v. Parks,
190 Wash. App. 859, 864, 363 P.3d 599, 602 (2015) (" '[N]ot every
interaction between the court, counsel, and defendants will implicate
the right to a public trial or constitute a closure if closed to the public.' "
(quoting State v. Sublett, 176 Wash. 2d 58, 71, 292 P.3d 715, 721
(2012))).
Once a court has determined that a defendant's right to a public
trial was violated, the violation constitutes a structural error that is not
subject to harmless-error review. Ex parte Easterwood, 980 So. 2d at
374. That is to say, the State cannot overcome a public-trial violation
by demonstrating that the violation had no effect on the outcome of the
trial. See Weaver, 582 U.S. at 299 (noting that, for structural errors,
"the government is not entitled to deprive the defendant of a new trial
by showing that the error was 'harmless beyond a reasonable doubt' "
(quoting Chapman v. California, 386 U.S. 18, 24 (1967))). Thus, "in the
18
CR-21-0044
case of a structural error where there is an objection at trial and the
issue is raised on direct appeal, the defendant generally is entitled to
'automatic reversal' regardless of the error's actual 'effect on the
outcome.' " Weaver, 582 U.S. at 299 (quoting Neder v. United States,
527 U.S. 1, 7 (1999)) (emphasis added)).
However, "[w]hether an error can be found harmless is … a
different question from whether it can be subjected to plain-error
review." Puckett v. United States, 556 U.S. 129, 139 (2009). See
United States v. Daniels, 91 F.4th 1083, 1095 (11th Cir. 2024) ("Plain
error review is different from harmless error review in several
respects."); and Ex parte Hicks, 378 So. 3d 1137, 1163 (Ala. 2022)
(Mitchell, J., concurring in the result) (noting that there are "important
differences between harmless-error review … and plain-error review").
And, while harmless-error review is not applicable to preserved
structural errors, plain-error review is applicable to unpreserved
structural errors. See Gaston v. State, 265 So. 3d 387 (Ala. Crim. App.
2018) (reviewing an unpreserved public-trial claim for plain error). See
also Johnson v. United States, 520 U.S. 461 (1997) (refusing to decide
whether the error at issue was a structural error because, even if it was,
19
CR-21-0044
the facts did not support a finding of plain error); Savoy v. State, 420
Md. 232, 243, 22 A.3d 845, 852 n.4 (2011) ("The overwhelming majority
of courts that have considered this issue have held … that un-preserved
structural errors are not automatically reversible, but, instead, are
subject to plain error review."); Pulczinski v. State, 972 N.W.2d 347
(Minn. 2022) (holding that plain-error review applied to an unpreserved
public-trial claim and rejecting the defendant's argument that, because
the error was structural, he was entitled to automatic reversal of his
conviction); State v. West, 168 Ohio St. 3d 605, 612, 200 N.E.3d 1048,
1054 (2022) ("[A]ssertions of structural error do not preclude an
appellate court from applying the plain-error standard when the
accused has failed to object."); People v. King, 512 Mich. 1, 10, 999
N.W.2d 670, 676 (2023) ("[U]npreserved constitutional errors, including
structural errors, are reviewed for plain error affecting substantial
rights."); and State v. Bond, 361 P.3d 104, 117 (Utah 2015) ("[W]hen a
defendant raises an unpreserved constitutional claim -- even one
serious enough to constitute structural error -- the claim is subject to
plain error review.").
20
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In this case, Henderson did not object to any of the courtroom
closures that occurred during his trial, so we review his public-trial
claim under our plain-error standard. Before addressing Henderson's
claim, though, we first address, as part of our plain-error review, an
issue he has not raised -- namely, whether the absence of any Waller
findings in conjunction with the courtroom closures is in and of itself
plain error that entitles Henderson to relief.
1. The Absence of Waller Findings
The Alabama Supreme Court explained in Ex parte Easterwood,
supra, that "the four-prong test set forth in Waller must be satisfied,"
with the first prong of the test varying based on the type of closure,
before a trial court can close the courtroom to the public. Ex parte
Easterwood, 980 So. 2d at 376. We note, though, that the defendant in
that case had objected to the courtroom closure, and we have not found
an Alabama case that has held that a trial court is required to make
Waller findings in the absence of an objection. We also note that the
Waller Court itself stated that a courtroom closure that is ordered "over
the objections of the accused must meet" the Waller test, 467 U.S. at 47
(emphasis added), which suggests that a trial court's obligation to make
21
CR-21-0044
Waller findings is not triggered unless there is an objection to the
closure. Other courts have expressly interpreted Waller in that
manner. See United States v. Veneno, 94 F.4th 1196, 1204 (10th Cir.
2024) ("Waller mandates that the district court must [make Waller
findings] when the courtroom is closed 'over the objections of the
accused.' " (quoting Waller, 467 U.S. at 47)); Jones v. State, 883 So. 2d
369, 371 (Fla. Dist. Ct. App. 2004) ("A proper contemporaneous
objection in the trial court is necessary to raise the need for Waller
findings."); State v. Ingraham, 528 P.3d 966, 972 (Idaho 2023) ("The
Waller test only applies if the accused objects to closing the court."); and
State v. Starner, 152 N.C. App. 150, 154, 566 S.E.2d 814, 817 (2002)
(holding that, when a defendant does not object to a courtroom closure,
the trial court is not required to make Waller findings).
As noted, Henderson did not object to any of the courtroom
closures that occurred during his trial. Thus, we hold that the trial
court was not required to make Waller findings before closing the
courtroom. However, even if the trial court was required to make those
findings pursuant to Ex parte Easterwood, the court's failure to do so
does not in and of itself constitute plain error that entitles Henderson to
22
CR-21-0044
relief. Rather, this Court must determine whether the courtroom
closures "seriously affect[ed] the fairness or integrity of the judicial
proceedings," Iervolino, ___ So. 3d at ___ (citations omitted), and, if they
did not, then no plain error occurred, even if the trial court was
required to make Waller findings before closing the courtroom. See
Starner, 152 N.C. App. at 154, 566 S.E.2d at 817 (holding that a
courtroom closure did not constitute plain error, even though the trial
court had not made Waller findings); and United States v. Negron-
Sostre, 790 F.3d 295, 306 (1st Cir. 2015) (noting, in conducting plain-
error review, that the trial court had not made Waller findings but
reversing only because "the error affected the fairness, integrity or
public reputation of the proceeding as a whole").
We now turn to Henderson's claim that the trial court violated his
right to a public trial on multiple occasions.
2. Pretrial Status Conference
Henderson argues that the trial court violated his right to a public
trial by closing the courtroom during a pretrial status conference that
occurred on April 9, 2020. Approximately four weeks earlier, the
Alabama Supreme Court had suspended "all in-person court
23
CR-21-0044
proceedings" because of the COVID-19 pandemic, Ex parte Brown, 368
So. 3d 951, 953 (Ala. 2022), and the trial court and the parties
conducted the April 9 status conference through Zoom, which "is a
video-conferencing application that can be used in place of in-person
conferences or meetings." Moreno v. State, 367 So. 3d 462, 463 n.1 (Ala.
Crim. App. 2021). It does not appear, though, that the trial court used
Zoom to provide public access to the April 9 status conference, as the
court would later do during the trial, so that status conference was in
fact closed to the public.
However, even if the right to a public trial extends to pretrial
status conferences, the April 9 status conference involved nothing more
than rescheduling an upcoming hearing and a brief discussion as to
whether the trial would be able to proceed as scheduled that summer;
no legal or evidentiary issues were even cursorily discussed. (R. 151-
59.) Thus, it would be incredible to conclude that the public's exclusion
from a proceeding involving those routine administrative issues
"seriously affected the fairness or integrity of the judicial proceedings."
Iervolino, ___ So. 3d at ___ (citations omitted). Indeed, Henderson's
appellate counsel conceded during oral argument before this Court that
24
CR-21-0044
"a discussion about scheduling or things of that nature that are clearly
administrative … certainly would not rise to the level of a public-trial
violation" (Oral Argument Recording, 22:30-39), and that is exactly
what occurred at the April 9 status conference. Accordingly, the closed
status conference did not rise to the level of plain error.
3. Suppression Hearing
Henderson argues that the trial court violated his right to a public
trial during a pretrial suppression hearing, at which he argued that the
incriminating statement he made to Inv. Nash should be suppressed.
The United States Supreme Court has held that the right to a public
trial extends to a suppression hearing. Waller, supra.
The suppression hearing occurred in October 2020. By that time,
the Alabama Supreme Court had "entered an order resuming in-person
hearings," Ex parte Brown, 368 So. 3d at 953, but trial courts were still
contending with COVID-19. Thus, in preparation for the suppression
hearing, the trial court issued an order that states, in relevant part:
"Based on recent developments related to the COVID-
19 pandemic and in order to maintain appropriate social
distancing it is hereby ordered as follows:
"With regard to the parties, the [suppression] hearing
shall be attended by the attorneys and their respective
25
CR-21-0044
client. The State shall be authorized to bring one (1) family
representative of the victims. The Defendant shall be
authorized to bring one (1) supporter as well.
"….
"The Courtroom will have designated seats for
attendees to use. Two (2) seats will be reserved for news
media. Other than the seats reserved herein, any remaining
seats shall be available on a first come, first serve basis for
members of the public. Once the designated seating is filled,
no further attendees will be allowed to enter the courtroom."
(C. 87.)
As evidenced by the trial court's order, the courtroom was not
closed during the suppression hearing but, instead, was open to the
public on a "first come, first serve basis." Indeed, Henderson does not
allege that the courtroom was closed during that hearing; rather, he
argues that his right to a public trial was violated because, he says,
"public access was severely limited."3 (Henderson's brief, p. 24.)
It does appear from the trial court's order that the available
seating in the courtroom was more limited during the suppression
hearing than it would have been had the court not been contending with
COVID-19. However, Henderson has not identified anyone who wanted
3Henderson's reliance on Ex parte Easterwood, supra, is
misplaced, then, because in that case the trial court excluded the public
from the courtroom.
26
CR-21-0044
to attend the hearing and was unable to do so. Furthermore, limited
seating is a reality in every courtroom, and the fact that seating is
available for the public during a trial, but might not be sufficient to
accommodate all who desire to attend, does not transform the trial into
a closed proceeding. As the United States Court of Appeals for the
Ninth Circuit has explained:
" 'Obviously, the public trial guarantee is not violated if an
individual member of the public cannot gain admittance to a
courtroom because there are no available seats. [The
guarantee will already have been met, for the 'public' will be
present in the form of those persons who did gain admission.
Even the actual presence of the public is not guaranteed.] A
public trial implies only that the court must be open to those
who wish to come, sit in the available seats, conduct
themselves with decorum, and observe the trial process.' "
United States v. Shryock, 342 F.3d 948, 974 (9th Cir. 2003) (quoting
Estes v. Texas, 381 U.S. 532, 588-89 (1965) (Harlan, J., concurring)).
See also United States v. Kobli, 172 F.2d 919, 923 (3d Cir. 1949)
(stating that the right to a public trial does not require a trial court to
hold the trial "in a place large enough to accommodate all those who
desire to attend"); Ingraham, 528 P.3d at 972, 973 (holding that there
was no public-trial violation when, as a result of COVID-19, "public
attendance was limited, but the courtroom was not closed"; "[n]othing in
27
CR-21-0044
either the Idaho or federal constitutions requires a definitive number of
seats be made available in a courtroom"); People v. Kocontes, 86 Cal.
App. 5th 787, 877, 302 Cal. Rptr. 3d 664, 741 (2022) ("Kocontes cites to
no authority, and we found none, that holds decreasing the number of
available public seats amounts to a constitutional closure."); and Bunn
v. Lopez, 740 F. App'x 145, 146 (9th Cir. 2018) (not selected for
publication in the Federal Reporter) (noting that "space limitations" are
"a reality in every courtroom" and holding that the fact that some of the
defendant's supporters had been unable to attend the trial as a result of
the limited seating "did not transform the trial into a closed
proceeding").
"[T]he cases interpreting the right to a public trial … conceive of
an exclusion as an affirmative act specifically barring some or all
members of the public from attending a proceeding." Long v. State, 121
N.E.3d 1085, 1088 (Ind. Ct. App. 2019). See also United States v.
Smadi, 15 F.3d 153, 154 (10th Cir. 1994) ("The denial of a defendant's
Sixth Amendment right to a public trial requires some affirmative act
by the trial court meant to exclude persons from the courtroom."). That
is not what happened at the suppression hearing that occurred in this
28
CR-21-0044
case. Instead, the suppression hearing was open to the public, and,
although the available seating might have been limited, Henderson has
not identified anyone who wanted to attend the hearing and was unable
to do so. Also, although the trial court's order stated that only one seat
would be reserved for Henderson's supporters, nothing in the court's
order prohibited his supporters from occupying the seats that were
available on a "first come, first serve" basis. Thus, the suppression
hearing was not closed in any sense of the word, and, as a result,
Henderson's right to a public trial was not violated during that hearing.
See State v. Cross, 771 N.W.2d 879, 882 (Minn. Ct. App. 2009) (holding
that "it cannot be said that the courtroom was 'closed' to any member of
the public" because "no one who wished to attend … was prevented from
entering the courtroom").
4. Voir Dire
Henderson argues that the trial court violated his right to a public
trial by allegedly closing the courtroom during the first day of voir dire.
The United States Supreme Court has held that the right to a public
trial extends to voir dire. Presley v. Georgia, 558 U.S. 209 (2010).
29
CR-21-0044
On the first day of trial, 130 summonsed citizens appeared for jury
duty. It does not appear that the courtroom was open to the public
during voir dire due to the large venire and to the fact that trial courts
were still contending with COVID-19. (R. 413-14.) Thus, to
accommodate the public, the trial court used Zoom to broadcast the trial
to other rooms in the courthouse, where the public could observe the
trial. Henderson does not argue that broadcasting his trial to a remote
viewing location constituted a courtroom closure for purposes of the
Sixth Amendment. To the contrary, Henderson's appellate counsel
conceded during oral argument before this Court that the Zoom
broadcast was "a proper way to address the social-distancing needs and
the need for public access." (Oral Argument Recording, 15:44-50.)
Henderson contends, though, that the Zoom broadcast "did not begin
until the second day" of voir dire. (Henderson's brief, p. 21.) Thus,
according to Henderson, there was a total closure of the courtroom on
the first day of voir dire.
When a defendant alleges a public-trial violation, "the initial
burden of proof is on the defendant to show that the trial [was] closed to
the public. If the defendant fails to carry that burden, the analysis is
30
CR-21-0044
concluded." Cameron v. State, 490 S.W.3d 57, 69 (Tex. Crim. App.
2014). See also State v. Gomez, 183 Wash. 2d 29, 34, 347 P.3d 876, 879
(2015) ("[T]he appellant … bear[s] the burden of supplying a record that
is sufficient to show that the proceeding in question was actually
closed."). The problem with Henderson's argument, then, is that the
record does not affirmatively indicate that the trial court did not use the
Zoom broadcast on the first day of voir dire, and the allegation of
closure made by Henderson's appellate counsel is not evidence to that
effect. State v. R.C., 195 So. 3d 317, 322 (Ala. Crim. App. 2015). We
also note that the State has not conceded that the trial court did not use
the Zoom broadcast on the first day of voir dire.4
"A silent record, that is a record that on its face contains no
evidence to support the alleged error, does not establish an obvious
error." Iervolino, ___ So. 3d at ___ (emphasis added; citations omitted).
4In its brief, the State argues that "the record lacks any indication
that the trial was completely closed to the public during the first day of
voir dire." (State's brief, p. 21.) Likewise, during oral argument before
this Court, the State argued that, with respect to "whether the
livestream was turned on for the first day of voir dire, there is no
evidence that the court did not do what [it] intended to do" (Oral
Argument Recording, 28:05-12), i.e., use Zoom to broadcast the trial to
other rooms in the courthouse where the public could view the
proceedings.
31
CR-21-0044
Indeed, this Court does not ever ' "presume … facts not shown by th[e]
record and make them a ground for reversal,' " Crow v. State, 195 So. 3d
346, 352 (Ala. Crim. App. 2015) (quoting Carden v. State, 621 So. 2d
342, 346-47 (Ala. Crim. App. 1992)), and we certainly will not rely on
presumed facts as a basis for finding plain error. Thus, because there is
no evidence indicating that the trial court did not use the Zoom
broadcast on the first day of voir dire, there is no basis for concluding
that Henderson's right to a public trial was violated at that time. See
United States v. Titus, 78 F.4th 595, 601-02 (3d Cir. 2023) (rejecting the
defendant's public-trial claim because the record was ambiguous as to
whether the courtroom had in fact been closed during jury selection).
We acknowledge Henderson's attempt to circumvent this lack of
evidence by pointing to the facts that the trial court "was extremely
diligent about noting when the [Zoom broadcast] was turned on and off"
and "spent time explaining the [Zoom broadcast] to the jurors."
(Henderson's reply brief, p. 9.) Henderson then goes on to allege that
"none of this began until the second day of voir dire." (Id.) Thus, during
oral argument before this Court, Henderson's appellate counsel argued
that it is "very clear from the context" that the trial court first used the
32
CR-21-0044
Zoom broadcast on the second day of voir dire. (Oral Argument
Recording, 49:10.)
We give Henderson credit for a creative argument but not a
persuasive one. The facts Henderson cites arguably support an
inference that the trial court did not use the Zoom broadcast on the first
day of voir dire, but it is not an unequivocal inference that necessarily
flows from those facts. In other words, those facts do not lead to the
inescapable conclusion that the trial court did not use the Zoom
broadcast on the first day of voir dire. For an appellate court to find
plain error, though, "the facts that comprise the error [must be]
irrefutable," and the reviewing court must not be required to "choose
between competing inferences to find [the error]." State v. Stacey, 302
Or. App. 470, 478, 459 P.3d 261, 266 (2020) (emphasis added; citations
omitted). Stated differently, "[w]hen review is sought under the plain
error doctrine[,] this Court must be able to discern from the record,
without resort to speculation or equivocal inference, what occurred at
trial." Tompkins v. State, 705 P.2d 836, 843 (Wyo. 1985) (emphasis
added; citation omitted). Here, Henderson's allegation that the trial
court did not use the Zoom broadcast on the first day of voir dire does
33
CR-21-0044
not rest upon facts that necessarily and inevitably lead to that
conclusion, and the State has not conceded that the allegation is true.
Thus, there is not a sufficient factual basis upon which to predicate a
finding of plain error with respect to this claim.
5. Charging Conferences
Henderson argues that the trial court violated his right to a public
trial by closing the courtroom during the charging conferences. Before
conducting the guilt-phase charging conference, the trial court
"exclude[d] everybody who is not a lawyer or a party from the
courtroom" and "mute[d] Zoom as well and stop[ped] the video." (R.
1894, 1899.) The trial court repeated that process before conducting the
penalty-phase charging conference. (R. 2169-70.) In support of its
decision to exclude the public from those conferences, the trial court
stated that it "always handle[s] [the charging conferences] with just the
parties and the lawyers … so that the lawyers can feel a little more free
in terms of what [they] can cover and speak about." (R. 1887.)
Henderson has not cited any authority providing that the right to
a public trial extends to a charging conference, and it does not appear
that the United States Supreme Court, the Alabama Supreme Court, or
34
CR-21-0044
this Court has ever expressly held that it does. Thus, this claim raises
a question of first impression under controlling authority. We also note
that this issue has not been uniformly settled among other jurisdictions,
with some courts holding that the right to a public trial does not extend
to charging conferences -- see, e.g., State v. Koss, 181 Wash. 2d 493, 334
P.3d 1042 (2014); and State v. Miller, 179 Wash. App. 91, 316 P.3d 1143
(2014) -- and some holding that it does -- see, e.g., State v. Pulkrabek,
975 N.W.2d 572 (N.D. 2022).
"In Townes v. State, 253 So. 3d 447 (Ala. Crim. App. 2015),
this Court addressed the propriety of resolving issues of first
impression under plain-error review:
" ' "It is well settled that plain-error review is an
inappropriate mechanism to decide issues of first
impression or to effectuate changes in the law."
Kelley v. State, 246 So. 3d 1032, 1052 (Ala. Crim.
App. 2014). See also United States v. Olano, 507
U.S. 725, 734, 113 S. Ct. 1770, 123 L. Ed. 2d 508
(1993) ("[A] court of appeals cannot correct an
error [under the plain-error doctrine] unless the
error is clear under current law."); United States
v. Madden, 733 F.3d 1314, 1322 (11th Cir. 2013)
("For a plain error to have occurred, the error
must be one that is obvious and is clear under
current law." (citations and quotations omitted));
United States v. Accardi, 669 F.3d 340, 348 (D.C.
Cir. 2012) ("[A] question of first impression ...
would be inappropriate to address under plain
error review."); United States v. Lejarde-Rada,
319 F.3d 1288, 1291 (11th Cir. 2003) ("[T]here
35
CR-21-0044
can be no plain error where there is no precedent
from the Supreme Court or this Court directly
resolving it." (citations omitted)); United States v.
Magluta, 198 F.3d 1265, 1280 (11th Cir. 1999)
("[A] district court's error is not 'plain' or 'obvious'
if there is no precedent directly resolving an
issue."), vacated in part on unrelated grounds,
203 F.3d 1304 (11th Cir. 2000). Whether error
resulted from the prosecutor's comment "is an
issue of first impression and thus not properly
before this Court for plain-error review." Kelley,
246 So. 3d at 1053 (citing Accardi, 669 F.3d at
348).' "
Lane v. State, 327 So. 3d 691, 715-16 (Ala. Crim. App. 2020).
We need not and do not determine at this time whether the right
to a public trial extends to a charging conference. Rather, because we
are reviewing Henderson's public-trial claim for plain error only, it is
sufficient to note that there is no controlling authority that provides a
definitive answer to that question. Thus, it is not "obvious and … clear
under current law" that the closed charging conferences violated
Henderson's right to a public trial, Lane, 327 So. 3d at 715 (citations
omitted), and, as a result, we cannot say that the closed conferences
rose to the level of plain error. See Gallman, 57 F.4th at 129 (holding
that "any error in closing the [trial] to the public did not constitute
reversible plain error because it was not 'clear under current law' that
36
CR-21-0044
the Sixth Amendment public-trial right attached to the closed
proceedings" (quoting United States v. Olano, 507 U.S. 725, 734
(1993))).
Moreover, Henderson argues that, because the charging
conferences were closed to the public, there was not a safeguard in place
to "ensur[e] that [the] judge and prosecutor carr[ied] out their duties
responsibly" and "to guard against the misconduct of participants."
(Henderson's brief, pp. 23-24.) However, Henderson's counsel did not
raise any objections during the charging conferences or make even so
much as a cursory argument in favor of or against any of the trial
court's proposed instructions (R. 1897-1934, 2170-84), and Henderson
has not alleged on appeal that any government misconduct occurred
during those conferences. In other words, there are no "allegations of
government misconduct that required circulation in the fresh air that
accompanies public observation," Reed, 302 Kan. at 243, 352 P.3d at
542, and our own review of the charging conferences has not revealed
even a hint of government misconduct. We also note that, although the
charging conferences were not open to the public, the trial court's
instructions to the jury were open to the public (R. 1990, 2184), which
37
CR-21-0044
allowed for public scrutiny of the law that controlled the jury's
deliberations. Thus, even if the right to a public trial extends to
charging conferences, it is difficult to see (and Henderson does not
explain) how the public's exclusion from the charging conferences in
this case "seriously affected the fairness or integrity of the judicial
proceedings." Iervolino, ___ So. 3d at ___ (citations omitted). For that
reason as well, we cannot say that the closed charging conferences rose
to the level of plain error.
6. Bench Conferences
Henderson argues that the trial court violated his right to a public
trial when it "muted the Zoom feed" during three bench conferences, at
which he made "important arguments regarding [his] right to confront
witnesses against him and right to remain silent." (Henderson's brief,
p. 26.) We note, as we did with respect to the charging conferences, that
it is not clear under controlling authority whether the right to a public
trial extends to bench conferences at which a trial court entertains
objections and makes routine evidentiary rulings. In fact, multiple
courts have held that a trial court is not required to ensure that such
conferences are open to the public. See Darby v. State, [Ms. CR-20-
38
CR-21-0044
0919, March 24, 2023] ___ So. 3d ___, ___ (Ala. Crim. App. 2023)
(McCool, J., concurring specially) (collecting cases from other
jurisdictions that have held that the right to a public trial does not
extend to bench conferences). See also Gallman, 57 F.4th at 126 ("The
public-trial right likely does not extend to sidebars or bench
conferences."); and Richmond Newspapers, Inc. v. Virginia, 448 U.S.
555, 598 n.23 (1980) (Brennan, J., concurring) ("[W]hen engaging in
interchanges at the bench, the trial judge is not required to allow public
or press intrusion upon the huddle."). Regardless, we need not and do
not make that determination at this time because, even if the right to a
public trial does extend to bench conferences, no plain error occurred in
this case.
It is true that the trial court muted the Zoom broadcast during
part or all of three bench conferences that occurred during the guilt
phase of trial. (R. 1590-98, 1623-25, 1868-70.) However, the Zoom
broadcast was not the only avenue the public had for viewing the trial.
Rather, the record indicates that, in addition to the Zoom broadcast, the
courtroom was open to the public, albeit with what appears to have
been somewhat limited seating due to COVID-19, and that members of
39
CR-21-0044
the public were in fact in the courtroom during the guilt phase of trial.
(R. 1449-50, 1482, 1617, 1894.) Thus, although those members of the
public who were viewing the trial remotely were excluded from the
three bench conferences, the public as a whole was not excluded from
them. As the Kentucky Supreme Court has explained: "The
requirement [of a public trial] is fairly observed if ... a reasonable
proportion of the public is suffered to attend." 5 St. Clair v.
Commonwealth, 140 S.W.3d 510, 555 (Ky. 2004) (citations omitted). In
addition, the bench conferences were recorded and transcribed into the
record, which provides further public scrutiny of all that occurred
during the conferences. See State v. Morales, 932 N.W.2d 106, 114
(N.D. 2019) ("Where a bench conference is held in view of … the public
…, despite their inability to hear what is said, the public trial right is
satisfied by prompt availability of a record of those proceedings.").
Therefore, even if the trial court erred by muting the Zoom broadcast
during the three bench conferences, this Court cannot say that the error
5Even if no members of the public were actually present in the
courtroom during the bench conferences, that fact would not give rise to
a public-trial violation. The right to a public trial "implies only that the
court must be open" to the public; "the actual presence of the public is
not guaranteed." Estes v. Texas, 381 U.S. 532, 589 (1965) (Harlan, J.,
concurring).
40
CR-21-0044
was "particularly egregious" or that it "seriously affect[ed] the fairness
or integrity of the judicial proceedings." Iervolino, ___ So. 3d at ___
(citations omitted). Accordingly, no plain error occurred.
7. Public Access to Prospective Jurors' Identities
Henderson argues that the trial court violated his right to a public
trial when it "limited the public's access to information about the
identity of the [prospective] jurors." (Henderson's brief, p. 26.)
Specifically, during voir dire, the trial court ensured that the Zoom
broadcast was not "showing the faces of the [prospective] jurors," and
the court identified the prospective jurors by number, rather than by
name. (Id.) The trial court explained to the prospective jurors that it
would not show their faces on the Zoom broadcast "to protect [their]
confidentiality" and that it would identify them by number, rather than
by name, so that voir dire would be more organized. (R. 690.)
In support of his argument, Henderson cites Press-Enterprise Co.
v. Superior Ct. of California, 464 U.S. 501 (1984). In that case, the trial
court closed voir dire to the public because it was concerned that, if the
proceedings were not closed, the prospective jurors might lack the
candor to reveal potentially sensitive information about themselves.
41
CR-21-0044
The United States Supreme Court acknowledged that there might
circumstances in which there are "legitimate reasons" for ensuring that
prospective jurors' "deeply personal matters" are "ke[pt] out of the
public domain." Id. at 511. The Court held, though, that a trial court
cannot "constitutionally close" voir dire in the interests of juror privacy
without first satisfying what would later come to be known as the
Waller test. Press-Enterprise, 464 U.S. at 511.
Press-Enterprise does not support Henderson's argument.
Although that case clearly provides that voir dire must be open to the
public, absent competing interests that justify closure, nothing in the
Court's opinion provides that the public must be given access to the
prospective jurors' identities while observing voir dire. See Morgan v.
Dickerson, 253 Ariz. 207, 210, 511 P.3d 202, 205 (2022) ("[T]he [United
States] Supreme Court has not addressed whether … public access to
voir dire examinations extends to learning jurors' names."); Perez v.
People, 302 P.3d 222, 226 n.7 (Colo. 2013) ("[T]here is nothing in Press-
Enterprise to suggest that a defendant has a constitutional right to
have prospective jurors' names read into the record."); United States v.
Black, 483 F. Supp. 2d 618, 624 (N.D. Ill. 2007) (noting that Press-
42
CR-21-0044
Enterprise guarantees public access to voir dire but stating that
"whether [there is] a constitutional right to learn the jurors' names" is a
"distinct issue"); State ex rel. Beacon J. Publ'g Co. v. Bond, 98 Ohio St.
3d 146, 155-56, 781 N.E.2d 180, 191-92 (2002) (noting that the United
States Supreme Court has not yet addressed whether the public's "right
of access extends to the list of juror names"); and State v. Johnson, 203
N.E.3d 78, 98 (Ohio Ct. App. 2022) (distinguishing Press-Enterprise in
holding that there was no plain error in the trial court's "use of juror
numbers in place of juror names").
In this case, for all that appears in the record, the public was able
to observe voir dire through the Zoom broadcast.6 The only aspect of
those proceedings that was hidden from the public was the prospective
jurors' identities, but Henderson has not cited any authority providing
that it constituted error, much less plain error, for the trial court to
conduct voir dire in that manner. We also note that the venire list,
which includes the prospective jurors' full names, addresses, birth
dates, races, and genders, is a court exhibit that is available to the
6Henderson continues to allege that the trial court did not use the
Zoom broadcast on the first day of voir dire, but, as we have already
explained, nothing in the record unequivocally supports that allegation.
43
CR-21-0044
public. See State v. Martin, 4 So. 3d 1196, 1202 (Ala. Crim. App. 2008)
("The Alabama Supreme Court [has] noted that exhibits that are
admitted at trial are within the 'public domain' and are subject to
inspection."). Cf. Press-Enterprise, 464 U.S. at 512 (noting that "the
constitutional values sought to be protected by holding open
proceedings may be satisfied later by making a transcript of the closed
proceedings available within a reasonable time"). Thus, we cannot say
that the trial court committed plain error by concealing the prospective
jurors' identities during voir dire proceedings that were open to the
public.
II.
Henderson raises two claims stemming from his conviction for
capital murder under § 13A-5-40(a)(19). We address each of those
claims in turn.
1.
Henderson first argues that the State's evidence was not sufficient
to sustain a conviction under § 13A-5-40(a)(19), which provides, in
relevant part, that a person commits capital murder if he commits
murder "where a court had issued a protective order for the victim,
44
CR-21-0044
against the defendant, pursuant to Section 30-5-1 et seq., [Ala. Code
1975]." Thus, according to Henderson, the trial court should have
granted his motion for a judgment of acquittal on the charge alleging
that he violated § 13A-5-40(a)(19).
It is undisputed that, approximately one week before Kristen's
death, the Madison Circuit Court issued a temporary ex parte
protection order against Henderson and in favor of Kristen, and that
order commanded Henderson to "stay away from" Kristen and her
residence. Henderson argues, though, that the State's evidence was not
sufficient to prove that the protection order was still in effect at the
time of Kristen's death. The State argues in response that it was not
required to prove that the protection order was still in effect at that
time. Instead, the State argues, the plain language of § 13A-5-40(a)(19)
requires only that "a court had issued a protective order for the victim,"
and whether that order was still in effect at the time of the victim's
death is, according to the State, irrelevant. Alternatively, the State
argues that, even if its interpretation of § 13A-5-40(a)(19) is wrong, its
evidence was sufficient to prove that the protection order was still in
effect at the time of Kristen's death.
45
CR-21-0044
This Court has never addressed whether a conviction under § 13A-
5-40(a)(19) requires the State to prove that a previously issued
protection order was still in effect at the time of the victim's death. We
agree, though, with Henderson's interpretation of the statute. " 'As we
have so often said, statutes must be given a reasonable interpretation,
not one that is illogical, incompatible with common sense, or that would
reach an absurd result that could not possibly have been intended by
the Legislature.' " Berry v. State, 299 So. 3d 336, 346 (Ala. Crim. App.
2020) (quoting P.J.B. v. State, 999 So. 2d 581, 587 (Ala. Crim. App.
2008)). To accept the State's interpretation of § 13A-5-40(a)(19) could,
without question, lead to illogical and absurd results that defy common
sense -- for example, a person convicted of violating the statute even
though the protection order supporting the conviction had expired
decades earlier. The Alabama Legislature could not have intended, and
indeed did not intend, such an illogical and absurd result. To the
contrary, the legislature expressly stated that its purpose in enacting §
13A-5-40(a)(19) was "to make it a capital offense for a defendant to
murder a person in violation of a protection order issued on behalf of
the victim against the defendant," which is to say that the order must
46
CR-21-0044
be in effect at the time of the victim's death. Act. No. 2014-432, Ala.
Acts 2014 (emphasis added). Furthermore, the State's interpretation of
§ 13A-5-40(a)(19) flies in the face of two well-settled legal principles: (1)
that criminal statutes must be narrowly interpreted in favor of the
accused, Ex parte Curran, 372 So. 3d 579, 583 (Ala. Crim. App. 2022),
and (2) that capital-murder statutes must serve to narrow, not broaden,
the class of persons eligible for the death penalty, Ex parte Gentry, 689
So. 2d 916, 917 (Ala. 1996).
We thus hold that a conviction for capital murder under § 13A-5-
40(a)(19) requires proof that a court had issued a protection order
against the defendant and in favor of the victim and that the order was
in effect at the time of the victim's death. Having made that
determination, we must next determine whether the State's evidence
was sufficient to prove that element of the offense. In reviewing the
sufficiency of the State's evidence, this Court
" ' "must accept as true all evidence introduced by the State,
accord the State all legitimate inferences therefrom, and
consider all evidence in a light most favorable to the
prosecution." ' Ballenger v. State, 720 So. 2d 1033, 1034
(Ala. Crim. App. 1998) (quoting Faircloth v. State, 471 So. 2d
485, 488 (Ala. Crim. App. 1984), aff'd, 471 So. 2d 493 (Ala.
1985)). ' "The test used in determining the sufficiency of
evidence to sustain a conviction is whether, viewing the
47
CR-21-0044
evidence in the light most favorable to the prosecution, a
rational finder of fact could have found the defendant guilty
beyond a reasonable doubt." ' Nunn v. State, 697 So. 2d 497,
498 (Ala. Crim. App. 1997) (quoting O'Neal v. State, 602 So.
2d 462, 464 (Ala. Crim. App. 1992)). ' "When there is legal
evidence from which the jury could, by fair inference, find
the defendant guilty, the trial court should submit [the case]
to the jury, and, in such a case, this court will not disturb the
trial court's decision." ' Farrior v. State, 728 So. 2d 691, 696
(Ala. Crim. App. 1998) (quoting Ward v. State, 557 So. 2d
848, 850 (Ala. Crim. App. 1990)). 'The role of appellate
courts is not to say what the facts are. Our role ... is to judge
whether the evidence is legally sufficient to allow submission
of an issue for decision [by] the jury.' Ex parte Bankston,
358 So. 2d 1040, 1042 (Ala. 1978)."
Wilson v. State, 142 So. 3d 732, 809 (Ala. Crim. App. 2010).
Section 30-5-6(b), Ala. Code 1975, provides that "[a]ny granted
temporary ex parte protection order shall be effective until the final
hearing date," which must occur "within 10 days of the perfection of
service" on the defendant. § 30-5-6(a), Ala. Code 1975. In this case, the
State's evidence indicated that, on July 29, 2015 -- six days before
Kristen was murdered -- the Madison Circuit Court issued a temporary
ex parte protection order against Henderson and in favor of Kristen and
that the order was served on Henderson the next day. The protection
order also contains a handwritten note that states: "This case is
consolidated w/ DR-15-900602 [(Henderson and Kristen's divorce
48
CR-21-0044
proceedings)], which is set for trial … on August 3, 2015." (C. 741.)
That trial date was, of course, one day before Kristen's death on August
4, 2015.
Relying on the handwritten note, Henderson argues that the final
hearing on the temporary protection order occurred on August 3, 2015 --
the day before Kristen was murdered -- and that, "as such, the ex parte
order expired on that date." (Henderson's brief, p. 38.) Henderson's
appellate counsel also noted during oral argument before this Court
that the record contains an August 3, 2015, text message in which
Henderson stated: "I won my first case today against my ex." (C. 316.)
However, both the handwritten note and the text message are
ambiguous; neither provides clear evidence that the final hearing on the
temporary protection order actually occurred on August 3, 2015.
Indeed, Henderson's text message could have been a reference to some
other aspect of the divorce proceedings, which, according to the
handwritten note, were scheduled for trial on that date. Furthermore,
even if the final hearing did occur on that date, the circuit court had the
option of converting the temporary protection order to a final protection
order that could have remained in effect indefinitely. See § 30-5-7(d)(2),
49
CR-21-0044
Ala. Code 1975. Thus, although the handwritten note and the text
message certainly provided a basis for Henderson to argue to the jury
that the temporary protection order was not in effect at the time of
Kristen's death, they did not render the State's evidence insufficient on
that issue. Stated differently, the handwritten note and the text
message may impact the weight of the evidence concerning the
temporary protection order, but not the sufficiency of that evidence. See
Williams v. State, 10 So. 3d 1083, 1087 (Ala. Crim. App. 2008) (noting
that any apparent " 'inconsistencies and contradictions in the State's
evidence … [go] to the weight of the evidence and [create a question] of
fact to be resolved by the jury' " (quoting Rowell v. State, 647 So. 2d 67,
69-70 (Ala. Crim. App. 1994))).
The evidence in this case indicated that the temporary protection
order was issued and served on Henderson less than 10 days before
Kristen's death. Thus, considered in a light most favorable to the State,
the evidence was sufficient to prove that the protection order was still
in effect at the time of Kristen's death. Accordingly, the trial court did
not err by denying Henderson's motion for a judgment of acquittal on
the charge alleging that he violated § 13A-5-40(a)(19).
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CR-21-0044
2.
Henderson also argues that, without proper proof that he had
been served with the protection order, he could not be convicted of
violating § 13A-5-40(a)(19). Henderson conceded during oral argument
before this Court that the State presented evidence indicating that he
had been served with the protection order, but he challenges the
admissibility of that evidence. Henderson did not raise this claim
below, so we review it for plain error only.
To prove that Henderson had been served with the protection
order, the State presented a copy of the return of service, which
contains a handwritten statement from Deputy Brad Beasley of the
Madison County Sheriff's Office, who wrote on the return that he served
Henderson with the order on July 30, 2015. (C. 742.) However, Deputy
Beasley did not testify at trial, and Henderson argues that the
admission of the return of service therefore violated the Confrontation
Clause of the Sixth Amendment. Thus, according to Henderson, the
only evidence indicating that he had been served with the protection
order was inadmissible. We disagree.
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CR-21-0044
"Only testimonial hearsay implicates the Confrontation Clause."
Brown v. Epps, 686 F.3d 281, 286 (5th Cir. 2012) (emphasis added). See
also Keaton v. State, 375 So. 3d 44, 115 (Ala. Crim. App. 2021) (noting
that the admission of " 'nontestimonial evidence' " does "not violate the
defendant's right to confrontation" (quoting Craft v. State, 90 So. 3d
197, 216 (Ala. Crim. App. 2011))); and United States v. Watson, 525
F.3d 583, 588-89 (7th Cir. 2008) ("The Confrontation Clause does not …
apply to statements that are not testimonial in nature."). Whether the
hearsay statements contained within a document are testimonial in
nature hinges on whether the document was "created solely for an
'evidentiary purpose,' " Bullcoming v. New Mexico, 564 U.S. 647, 664
(2011) (quoting Melendez-Diaz v. Massachusetts, 557 U.S. 305, 311
(2009)), i.e., whether its "primary purpose" was to serve as "an out-of-
court substitute for trial testimony," Michigan v. Bryant, 562 U.S. 344,
358 (2011)), designed "to establish or prove some fact at trial." United
States v. Yeley-Davis, 632 F.3d 673, 680 (10th Cir. 2011). Thus, as a
general rule, "business records are not testimonial for Confrontation
Clause purposes" because such records are usually " 'created for the
administration of an entity's affairs and not for the purpose of
52
CR-21-0044
establishing or proving some fact at trial.' " Craft v. State, 90 So. 3d
197, 215-16 (Ala. Crim. App. 2011) (quoting Melendez-Diaz v.
Massachusetts, 557 U.S. 305, 324 (2009)). See Perkins v. State, 897 So.
2d 457, 464 (Ala. Crim. App. 2011) (noting that business records "bear
the earmark of reliability or probability of trustworthiness," which
"satisfies the core value of the Confrontation Clause").
In this case, the return of service for the protection order was not
created for use as evidence in Henderson's trial; indeed, service was
perfected and documented before Kristen's murder had even occurred.
Rather, the return of service was merely an administrative or
ministerial act that served to ensure that Henderson had received the
notice to which he was statutorily entitled and had thereby been
advised of the conduct prohibited by the protection order. See § 30-5-6;
and Ex parte C.C., [Ms. CL-2023-0368, May 31, 2023] ___ So. 3d ___
(Ala. Civ. App. 2023). In other words, the return of service was simply a
record of the Madison Circuit Court that was created and kept in the
ordinary course of administering protection orders, i.e., a business
record. That conclusion is corroborated by the testimony of Deputy
Joseph Rice of the Madison County Sheriff's Office, who testified that
53
CR-21-0044
the sheriff's deputies routinely serve protection orders and record
service of those orders as part of their official duties. (R. 1752-53.)
Thus, because the return of service was not created for use as evidence
in Henderson's trial, it was not testimonial in nature and therefore was
not subject to the Confrontation Clause. Accordingly, the trial court did
not err, and certainly did not commit plain error, by admitting the
return of service into evidence without the testimony of the sheriff's
deputy who served the protection order. See Keaton, 375 So. 3d at 115
(holding that court records that had been created before the defendant
committed her crimes were not testimonial in nature because they
"were prepared in the ordinary course of business for the purpose of
administering the affairs of law enforcement …, not for the purpose of
proving some fact at [the defendant's] trial").
Of course, the return of service for the protection order was
ultimately used as evidence in Henderson's trial, but that fact does not
mean the document was testimonial evidence that was subject to the
Confrontation Clause. As the Colorado Supreme Court explained when
addressing the same issue:
"Here, the 'statement' at issue is the return of service
for the protection order. The return of service includes a
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CR-21-0044
signed affidavit by the person who completed service, as well
as the time and date of service. This document was offered
into evidence at Garcia's trial to prove that he had received
notice of the protection order and had therefore violated it by
remaining in the apartment. It was admitted even though
the individual who served the order didn't testify; meaning,
Garcia could not cross-examine him about the order served
or the service itself.
"On appeal, the district court concluded that the return
of service was testimonial because proof of service is a
necessary element of the crime of violation of a protection
order. It reasoned that the return of service document 'is
testimonial hearsay because it was generated in anticipation
of criminal prosecution to provide proof necessary for
conviction of the alleged criminal behavior to which it avers.'
"But we must consider what the primary purpose of a
return of service document is at the time it is made, not
when it is used at trial.
"According to statute, once a court has issued a
temporary protection order,
"[a] copy of the complaint, a copy of the
temporary civil protection order, and a copy of the
citation must be served upon the respondent ....
The citation must inform the respondent that, if
the respondent fails to appear in court in
accordance with the terms of the citation, a bench
warrant may be issued for the arrest of the
respondent, and the temporary protection order
previously entered by the court made permanent
without further notice or service upon the
respondent.
"§ 13-14-104.5(9), C.R.S. (2020). Thus, service of these
documents provides notice to the respondent of the upcoming
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CR-21-0044
hearing and confers jurisdiction over the respondent to the
court.
"Moreover, when the return of service is completed, no
crime related to the order served has yet occurred. See
People v. Espinoza, 195 P.3d 1122, 1126-27 (Colo. App. 2008)
('The documents were not created in response to an
interrogation or a request from the prosecution regarding
criminal conduct but were created before defendant engaged
in the conduct for which he was charged.'). Nor is there any
objective expectation that a crime -- violation of the
protection order -- necessarily will occur. The primary
purpose of the return of service is, therefore, administrative
and not prosecutorial.
"The fact that it may subsequently be used to prove an
element of the crime of violation of a protective order does
not transform the return of service into a testimonial
statement. See id.; Logan v. Commonwealth, 72 Va. App.
309, 845 S.E.2d 228, 234 (2020) ('[A] record of service of
process [is not] "evidence against" anyone as the framers
understood the Confrontation Clause's mandate. Simply
because the return of service might be relevant in a future
prosecution does not make it testimonial.')."
People v. Garcia, 479 P.3d 905, 908-09 (Colo. 2021) (emphasis added;
some internal citations omitted). Other states are in accord. See
Gaines v. State, 999 N.E.2d 999, 1004-05 (Ind. Ct. App. 2013) ("The
primary purpose of the return of service is administrative -- ensuring
that the defendant received notice of the protective order. Although the
return of service may be used later in a criminal prosecution, the return
of service was not created solely for use in a pending or future criminal
56
CR-21-0044
prosecution. As such, we conclude that the return of service was not
testimonial, and its admission did not violate [the defendant's] rights
under the Confrontation Clause." (internal citation omitted)); Logan v.
Commonwealth, 72 Va. App. 309, 322-23, 845 S.E.2d 228, 234-35 (2020)
("[T]he return of service was created and filed with the court to serve
purely administrative and statutory purposes, and would have been
created regardless of whether Logan ever subsequently violated the
order or made material misrepresentations about its existence on
unrelated forms. … Although the return of service certainly could be
relevant in a later criminal prosecution …, the fact remains that the
primary purpose of the return of service at the time of its creation was
not in contemplation of future prosecution, but rather an administrative
and purely ministerial duty imposed by a civil statute."); State v.
Copeland, 353 Or. 816, 848, 306 P.3d 610, 628 (2013) ("[T]he [United
States Supreme] Court has not held, nor otherwise indicated, that a
document primarily created for an administrative purpose could be
rendered testimonial merely by the possibility that it might be used in a
later criminal prosecution."); State v. Shivers, 230 Ariz. 91, 95, 280 P.3d
635, 639 (2012) ("Although the possibility existed the [return of service]
57
CR-21-0044
could be used in a later prosecution if Shivers violated the [protection
order], the [return] remains non-testimonial because its purpose at the
time of creation was not prosecutorial."); and Commonwealth v.
Shangkuan, 78 Mass. App. Ct. 827, 834, 943 N.E.2d 466, 472-73 (2011)
("It is true that a return of service might be used in a later criminal
prosecution to furnish proof that the defendant was on notice of the
abuse prevention order entered against him. … [H]owever, a return of
service is not created solely for use in a pending criminal prosecution.
For this reason, it is not testimonial for purposes of the confrontation
clause." (footnotes and internal citation omitted)).
We agree with the Colorado Supreme Court and those like-minded
courts we have cited. The fact that a return of service for a protection
order might be used in a future prosecution, or even is used in a future
prosecution, does not mean that the document is testimonial evidence
that is subject to the Confrontation Clause. Rather, with respect to
documents, the dispositive factor for purposes of the Confrontation
Clause is the primary purpose for which the document was created,
Bryant, 562 U.S. at 358, and, as we have already explained, a return of
service for a protection order is nothing more than an administrative or
58
CR-21-0044
ministerial act that, at the time it is created, merely serves to ensure
that the defendant was made aware of the prohibited conduct and
received the due process to which he was entitled. The defendant's
decision to later violate the protection order does not unilaterally
transform the return of service into testimonial evidence that is subject
to the Confrontation Clause.
III.
Henderson argues that the trial court erred by admitting the
videos recorded by the two surveillance cameras that Keith had
installed on the Smallwood house a few days before Kristen was
murdered. We begin our analysis of this claim by explaining why we
have reviewed it for plain error only.
Before trial, Henderson filed a motion in limine seeking to exclude
the surveillance-camera videos from evidence, arguing that the State
could not authenticate the videos under the test established in Voudrie
v. State, 387 So. 2d 248 (Ala. Crim. App. 1980). In October 2020, the
trial court held an evidentiary hearing at which the State attempted to
authenticate the videos through the testimony of Keith; his wife,
Brittany Smallwood ("Brittany"); and Inv. Jason McMinn of the
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Madison County Sheriff's Office. Following that hearing, the trial court
denied Henderson's motion, but the court made clear that it was "not
relieving [the State] of [its] obligation to lay the necessary foundation at
trial" and that the hearing had essentially served to "giv[e] everybody a
peek as to what we are anticipating potentially seeing at trial." (R. 291-
92.)
Henderson's trial began in June 2021, approximately eight
months after the hearing on his motion in limine. Before the parties
gave their opening statements, the following colloquy occurred:
"THE COURT: … Anything we need to take up from
the State?
"[THE STATE]: Judge, if I could just -- for clarification
and for logistics of calling witnesses, we had the pretrial
hearings specifically on the surveillance videos, the Voudrie
hearing, and you denied [Henderson's] motion in limine and
indicated that the Voudrie standard had been met, so we
plan on not calling all the foundation witnesses we called in
the pretrial hearing because that's part of the record
already. We would just be using Keith Smallwood to identify
and play those, but we didn't want to get into a situation an
hour and a half from now where we are in disagreement as
to the court's -- our understanding of the court's order in that
matter.
"THE COURT: Anything from the defense on that?
"[DEFENSE COUNSEL]: Was that, in fact, your order,
Judge? I can't even remember all the orders we've gotten.
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CR-21-0044
"THE COURT: I would have to go back. I don't have
my binder in here. … I'll pull up and look exactly at what
my order provided.
"….
"THE COURT: I found it. My order entered on
November 13, 2020, Paragraph Number 2: 'The motion in
limine filed by [Henderson] with regards to the surveillance
video clips recorded … at the location of the offense is hereby
denied. The State presented witnesses and exhibits
sufficient to meet the admissibility threshold set out within
the applicable caselaw.' But I do have a recollection that it
wasn't just a blanket admission. Quite frankly, as I sit here
and I think about -- was it Inv. McMinn who testified?
"[THE STATE]: Judge, there were actually several. We
had Keith testify about installing the system; we had
Brittany Smallwood testify about how the alert system
works in the emails and how she set up that side it; and then
we had Inv. McMinn testify about the technological side of it.
We're still going to have some minimal testimony for the
jury to understand how the system works, but as far as
laying the foundation, it kind of changes the order that we
have to call witnesses and do things. For today's purposes,
we were going to have Keith Smallwood testify about
numerous things, one of which was the installation of the
system and his recognition of those video clips, having seen
them before, and they haven't been altered or amended.
"THE COURT: I think Inv. McMinn is still going to
have to testify as to that particular system and the
reliability of it, period.
"[THE STATE]: Yes, sir, understood."
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(R. 1443-46.) At trial, the State once again attempted to authenticate
the surveillance-camera videos through the testimony of Keith,
Brittany, and Inv. McMinn. Following their testimony, the State
proffered the videos for admission, and Henderson's counsel stated:
"There is no objection to that." (R. 1572.)
Generally, " ' "an adverse ruling on a motion in limine does not
preserve the issue for appellate review unless an objection is made at
the time the evidence is introduced." ' " Lane, 327 So. 3d at 713 (quoting
Saunders v. State, 10 So. 3d 53, 87 (Ala. Crim. App. 2007), quoting in
turn Moody v. State, 888 So. 2d 532, 582 (Ala. Crim. App. 2003)). An
exception to this general rule exists, however, when " ' "the trial court's
ruling on the motion in limine is absolute or unconditional." ' " Lane,
327 So. 3d at 713 (quoting Saunders v. State, 10 So. 3d 53, 87 (Ala.
Crim. App. 2007), quoting in turn Perry v. Brakefield, 534 So. 2d 602,
606 (Ala. 1988)).
In this case, Henderson received an adverse ruling on his motion
in limine regarding the surveillance-camera videos, but the trial court's
ruling was not absolute or unconditional. To the contrary, the trial
court clearly stated at the hearing on that motion that it was "not
62
CR-21-0044
relieving [the State] of [its] obligation to lay the necessary foundation at
trial." Then, shortly before the opening statements, the trial court
reminded the parties that it had not provided a "blanket admission" of
the videos at the pretrial hearing that had occurred eight months
earlier and that the State would be required to authenticate the videos
before they would be admitted at trial. Thus, Henderson could preserve
this issue for appellate review only by objecting to the videos when the
State proffered them for admission at trial, which he failed to do.
Accordingly, because Henderson did not properly preserve this claim for
appellate review, we review it for plain error only. See Lane, 327 So. 3d
at 713 (holding that the trial court's ruling on a pretrial motion in
limine did not preserve the issue for appellate review because the court
had informed the parties that the State would be required to "lay the
proper predicate" at trial, and the defendant did not object when the
evidence was proffered for admission).
There are two avenues by which a video can be authenticated for
admission into evidence: the pictorial-communication theory and the
silent-witness theory. Ex parte Fuller, 620 So. 2d 675, 678 (Ala. 1993).
"Under the pictorial-communication theory, a video recording may be
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CR-21-0044
authenticated by a person who has ' "sufficient personal knowledge of
the scene or events pictured" ' and testifies that the recording
' "accurately and reliably represents the actual scene or sounds." ' " J.S.
v. State, 376 So. 3d 566, 577 (Ala. Crim. App. 2022) (quoting McCray v.
State, 88 So. 3d 1, 62 (Ala. Crim. App. 2010), quoting in turn Ex parte
Fuller, 620 So. 2d at 678). In other words, the pictorial-communication
theory requires testimony from " 'a qualified and competent witness
[who] can testify that the … recording … accurately and reliably
represents what the witness sensed at the time in question.' " Harrison
v. State, [Ms. CR-21-0423, Aug. 18, 2023] ___ So. 3d ___, ___ (Ala. Crim.
App. 2023) (quoting Ex parte Fuller, 620 So. 2d at 678). Without such a
witness, the proponent of the video must proceed under the silent-
witness theory, which requires the proponent to satisfy the Voudrie test
as a means of demonstrating that " 'the process or mechanism by which
the [video] [was] made ensures reliability and trustworthiness.' "
Harrison, ___ So. 3d at ___ (quoting Ex parte Fuller, 620 So. 2d at 678).
"Rewritten to have more general application, the Voudrie
standard requires:
" '(1) a showing that the device or process or
mechanism that produced the item being offered
as evidence was capable of recording what a
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CR-21-0044
witness would have seen or heard had a witness
been present at the scene or event recorded,
" '(2) a showing that the operator of the device or
process or mechanism was competent,
" '(3) establishment of the authenticity and
correctness of the resulting recording,
photograph, videotape, etc.,
" '(4) a showing that no changes, additions, or
deletions have been made,
" '(5) a showing of the manner in which the
recording, photograph, videotape, etc., was
preserved,
" '(6) identification of the speakers, or persons
pictured, and
" '(7) for criminal cases only, a showing that any
statement made in the recording, tape, etc., was
voluntarily made without any kind of coercion or
improper inducement.' "
Harrison, ___ So. 3d at ___ (quoting Ex parte Fuller, 620 So. 2d at 678).
In this case, the State attempted to authenticate the surveillance-
camera videos under the silent-witness theory through the testimony of
Keith, Brittany, and Inv. McMinn.7 Keith testified that, on July 30,
7We note that, because Carlson appears on the relevant videos,
she likely could have authenticated the surveillance-camera videos
under the pictorial-communication theory. See Harrison, ___ So. 3d at
___ (noting that "the pictorial-communication theory applies when a
65
CR-21-0044
2015, he purchased an Arlo brand security system, which included two
surveillance cameras, and that the security system "c[a]me with an
instruction booklet, so [he] followed that, how to set it up, how to install
it -- or attach it to the home as well as connect it so it would be a live
system." (R. 1512.) Keith also testified that the cameras were
"connect[ed] … to an Internet line, … and the … video … is transferred
to the cloud; it's a cloud-based system." (R. 1509.) According to Inv.
McMinn, "cloud-based systems … are not recording to a hard drive; they
are recording to a remote server, or the cloud, where it is collected
wirelessly." (R. 1531.) The security cameras did not record
continuously but, instead, were triggered by motion, and Keith testified
that "notifications could be set up via email" so that he and other
occupants of the Smallwood house would be alerted when one of the
cameras began recording. (R. 1509.) Although Keith installed the
cameras, it was Brittany who "set up the email notifications, the
electronic side of it, the cloud side of things, made sure all of that was
witness who observed what is depicted on the video is available to
testify at trial and can testify that the video accurately reflects what the
witness observed"). However, the State chose to proceed under the
silent-witness theory, so we analyze this claim under that standard.
66
CR-21-0044
done correctly." (R. 1517.) Regarding the functioning of the cameras,
Keith testified as follows:
"Q. So … were you able to determine if this system
appeared to be working as you would expect it to, according
to the instructions?
"A. We did. We did check and made sure that it was
showing myself, for example, on the camera as a test. Then
also, it did pick up motion. If a vehicle drove past the home,
it would pick that up as well. We were receiving
notifications for all those types of things.
"….
"Q. Did it appear to be doing what it was supposed to
be doing?
"A. Yes, ma'am, it did.
"Q. Did you ever have any reason to believe, between, I
guess, July 31 and August 4, that it had stopped working?
"A. No, not at all. It was working fine. Notifications
were being received each day.
"Q. Do you know who all had access to the setup side of
it, like who could grant user access, who could delete, things
like that? Do you know who that would be?
"A. My wife Brittany.
"Q. Is Brittany the only person that had access to
download and delete videos and things like that?
"A. Yes. To my knowledge, that is correct.
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CR-21-0044
"Q. Did you ever have anything to do with that, using
Brittany's password or anything like that? Did you ever
delete or add anything?
"A. I did not.
"….
"Q. To your knowledge, were some of those cloud-based
videos still available … to download from the cloud [after the
fire]?
"A. They were available. They were able to be seen as
they normally would any other time.
"Q. Specifically around the surrounding timeframe of
these events, did you have occasion to view the video clips
that were captured by the system?
"A. I did, yes, ma'am.
"Q. Do you know who all assisted law enforcement in
getting those clips downloaded?
"A. … As far as getting and retrieving the actual video
surveillance, my wife is the only one that I know of that
actually had hands-on assistance with that."
(R. 1517-20.) Keith also testified that he had had an opportunity to
review the surveillance-camera videos before trial and that he had not
seen "any additions, deletions, [or] alterations to any video from what
[he] had originally seen back when it happened." (R. 1572.)
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Brittany testified as follows regarding her role in providing law
enforcement with the videos stored in "the cloud":
"Q. Subsequent to the events, or immediately following
the event of August 4, 2015, … did you assist law
enforcement in accessing the surveillance videos … via the
email system and the alerts?
"A. Yes.
"Q. Tell us how you did that. Tell us what your part in
that was.
"A. On-site, I pulled up my phone to show them the
emails that were received so that they could see the videos.
"….
"Q. Upon review of those emails, did you also review
the actual surveillance videos that are related to those
notifications ?
"A. Yes.
"Q. To your understanding, is there an email for each
video clip?
"A. Yes.
"….
"Q. Is there a time stamp on the emails as far as when
they are received …?
"A. Yes.
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"Q. Have you had a chance, in the past, to review the
email date/time stamp and the video date/time stamps in
this case?
"A. Yes.
"Q. Are they consistent within about a minute?
"A. Yes.
"Q. So a video comes in, the alert goes out, the email is
about a minute behind?
"A. Yes.
"Q. You have the administrative access, right? You
helped set this up?
"A. Yes.
"Q. Have you ever altered, amended, or tampered with
any of the videos on this system, ever?
"A. I have not.
"Q. Specifically as to the dozen or so videos we're
talking about here today, did you ever delete, access, add, do
anything other than just simply print the emails and help
law enforcement … mak[e] sure they got downloaded?
"A. I did not."
(R. 1565-68.)
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Inv. McMinn testified that he was "very familiar" with Arlo
security systems (R. 1532), and he testified as to how those systems
function:
"Q. With regards to the Arlo System and some of the
other wireless systems, talk to us about how those systems
work in detecting when to take video, how they upload and
things like that, how that works.
"A. Most of the cameras of that type … are motion-
activated; they are not continuously on. If they were, the
battery wouldn't last a day. But they are tripped by infrared
signal which trips the motion activation, and you will get
from when motion is activated on the camera to whenever
they set for the duration of the clip to last, which you can set
it for different cameras, different durations, or you can set it
for different preferences on there for how it's saved, when it's
saved, the sensitivity of the system, and such like that.
"Q. Is it your understanding that those type systems --
I'm just going to throw out an example. If it detected motion
right now, it might be preset by the factory to record for 10
seconds and then stop?
"A. Yes, that's quite possible.
"Q. On some of those systems, can you change that?
Can you tell it, 'I would like to record it for 30 seconds and
stop'?
"A. Yes, on most of them you can.
"Q. You talked about sensitivity. So if I had a camera
right here and it's pointing that direction, could the user,
now especially, tell it not to detect anything out too much
further than about 50 feet out?
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"A. You can set the intensity of the signal, and it will
either detect or not detect certain forms of motion.
"Q. Once the camera is triggered, for lack of a better
term, and starts to record, what does the camera do with the
data its recording and how does that go somewhere?
"A. That's wirelessly transferred to the router that
would be in the house. Especially with the Arlo System, it
would be a router system that's hooked into the Internet,
and that video would be transferred, through that node or
router, to the cloud.
"….
"Q. Tell us what you think of when I say the term
'buffering,' things like that.
"A. Buffering would be time for it to catch up. … It's
trying to catch up with what it's trying to do, or it's actually
building up, trying to store or throw data to that.
"….
"Q. Back six years ago, if an Arlo captured a video,
would it be your understanding that the buffering took a
little longer back then because of Internet speeds or camera
speeds?
"A. Internet speeds, but also the activation in the
signal. Any disruption with that signal through any media
would disrupt the timing of that signal. It wouldn't be an
instant trip. So you may get somebody that comes into view
and trips the camera, but the camera doesn't start recording
and the data is not captured until they are halfway through
the frame.
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"Q. Say it's set for 20 seconds, just by the factory, to
record 20 seconds. Once it gets to the end of that 20 seconds
of recording, is there any kind of buffering that it takes
before it gets where it's going in the cloud?
"A. After that 20-second interval, it will end the video.
It may have a delay or a buffer tripping, but when it says,
'Okay, it's tripped at this,' 20 seconds later, it's going to shut
that video. But it may be something depending on what they
had set in their preferences. They may say, 'Hey, take it" --
if there is motion still active, they may take it past that.
"Q. Let me ask a different way. Once the system has
captured a video and it's at the end of its pre-determined
time to video, especially on the older systems like in 2015,
what is your understanding of that camera's ability to
immediately record another video clip?
"A. It may have a delay in motion. With most clips,
there may be a preset delay, 'Do not record another clip until
there is another motion for five seconds,' something like
that. It's all in the preference. You can set it any way you
want to, depending on where the camera is. But you may
have a preference in there, 'Do not record another clip for
another 30 seconds until it's motion activated. Do not' -- it's
all in the preferences for that Arlo. ….
"Q. So maybe if you have it pointed at your street, and
there is a dog walker that comes into frame, it records for 10
seconds, and then you've told it, 'Don't record for another 30
seconds because I don't want to watch this person walk their
dog up the street'?
"A. Right. ….
"Q. So it is possible, especially with the older Arlo
system, that someone could have been within range of a
video camera on an Arlo system, but it not have recorded
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that person because of the settings or because of the
buffering or because of something like that?
"A. It's quite possible they walked in the frame, tripped
it, and walked out of the frame before the camera -- you
know, you're talking -- it depends on how close it is to the --
if you're dealing with something that's a close camera, it's a
possibility that somebody or something would come in the
frame, activate the camera, and they could walk out of the
frame before the camera is even on and transmitting.
"….
"Q. … [D]id you have occasion to review Arlo footage
and help download Arlo footage from a surveillance camera
at [the Smallwood house]?
"A. Yes, ma'am.
"Q. Do you recall how that came to you and how you
came to be involved in handling that surveillance video?
"A. I was asked to respond to a residence. The
password and the instruction manual was given to me with
information on how and when they were wanting the video
downloaded from. We actually downloaded the video there
at the Crime Scene Lab at the office.
"Q. During that download, did you have any technical
issues, any glitches? Did you appear to lose any of the video
recorded as you were trying to download or anything like
that?
"A. No, ma'am. They were downloaded straight from
Arlo's website.
"Q. Did you review those video clips?
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CR-21-0044
"A. Yes, ma'am.
"Q. Did they appear to be consistent with the Arlo
systems that you were familiar with operating correctly?
"A. Yes, ma'am.
"Q. Did you have occasion to review their -- what's
called a creation date of the file that existed?
"A. Yes, ma'am.
"Q. Were those dates consistent with the date of the
events at [the Smallwood house] on August 4, 2015?
"A. Yes, ma'am."8
(R. 1532-38.)
In Harrison, supra, this Court stated:
"Rule 901(a), Ala. R. Evid., provides that '[t]he
requirement of authentication or identification as a condition
precedent to admissibility is satisfied by evidence sufficient
to support a finding that the matter in question is what its
proponent claims.' The authentication requirement is a
relatively low threshold to meet. '[A]ll that is required under
Rule 901' is that the proponent of the evidence make 'a
prima facie showing that the [evidence] … is likely
authentic'; the proof of authenticity 'does not [have to]
establish beyond a shadow of a doubt the authenticity of the
8In his brief to this Court, Henderson focuses almost exclusively
on the testimony the State presented at the hearing on his motion in
limine. However, because the trial court required the State to
authenticate the surveillance-camera videos at trial, the proper focus is
on the testimony the State presented at that time, which is the
testimony we have cited.
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[evidence]' and ' "does not have to be conclusive or
overwhelming." ' Royal Ins. Co. of America v. Crowne Inv.,
Inc., 903 So. 2d 802, 809 (Ala. 2004) (quoting the Advisory
Committee's Notes to Rule 901). See also United States v.
McDaniel, 433 F. App'x 701, 704 (10th Cir. 2011) ('We have
repeatedly instructed that Rule 901[, Fed. R. Evid.,] sets a
low bar for admissibility.')."
Harrison, ___ So. 3d at ___.
In short, the testimony from Keith, Brittany, and Inv. McMinn
indicated that the surveillance cameras were triggered to record by
motion, that the cameras were recording properly at the time they were
installed, that the cameras continued to record properly until they were
destroyed by the fire, that the videos the cameras recorded were stored
in "the cloud," that Brittany was the only person who had access to the
videos stored in "the cloud," that Brittany had not altered the videos
stored there, that Brittany provided law enforcement with access to the
videos stored in "the cloud" shortly after the fire, and that the videos
law enforcement officers watched shortly after the fire were the same
videos the State proffered at trial. That testimony was more than
adequate to satisfy the low threshold of demonstrating that the
surveillance-camera videos were "what [the State] claim[ed]" they were,
Rule 901, Ala. R. Evid., i.e., videos recorded by the surveillance cameras
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CR-21-0044
installed on the Smallwood house, and that the videos were "likely
authentic," i.e., that they had been reliably recorded and preserved
without any "changes, additions, or deletions." Harrison, ___ So. 3d at
___ (citations omitted). Thus, the State properly authenticated the
surveillance-camera videos under the Voudrie test. Compare Horton v.
State, 217 So. 3d 27, 63 (Ala. Crim. App. 2016) (holding that the State
had failed to satisfy the Voudrie test because there was "no testimony
that the surveillance camera … was working properly and that it was
capable of accurately recording at the time the video was made"
(emphasis added)); and Spradley v. State, 128 So. 3d 774, 782 (Ala.
Crim. App. 2011) (holding that the State had failed to satisfy the
Voudrie test because the record was "totally devoid of any of the
[Voudrie] requirements" (emphasis added)).
We acknowledge Henderson's argument that the surveillance-
camera videos did not record properly because, he says, there are
unexplained "critical gaps in the videos." (Henderson's brief, p. 16.) For
example, Henderson notes that, although the cameras were triggered to
record by motion, in some videos "a vehicle appears on the property
without any video showing how it arrived"; that "at least one [video]
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CR-21-0044
cuts off when there is obviously ongoing motion"; that, in one video, "a
white male is shown exiting the house, who the prosecution claimed
was Henderson, but no [video] shows him entering"; and that another
video shows Carlson approaching the house but that no video "show[s]
her driving up to the home and parking or getting out of her car." (Id.
at 14-17.) However, Inv. McMinn provided an explanation for why the
cameras, even when working properly, might have stopped recording
during "ongoing motion" and might not have recorded every motion that
occurred on the property. Thus, any "gaps" in the videos went to the
weight to be afforded the videos, not their admissibility. See Capote v.
State, 323 So. 3d 104, 134 (Ala. Crim. App. 2020) (noting that a video is
not rendered inadmissible simply because it " 'does not show a
continuity of action' " (quoting UAW-CIO v. Russell, 264 Ala. 456, 470,
88 So. 2d 175, 186 (1956))).
The admissibility of evidence is left to the sound discretion of the
trial court. Floyd v. State, 289 So. 3d 337, 395 (Ala. Crim. App. 2017).
Here, the State presented evidence sufficient to establish that the
surveillance-camera videos were authentic, and "[t]he ultimate
determination of the authenticity of the … videos was a question for the
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jury." Harrison, ___ So. 3d at ___. Thus, the trial court committed no
error, much less plain error, in admitting those videos.
IV.
Henderson argues that the trial court erred by admitting into
evidence the autopsy reports, which were admitted over his objection.
According to Henderson, the admission of the autopsy reports violated
the Confrontation Clause of the Sixth Amendment because Dr.
Kathleen Enstice, who conducted the autopsies, did not testify at trial. 9
This Court previously rejected this same claim in Thompson v. State,
153 So. 3d 84, 128, 129 (Ala. Crim. App. 2012), holding that "it [is] not a
violation of the Confrontation Clause to admit an autopsy report
without the medical examiner's testimony" because "autopsy reports are
nontestimonial in nature." Thus, the trial court did not err by
admitting the autopsy reports.
Moreover,
" 'violations of the Confrontation Clause are subject to
harmless-error analysis.' Smith v. State, 898 So. 2d 907, 917
(Ala. Crim. App. 2004). … '[B]efore a federal constitutional
error can be held harmless, the [reviewing] court must be
able to declare a belief that it was harmless beyond a
reasonable doubt.' Ex parte Baker, 906 So. 2d 277, 287 (Ala.
9Dr. Enstice was deceased by the time of trial.
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CR-21-0044
2004) (quoting Chapman v. California, 386 U.S. 18, 24, 87 S.
Ct. 824, 17 L. Ed. 2d 705 (1967)). ' " 'The question is whether
there is a reasonable probability that the evidence
complained of might have contributed to the conviction.' " '
James [v. State], 723 So. 2d 776, 781 [(Ala. Crim. App.
1998)] (quoting Chapman, 386 U.S. at 23, 87 S. Ct. 824,
quoting in turn Fahy v. Connecticut, 375 U.S. 85, 86-87, 84
S. Ct. 229, 11 L. Ed. 2d 171 (1963)). In determining whether
such an error is harmless, this Court must look at 'the
importance of the [evidence] in the prosecution's case,
whether the [evidence] was cumulative, the presence or
absence of … corroborating or contradicting [evidence] on
material points, the extent of cross-examination otherwise
permitted, and, of course, the overall strength of the
prosecution's case.' Delaware v. Van Arsdall, 475 U.S. 673,
684, 106 S. Ct. 1431, 89 L. Ed. 2d 674 (1986)."
Floyd, 289 So. 3d at 406-07.
In this case, the autopsy reports were not of particular importance
to the State's case because the causes of the victims' deaths were not in
dispute. In fact, when making his objection to the autopsy reports,
Henderson's counsel expressly stated that Henderson was not disputing
the victims' causes of death. (R. 1597.) See Ex parte Baker, 473 So. 2d
1130, 1131 (Ala. 1985) ("[W]e find that the admission of [the autopsy]
report without cross-examination of the doctor who prepared it was
harmless error. The cause of death was not disputed."); and Thompson,
153 So. 3d at 129 (noting that "there was no dispute that the officers
and the dispatcher were shot to death" and that, as a result, "even if it
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CR-21-0044
was error to admit the autopsy reports, that error was harmless beyond
a reasonable doubt").
In addition, Dr. Dunton, who was subject to cross-examination,
testified as to the causes of the victims' deaths. And, although Dr.
Dunton referred to the causes of deaths set forth in Dr. Enstice's
autopsy reports, he did not merely recite her conclusions. Instead, Dr.
Dunton testified that he had conducted an "in-depth review" of "the
entire file," including the autopsy photographs (R. 1622), and he
provided his own expert opinions regarding the causes of death based
on his personal review of the file. (R. 1635-36, 1647-48, 1663.) Thus,
Dr. Dunton's testimony was cumulative to the information contained in
the autopsy reports. See Gobble v. State, 104 So. 3d 920, 959 (Ala.
Crim. App. 2010) (" 'The erroneous admission of evidence that is merely
cumulative is harmless error.' " (quoting Dawson v. State, 675 So. 2d
897, 900 (Ala. Crim. App. 1995))); and Ex parte Phillips, 287 So. 3d
1179, 1209 (Ala. 2018) (holding that any Confrontation Clause violation
that had occurred was rendered harmless by cumulative evidence).
Finally, there was overwhelming evidence of Henderson's guilt,
including Carlson's testimony; a surveillance-camera video that shows
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him fleeing the Smallwood house shortly before it was engulfed in
flames; his Internet searches for topics such as "how to break a house
window," "how to use a lockpick gun," and "what happens when a
person is shot"; and his own statement to Inv. Nash that he "[did not]
believe [he] could live with what [he had] done." See Taylor v. State,
695 So. 2d 250 (Ala. Crim. App. 1996) (holding that any Confrontation
Clause violation that had occurred was rendered harmless by the
overwhelming evidence of the defendant's guilt).
Based on the foregoing, there is not a reasonable probability that
the admission of the autopsy reports contributed to the jury's verdicts.
Thus, any error in admitting those reports was harmless error that does
not entitle Henderson to relief. See Floyd, 289 So. 3d at 407-08 (holding
that any Confrontation Clause violation that had occurred was
harmless because the allegedly inadmissible evidence was not critical to
the State's case, was cumulative to other evidence, and there was
overwhelming evidence of the defendant's guilt).
V.
Henderson argues that the trial court committed multiple errors
during its jury instructions. (Henderson's brief -- Issues V, VI, XX, and
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XXI.) Henderson raised no objections to the trial court's jury
instructions, so we review these claims for plain error only. This Court
has thoroughly considered the arguments Henderson has raised in
support of these claims, the authorities he has cited, and the applicable
parts of the record. Having done so, we are convinced that no plain
error occurred during the trial court's jury instructions, and we do not
find it necessary to provide analyses for all of these claims. We have,
however, chosen to provide analyses for Henderson's claims that the
trial court should have instructed the jury on certain lesser-included
offenses and should have instructed the jury that an accomplice's
testimony must be corroborated by other evidence.
1. Lesser-Included Offenses
Henderson argues that the trial court should have instructed the
jury on two lesser-included offenses: felony murder and, with respect to
the offenses against Loryn, reckless manslaughter. In reviewing these
claims, we are guided by the following well-settled principles:
" ' "A person accused of the greater offense has a right
to have the court charge on lesser included offenses when
there is a reasonable theory from the evidence supporting
those lesser included offenses." MacEwan v. State, 701 So.
2d 66, 69 (Ala. Crim. App. 1997). An accused has the right
to have the jury charged on " 'any material hypothesis which
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the evidence in his favor tends to establish.' " Ex parte
Stork, 475 So. 2d 623, 624 (Ala. 1985). "[E]very accused is
entitled to have charges given, which would not be
misleading, which correctly state the law of his case, and
which are supported by any evidence, however[ ] weak,
insufficient, or doubtful in credibility," Ex parte Chavers,
361 So. 2d 1106, 1107 (Ala. 1978), "even if the evidence
supporting the charge is offered by the State." Ex parte
Myers, 699 So. 2d 1285, 1290-91 (Ala. 1997), cert. denied,
522 U.S. 1054, 118 S. Ct. 706, 139 L. Ed. 2d 648 (1998).
However, "[t]he court shall not charge the jury with respect
to an included offense unless there is a rational basis for a
verdict convicting the defendant of the included offense." §
13A-1-9(b), Ala. Code 1975. "The basis of a charge on a
lesser-included offense must be derived from the evidence
presented at trial and cannot be based on speculation or
conjecture." Broadnax v. State, 825 So. 2d 134, 200 (Ala.
Crim. App. 2000), aff'd, 825 So. 2d 233 (Ala. 2001), cert.
denied, 536 U.S. 964, 122 S. Ct. 2675, 153 L. Ed. 2d 847
(2002). " 'A court may properly refuse to charge on a lesser
included offense only when (1) it is clear to the judicial mind
that there is no evidence tending to bring the offense within
the definition of the lesser offense, or (2) the requested
charge would have a tendency to mislead or confuse the
jury.' " Williams v. State, 675 So. 2d 537, 540-41 (Ala. Crim.
App. 1996), quoting Anderson v. State, 507 So. 2d 580, 582
(Ala. Crim. App. 1987).' "
Morton v. State, 154 So. 3d 1065, 1081-82 (Ala. Crim. App. 2013)
(quoting Clark v. State, 896 So. 2d 584, 641 (Ala. Crim. App. 2003)).
A. Felony Murder
Henderson argues that the evidence supported an instruction on
felony murder as a lesser-included offense of capital murder. Unlike
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capital murder, a conviction for felony murder does not require proof of
the intent to kill. Peoples v. State, 951 So. 2d 755, 758 (Ala. Crim. App.
2006). Instead, to find Henderson guilty of felony murder, the jury
would have to find that he had the intent to commit one of several
enumerated felonies or "any other felony clearly dangerous to human
life," § 13A-6-2(a)(3), Ala. Code 1975, and that, during the course of
committing or attempting to commit the felony or in the immediate
flight therefrom, he or Carlson caused the death of any person. Shirley
v. State, 324 So. 3d 447, 451 (Ala. Crim. App. 2020).
Henderson's felony-murder theory is that the jury could have
found that he did not have the intent to kill, but did have the "intent to
commit burglary," and that, while he was in the process of committing
burglary, it was Carlson who committed the murders. (Henderson's
brief, p. 43.) In support of that argument, Henderson contends that
there were ample reasons for the jury to find that Carlson's testimony
was not credible and that, aside from her testimony, "there was no
direct evidence regarding [his] intent or what occurred inside the
Smallwood house, leaving real questions as to who committed the
murders." (Id.)
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" ' " ' "The purpose of the felony-murder doctrine is to hold felons
accountable for unintended deaths caused by their dangerous
conduct." ' " ' " Whatley v. State, 146 So. 3d 437, 470 (Ala. Crim. App.
2010) (quoting Hall v. State, 820 So. 2d 113, 139 (Ala. Crim. App. 1999),
quoting in turn Dobyne v. State, 672 So. 2d 1319, 1345 (Ala. Crim. App.
1994), quoting in turn White v. State, 587 So. 2d 1218, 1231 (Ala. Crim.
App. 1990), quoting in turn W. LaFave and A. Scott, 2 Substantive
Criminal Law § 7.5 at 210 (1986)). Thus, "[w]here the evidence will
support a charge on the offense of capital murder, a charge on the
lesser-included offense of felony murder is warranted only if a
reasonable theory of the evidence indicates that the murder may not
have been intentional." Thompson, 153 So. 3d at 156 (holding that the
trial court did not commit plain error by not instructing the jury on
felony murder as a lesser-included offense of capital murder because
"there was no reasonable theory of the evidence that indicated that the
murders were not intentional").
In this case, the evidence overwhelmingly indicated that, whether
committed by Henderson or Carlson, the murders were intentional.
Both Carlson's testimony and the autopsy reports indicated that the
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murders were intentional, and there was abundant evidence of
Henderson's intent to kill the victims, including not only Carlson's
testimony but also his Internet search history and his statement to Inv.
Nash that he "[did not] believe [he] could live with what [he had] done."
Thus, "there was no reasonable theory of the evidence that indicated
that the murders were not intentional." Thompson, 153 So. 3d at 156.
Indeed, Henderson does not contend that the murders were
unintentional, only that Carlson was the one who committed them.
And, even if the jury believed that Carlson committed the intentional
murders, Henderson would still be guilty of capital murder under a
complicity theory, see § 13A-2-23, Ala. Code 1975, because there was
evidence indicating that he had the intent to kill the victims and that
he promoted or assisted Carlson in the commission of the crimes. 10 See
Hubbard v. State, 324 So. 3d 855 (Ala. Crim. App. 2019) (affirming
capital-murder conviction under complicity theory because there was
10We note that the prosecutor argued to the jury that Henderson
would still be guilty of capital murder under a complicity theory if the
jury believed that Carlson committed the murders (R. 1977-78), and the
trial court instructed the jury on complicity. (R. 2046.)
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CR-21-0044
evidence indicating that the defendant had the intent to kill and that he
had promoted or assisted the commission of the murder).
We recognize that, in Heard v. State, 999 So. 2d 992 (Ala. 2007),
the Alabama Supreme Court indicated that there could be situations in
which a felony-murder conviction is based on an intentional killing,
although the Court was not addressing the propriety of a felony-murder
instruction in that case. However, even if a felony-murder conviction
may stem from an intentional killing, Henderson still was not entitled
to an instruction on that offense.
Henderson's felony-murder theory hinges on his contention that
he lacked the intent to kill but that he was committing burglary when
Carlson intentionally committed the murders. First-degree burglary is
one of the offenses that will support a felony-murder conviction, see §
13A-6-2(a)(3), but, to find Henderson guilty of felony murder instead of
capital murder, the jury would have to find, among other elements, that
he unlawfully entered the Smallwood house and that he did so with the
intent to commit a crime -- other than murder -- while inside the house.
See § 13A-7-5, Ala. Code 1975. The problem with Henderson's theory,
then, is that there is no evidence indicating that he entered the house
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with the intent to commit any crime other than intentional murder.
The only evidence Henderson cites in support of his burglary theory is
Carlson's testimony that, while he was inside the house, he attempted
to locate some "paperwork … he needed … for [his daughter's] school
and money that he … had saved up." (R. 1777.) However, although it
was a crime for Henderson to enter the Smallwood house, it was not a
crime to retrieve his own property from the house, which is to say that,
under Henderson's theory, he unlawfully entered the house but did not
do so with the intent to commit a crime therein. Thus, under
Henderson's theory of the evidence, he was not committing burglary
when Carlson committed the murders but, instead, was committing
first-degree criminal trespassing, which is a misdemeanor. See § 13A-7-
2, Ala. Code 1975 (providing that "[a] person is guilty of criminal
trespass in the first degree if he knowingly enters or remains
unlawfully in a dwelling" and that the crime is a Class A misdemeanor).
In short, the evidence in this case overwhelmingly indicated that
Henderson and Carlson unlawfully entered the Smallwood house with
the specific intent to kill the victims therein and that one or both of
them did in fact intentionally kill the victims. The evidence therefore
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supported Henderson's convictions for capital murder, either as a
principal or as an accomplice. Furthermore, even if the jury accepted
Henderson's theory of the evidence, he would not be guilty of felony
murder because, under his theory, he was committing a misdemeanor
when Carlson committed the murders. Thus, there was not a rational
basis in the evidence for finding that Henderson was guilty of felony
murder. Indeed, Henderson's trial counsel conceded that he "[could
not], in good conscience, think of any" lesser-included offenses that
would apply based on the evidence that had been presented. (R. 1898.)
Accordingly, the trial court did not err, and certainly did not commit
plain error, by not instructing the jury on felony murder as a lesser-
included offense of capital murder.
B. Reckless Manslaughter
Henderson argues that the evidence supported an instruction on
reckless manslaughter as a lesser-included offense of the capital-
murder charges involving Loryn. In support of that argument,
Henderson points to Carlson's testimony that the couple originally
intended to "keep [Loryn]" and "raise [her]" themselves and Dr.
Dunton's testimony that Loryn's wounds could have occurred "at the
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same time that the abdominal wound to Kristen [occurred]." (R. 1665.)
Thus, Henderson argues, the evidence supported a reasonable theory
that he recklessly, not intentionally, killed Loryn while murdering
Kristen.
Dr. Dunton did testify that it was possible that Loryn's wounds
could have occurred when Kristen's abdominal wound occurred,
although he could not be certain that the wounds occurred
simultaneously. However, the mere fact that Kristen's and Loryn's
wounds might have occurred simultaneously does not mean that
Loryn's wounds were unintentional, as Henderson could have inflicted
the wound to Kristen's abdomen with the intent to kill both her and
Loryn. Thus, any finding by the jury that Henderson recklessly caused
Loryn's death would have been purely speculative, and an instruction
on a lesser-included offense cannot be based on speculation or
conjecture. Morton, 154 So. 3d at 1082. Plus, there was evidence
indicating that Henderson did intentionally kill Loryn. Specifically,
Carlson testified that she had told Henderson before they committed
the crimes that she "didn't want to be a mom again," and she further
testified that Henderson had said to her, while in flight from the crime
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scene, that he had "decided that he didn't want the baby," which
indicates that he intentionally killed Loryn.
Furthermore, the doctrine of transferred intent applies to capital-
murder charges that involve the intentional killing of a pregnant
mother in which the unborn child is also killed. Thus, even if
Henderson did not, as a matter of fact, intend to kill Loryn, his intent to
kill Kristen transferred to Loryn as a matter of law. See Ex parte
Phillips, 287 So. 3d at 1190 (holding that a transferred-intent
instruction was not improper in a case where the defendant was
convicted of capital murder for intentionally killing two people, one of
whom was the unborn child of the pregnant mother he killed;
" '[a]lthough Phillips correctly contends that "Alabama law is clear that
in order to be guilty of capital murder, a defendant ha[s] to have the
specific intent to kill" (Phillips's brief, p. 24), Phillips incorrectly argues
that "Alabama law requires a defendant to have the specific intent to
kill each victim" ' " (quoting Phillips v. State, 287 So. 3d 1063, 1129 (Ala.
Crim. App. 2015))). See also Graham v. State, 299 So. 3d 273, 326 n.19
(Ala. Crim. App. 2019) ("The Supreme Court clearly found [in Ex parte
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Phillips] that the doctrine of transferred intent may be applicable in
certain capital-murder cases.").
For the foregoing reasons, there was not a rational basis in the
evidence for finding that Henderson recklessly caused Loryn's death.
Instead, such a finding would have been purely speculative and would
have conflicted with evidence indicating that Henderson intentionally
killed all five victims. We also reiterate that Henderson's trial counsel
reached the same conclusion, conceding that he "[could not], in good
conscience, think of any" lesser-included offenses that would apply
based on the evidence that had been presented. Thus, the trial court
did not err, and certainly did not commit plain error, by not instructing
the jury on that offense as a lesser-included offense of the capital-
murder charges involving Loryn.
2.
Henderson argues that the trial court erred by failing to instruct
the jury that an accomplice's testimony must be corroborated by other
evidence. Section 12-21-22, Ala. Code 1975, provides that "[a]
conviction of felony cannot be had on the testimony of an accomplice
unless corroborated by other evidence tending to connect the defendant
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with the commission of the offense." Thus, when a defendant's
accomplice testifies against him, the trial court must instruct the jury
that the accomplice's testimony must be corroborated by other evidence
that tends to connect the defendant to the crime. See Burton v. State,
651 So. 2d 641, 653 (Ala. Crim. App. 1993) (holding that the trial court
"should have instructed the jury concerning the need for corroborative
evidence of [the accomplice's] testimony").
Henderson correctly notes that the trial court did not instruct the
jury that Carlson's testimony had to be corroborated by other evidence
that tended to connect him to the murders. The trial court's failure to
give that instruction was error. However, "[w]e apply the harmless-
error rule in capital cases when the circuit court fails to instruct the
jury that an accomplice's testimony must be corroborated," Young v.
State, 375 So. 3d 813, 867 (Ala. Crim. App. 2021), and such error " ' "is
harmless when the testimony of an accomplice has in fact been
corroborated." ' " Johnson v. State, 120 So. 3d 1130, 1173 (Ala. Crim.
App. 2009) (quoting Burton, 651 So. 2d at 654, quoting in turn Gurley v.
State, 639 So. 2d 557, 561 (Ala. Crim. App. 1993)).
"The test for whether evidence sufficiently corroborates
an accomplice's testimony ' "consists of eliminating the
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testimony given by the accomplice and examining the
remaining evidence to determine if there is sufficient
incriminating evidence tending to connect the defendant
with the commission of the offense." ' Ex parte Bullock, 770
So. 2d 1062, 1067 (Ala. 2000) (quoting Andrews v. State, 370
So. 2d 320, 321 (Ala. Crim. App. 1979)). We have said,
though, that 'when the testimony of the accomplice is
subtracted, the remaining testimony does not have to be
sufficient by itself to convict the accused.' Johnson v. State,
820 So. 2d 842, 869 (Ala. Crim. App. 2000)."
Young, 375 So. 3d at 865. Rather, the corroborating evidence " ' "need
only be slight to suffice" ' " and is sufficient if it is " ' "of substantive
character, … inconsistent with the innocence of [the] defendant[,] and
do[es] more than raise a suspicion of guilt." ' " Id. (quoting McGowan v.
State, 990 So. 2d 931, 987 (Ala. Crim. App. 2003), quoting in turn
Arthur v. State, 711 So. 2d 1031, 1059 (Ala. Crim. App. 1996) (other
citations omitted)).
In this case, Carlson's testimony was amply corroborated by other
evidence that tended to connect Henderson to the murders, including
the surveillance-camera videos, which show Henderson and Carlson
fleeing the crime scene together; Henderson's Internet search history,
which indicates that he planned to commit the murders; and, most
notably, Henderson's own statement to Inv. Nash that he "[did not]
believe [he] could live with what [he had] done." "[S]ufficient
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corroboration of an accomplice's testimony ' "may be furnished by a tacit
admission by the accused, by the suspicious conduct of the accused, and
the association of the accused with the accomplice, or by the defendant's
proximity and opportunity to commit the crime." ' " Young, 375 So. 3d at
865 (quoting Arthur v. State, 711 So. 2d 1031, 1056 (Ala. Crim. App.
1996), quoting in turn Jacks v. State, 364 So. 2d 397, 405 (Ala. Crim.
App. 1978)). Thus, even when Carlson's testimony is excluded, the
State's evidence tended to connect Henderson to the murders.
Therefore, the trial court committed only harmless error when it failed
to instruct the jury that Carlson's testimony had to be corroborated by
other evidence.
VI.
Henderson argues that the State violated Batson v. Kentucky, 476
U.S. 79 (1986), by using its peremptory strikes in a racially
discriminatory manner. Henderson did not raise a Batson claim at
trial, even when the trial court expressly asked the parties if there were
any Batson issues they wished to raise (R. 1428-29), so any review of
this claim would be for plain error only.
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However, for more than a decade now, this Court and several
Justices on the Alabama Supreme Court have questioned the propriety
of allowing a defendant to rely on plain-error review as an avenue for
raising a Batson claim for the first time on appeal. See, e.g., Keaton,
supra; Lane, supra; Ex parte Phillips, supra (Stuart, C.J., concurring
specially, joined by Main and Wise, JJ.); White v. State, 179 So. 3d 170
(Ala. Crim. App. 2013); and Ex parte Floyd, 190 So. 3d 972 (Ala. 2012)
(Murdock, J., concurring in the result, joined by Malone, C.J., and
Bolin, J.). To date, though, a majority of the Alabama Supreme Court
has yet to hold that Batson claims may be excluded from this Court's
plain-error review. Thus, this Court has continued to review such
claims, even when raised for the first time on appeal, because, until
recently, plain-error review was mandatory under Rule 45A.
Now, however, Rule 45A provides that plain-error review is
discretionary, which means that this Court is not required to consider
any claims that were not properly preserved at trial, even in cases in
which the death penalty has been imposed. As we noted earlier in this
opinion, this Court has decided that it will continue to conduct plain-
error review in such cases, but we believe the time has come -- and,
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with the amendment to Rule 45A, believe we now have the opportunity
-- to specifically exclude Batson claims from plain-error review. We
need not delve into the multiple reasons why a defendant should not be
able to raise a Batson claim for the first time on appeal; those reasons
can be reviewed in the cases cited in the preceding paragraph. Briefly,
though, Justice Murdock perhaps explained it best when he stated that
"the most fundamental reason … for the proposition that plain-error
review not be available to initiate a Batson inquiry on appeal, is the fact
that the failure of the trial court to initiate a Batson inquiry simply is
not an 'error,' plain or otherwise, by the trial court." Ex parte Floyd,
190 So. 3d at 982 (Murdock, J., concurring in the result). Rather,
"[t]he decision whether to take advantage of the right to
generate evidence for consideration by the trial court
pursuant to the Batson procedure is a decision for the
defendant, not for the trial court. It is a voluntary decision
as to whether to invoke a procedural device that has been
made available to defendants in the trial context. … Not
requesting it may be a strategic 'mistake' by defense counsel,
but counsel's mistake is not the trial court's 'error.' "
Id. at 983 (some emphasis omitted).
We now hold that, in an exercise of our discretion, this Court will
no longer review Batson claims under our plain-error standard when
those claims are raised for the first time on appeal. Instead, for a
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defendant to obtain appellate review of a Batson claim before this
Court, even in a death-penalty case, he must raise the claim in the trial
court, thereby giving that court the first opportunity to consider the
claim and to issue a ruling that may be challenged as erroneous on
appeal. Thus, because Henderson did not raise a Batson claim at trial,
we will not consider his Batson claim on appeal.
VII.
Henderson argues that the prosecutor made seven improper
statements during voir dire, the guilt-phase opening statement, and the
guilt-phase closing argument. (Henderson's brief, pp. 85-89.)
Henderson did not object to six of the allegedly improper statements, so
we review those statements for plain error only. We first address,
though, the statement to which Henderson did object.
During the guilt-phase closing argument, the prosecutor argued
that the evidence included "a video on [Henderson's] cell phone of
himself shooting the murder weapon a week and a half before the
murders." (R. 1962.) Henderson's counsel objected, arguing that "there
is no evidence that [Henderson] was shooting the murder weapon." (Id.)
The prosecutor argued in response that the argument was "a fair
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inference from the evidence," and the trial court overruled Henderson's
objection and allowed the prosecutor to continue. (Id.)
It is well settled that, "[d]uring closing argument, the prosecutor,
as well as defense counsel, has a right to present his impressions from
the evidence, if reasonable, and may argue every legitimate inference."
Ex parte Loggins, 771 So. 2d 1093, 1101 (Ala. 2000) (citations omitted).
"Whether an inference is reasonable is generally within the sound
discretion of the trial judge." Id. (citations omitted). In this case, there
was no direct evidence indicating that the gun Henderson was shooting
in the cellular-telephone video was the murder weapon. However, the
evidence indicated that Henderson purchased a .22 caliber Ruger brand
handgun that he planned to use to commit the murders, and the
cellular-telephone video shows him shooting a .22 caliber Ruger brand
handgun. (R. 1742.) Thus, it was certainly reasonable for the
prosecutor to infer that the gun Henderson was shooting in the cellular-
telephone video was the murder weapon. Accordingly, the trial court
did not exceed its discretion by allowing the prosecutor to make that
argument.
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We now turn to the six statements to which Henderson did not
object. This Court has thoroughly considered the arguments Henderson
has raised in support of those claims, the authorities he has cited, and
the applicable parts of the record. Having done so, we are convinced
that the challenged statements did not rise to the level of plain error,
and, with one exception, we do not find it necessary to provide analyses
for those claims. The one claim that we will briefly address is that the
prosecutor improperly injected the issue of punishment into the guilt
phase of trial.
At the end of the guilt-phase opening statement, the prosecutor
told the jury that the evidence would support convictions for 15 counts
of capital murder and that the convictions would bring peace for the
victims' family and the community. The prosecutor then concluded the
opening statement as follows:
"But we're not stopping at asking for peace, to be
honest with you. We are asking to go the next step, the
whole reason for all the questionnaires, the whole reason for
the individual questions that we asked some of you all next
door. We're asking you to take that next step. After you've
reached the correct verdict and given the peace of a guilty
verdict on all counts, we're asking for more. We're asking for
the proper punishment, and in that, we are asking you, after
you have weighed any of the [penalty]-phase evidence as
you're supposed to, that you come back with a vote for death.
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That's what we're asking; that's what we will be asking for,
and that's what we request for you at the end of this very,
very lonely road."
(R. 1477-78.)
" '[P]unishment is "an improper consideration at the guilt phase of
[a capital] trial." ' " Brooks v. State, 973 So. 2d 380, 397 (Ala. Crim. App.
2007) (quoting McNair v. State, 653 So. 2d 320, 338 (Ala. Crim. App.
1992), quoting in turn Berard v. State, 486 So. 2d 476, 479 (Ala. 1985)).
Thus, the prosecutor should not have told the jury during the guilt
phase of trial that, assuming a conviction in that phase, the State would
be asking the jury to "come back with a vote of death" in the penalty
phase of trial.
However, the jury was already well aware from the extensive voir
dire that the State would be seeking the death penalty if Henderson
was convicted, and the trial court instructed the jury, just before
releasing it to begin its guilt-phase deliberations, that it was "not to
concern [itself] with any possible punishment at [that] point." (R. 2053.)
The trial court also repeatedly instructed the jury that its task during
the guilt-phase deliberations was to determine whether the State had
proven Henderson's guilt beyond a reasonable doubt. "[W]e presume
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the jury followed the trial court's instructions" and focused its guilt-
phase deliberations solely on whether the State's evidence had
established Henderson's guilt. Bohannon v. State, [Ms. CR-21-0148,
Aug. 18, 2023] ___ So. 3d ___, ___ (Ala. Crim. App. 2023). We therefore
conclude that, although it was improper, the prosecutor's reference to
punishment during the guilt-phase opening statement did not "seriously
affect the fairness or integrity of the judicial proceedings," "seriously
affect [Henderson's] 'substantial rights,' " or "substantially prejudice"
him. Iervolino, ___ So. 3d at ___ (citations omitted). Thus, no plain
error occurred. See McGowan v. State, 990 So. 2d 931, 974 (Ala. Crim.
App. 2003) (holding that the prosecutor's reference to punishment
during the guilt phase was "probably inappropriate and irrelevant" but
did not rise to the level of plain error).
VIII.
Henderson argues that the prosecutor "improperly commented on
[his] silence" during both the guilt and penalty phases of trial.
(Henderson's brief, p. 79.) Henderson objected to the prosecutor's guilt-
phase comment but did not receive an adverse ruling (R. 1868-69), and
he did not object to the prosecutor's penalty-phase comments. (R. 2193,
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2206-07.) Thus, Henderson failed to preserve these claims for appellate
review, and, as a result, we have reviewed them for plain error only.
See Mitchell v. State, 913 So. 2d 501, 505 (Ala. Crim. App. 2005) ("To
preserve an issue for appellate review, the issue must be timely raised
and specifically presented to the trial court and an adverse ruling
obtained." (emphasis omitted)).
" 'The Fifth Amendment [to the United States Constitution]
guarantees an accused the right to remain silent during his criminal
trial and prevents the prosecution [from] commenting on the silence of a
defendant who asserts the right.' " Reynolds v. State, 114 So. 3d 61, 136
(Ala. Crim. App. 2011) (quoting Jenkins v. Anderson, 447 U.S. 231, 235
(1980)). Alabama law provides a criminal defendant with the same
protection. See Art. I, § 6, Ala. Const.; and § 12-21-220, Ala. Code 1975.
The rule that a prosecutor may not comment on a defendant's silence
extends to the penalty phase of trial. Mitchell v. United States, 526
U.S. 314 (1999); Ex parte Loggins, supra.
"A challenged comment of a prosecutor made during … arguments
must be viewed in the context of the evidence presented in the case and
the entire … arguments made to the jury -- both defense counsel's and
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the prosecutor's." Ex parte Brooks, 695 So. 2d 184, 189 (Ala. 1997).
The prosecutor's comment is improper if, viewing it in that context, the
comment
" 'was (1) manifestly intended to be a comment on the
defendant's failure to testify or (2) of such character that the
jury would have naturally and necessarily taken it to be a
comment on the defendant's failure to testify[.]
" ' " 'The question is not whether the jury
possibly or even probably would view the remark
in this manner, but whether the jury necessarily
would have done so.' [United States v. Swindall,
971 F.2d 1531, 1552 (11th Cir. 1992), cert. denied,
510 U.S. 1040, 114 S. Ct. 683, 126 L. Ed. 2d 650
… (1994) (citations omitted) (emphasis in
Swindall).] 'The defendant bears the burden of
establishing the existence of one of the two
criteria.' [United States v. Muscatell, 42 F.3d
627, 632 (11th Cir.), cert. denied, 515 U.S. 1162,
115 S. Ct. 2617, 132 L. Ed. 2d 859 … (1995).] The
comment must be examined in context, in order
to evaluate the prosecutor's motive and to discern
the impact of the statement. [Id.]"
" '[United States v. Knowles,] 66 F.3d [1146,] 1163 [(11th Cir.
1995)].' "
Smith v. State, 797 So. 2d 503, 541 (Ala. Crim. App. 2000) (quoting
Thomas v. State, 824 So. 2d 1, 22-23 (Ala. Crim. App. 1999)). With
these principles in mind, we turn to Henderson's claims that the
prosecutor commented on his silence.
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1. Guilt-Phase Comment
During the guilt phase of trial, Inv. Nash testified regarding his
interrogations of Henderson and Carlson, and the following colloquy
occurred during that part of his testimony:
"Q. Who did you interview first?
"A. I interviewed Carlson first.
"….
"Q. After speaking with Carlson in the interview, what
did you do next?
"A. After Carlson, I brought in Henderson and advised
him of his Miranda rights.
"….
"Q. Did he elect to speak to you at that time?
"[DEFENSE COUNSEL]: Your Honor, I
object. That's irrelevant.
"THE COURT: Objection as to relevance.
"[THE STATE]: Well, Inv. Nash eventually
does speak to him, but I'm clarifying that at that
time he chose not to speak to Investigator Nash.
"[DEFENSE COUNSEL]: It's still doing
indirectly -- may I approach?
"THE COURT: Sure.
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"(BENCH CONFERENCE)
"….
"[DEFENSE COUNSEL]: Your Honor, I'm
just going to object. It's my understanding that
[Henderson's] post-arrest silence cannot be made
inquiry of under any circumstances, his
invocation of right to counsel. It's just a right. It
can't be commented on at all.
"[THE STATE]: But he makes a statement
to [Inv. Nash] during booking --
"[DEFENSE COUNSEL]: I'm sorry?
"[THE STATE]: A statement. I just wanted
to clarify that at some point [Inv. Nash] had
advised him of his Miranda, and he chose not to
speak until he got to booking. I can try to
rephrase it somehow.
"[DEFENSE COUNSEL]: Try to without it
appearing like he's exercising his right to remain
silent.
"[ASSISTANT DEFENSE COUNSEL]: I
think we need a curative instruction that they
need to disregard that.
"[THE STATE]: That's fine. As far as the
language, I can ask him if he ever spoke to him;
how about that?
"[DEFENSE COUNSEL]: Okay.
"(CONCLUSION)
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"THE COURT: Ladies and gentlemen, at
this time I'm going to give you a limiting
instruction. I gave you one earlier and explained
that at certain times I can give you instructions
in terms of how certain evidence can or cannot be
considered. With regards to the prior question
from [the prosecutor], in terms of the
communication or lack thereof between Inv. Nash
and Henderson at that time, you will disregard
that and not consider that during your ultimate
decision in this case. It is not to be considered as
any evidence of guilt by you. Go ahead.
Rephrase.
"[THE STATE]: Thank you, Your Honor.
"….
"(DIRECT EXAMINATION RESUMED)
"Q. Let me ask it this way, Inv. Nash: At some point
that evening, did Henderson speak to you?
"A. Yes.
"Q. Tell me about those circumstances.
"A. Both Carlson and Henderson were taken over to --
well, they were advised they were under arrest, taken over
to the Madison County jail for booking. While in the booking
area, Henderson looked at me and said, 'Can I talk to you?' I
said, 'Sure.' He said words to the effect of, 'Off the record,
I'm glad you caught me when you did because I don't believe
I could live with what I've done.' "
(R. 1868-70.)
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According to Henderson, the prosecutor's question to Inv. Nash --
whether Henderson had "elect[ed] to speak" after being advised of his
Miranda rights -- was an impermissible comment on his post-arrest
silence. We question whether the prosecutor's question actually
amounted to a comment on Henderson's post-arrest silence because the
question was never answered. However, even if the question was in
and of itself improper, the trial court immediately instructed the jury
that it was to disregard the question and that the "communication or
lack thereof between Inv. Nash and Henderson" could not be construed
as evidence of Henderson's guilt. "[W]e presume the jury followed the
trial court's instructions," Bohannon, ___ So. 3d at ___, and a direct
comment on the defendant's silence is not reversible error if the trial
court promptly cures the comment. Smith, 797 So. 2d at 540. Thus, we
cannot say that the prosecutor's question rose to the level of plain
error. 11
11We note that, following defense counsel's objection, the
prosecutor told the trial court that he was attempting to "clarify[ ] that
at that time [Henderson] chose not to speak to Inv. Nash." Henderson
does not argue that that statement was improper and in fact has not
even acknowledged it, but we note that the statement would amount to
a comment on Henderson's post-arrest silence if the jury heard it.
However, it is not clear whether the jury heard that statement, and
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2. Penalty-Phase Comments
During the initial closing argument at the penalty phase of trial,
the prosecutor made the following argument in reference to the
testimony of Kathryn Lippert, who had testified for the defense as a
"mitigation specialist" (R. 2141):
"You … heard [Lippert] say … that she's probably met
with [Henderson] 10 or 15 times, maybe, throughout her
dealing with him. She never mentioned remorse. In any of
those conversations, in any of her research about him, never
once, until I just mentioned it, has the word 'remorse' come
out."
(R. 2193.)
Henderson argues that this part of the prosecutor's closing
argument "plainly encouraged the jury and the [trial] court to consider
the fact that [he] had remained silent." (Henderson's brief, p. 80.) We
disagree. "This Court has held that 'remorse is ... a proper subject of
closing arguments,' " Thompson, 153 So. 3d at 175 (quoting Ex parte
Loggins, 771 So. 2d at 1101), and we do not believe the jury would have
"naturally and necessarily taken [the prosecutor's argument] to be a
Henderson does not contend that it did. Furthermore, even if the jury
heard that statement, the trial court's instruction sufficiently cured any
improper comment on Henderson's post-arrest silence.
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CR-21-0044
comment on" Henderson's decision not to testify. Smith, 797 So. 2d at
541 (citation omitted). Instead, taken in context, the jury would have
understood the prosecutor's argument to be nothing more than a
comment on the fact that Lippert had not testified that she had
observed any signs of remorse during her meetings with Henderson, i.e.,
a comment on the evidence (or lack of evidence), which was proper.
Thus, we find no error, much less plain error, in this part of the
prosecutor's argument. See Knight v. State, 300 So. 3d 76, 120 (Ala.
Crim. App. 2018) (holding that the prosecutor did not make "a direct or
even indirect comment on [the defendant's] failure to testify" when he
suggested that the defendant had not shown any remorse during a
mental-competency evaluation); Jones v. State, 273 Ga. 231, 234, 539
S.E.2d 154, 159 (2000) (holding that it did not "amount to an improper
reference to a defendant's failure to testify" when the prosecutor
"pointed out that none [of the defendant's mitigation witnesses] had
mentioned any expression of remorse"), reversed on other grounds by
State v. Lane, 308 Ga. 10, 838 S.E.2d 808 (2020); and Prieto v.
Commonwealth, 283 Va. 149, 177-78, 721 S.E.2d 484, 501 (2012)
(holding that the prosecutor's statement that he had "waited in vain to
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CR-21-0044
hear an ounce of remorse leak out anywhere" "was not 'a comment on
[the defendant's] failure to testify,' but rather a comment on the
evidence that had been presented").
Henderson also argues that the prosecutor commented on his
silence during the rebuttal closing argument at the penalty phase of
trial. To provide some context to the prosecutor's rebuttal, we first note
that Henderson's counsel argued during closing argument that it would
be fundamentally unfair for Henderson to be sentenced to death when
the State had promised Carlson a sentence of life imprisonment without
the possibility of parole. Specifically, Henderson's counsel argued:
"[W]e're dealing with a situation where two people, equally
responsible, by the State's own admission -- remember, in for
a penny, in for a pound, complicity, you're responsible for the
behavior for another -- [Henderson] was for her behavior and
[Carlson] was and is for the behavior of [Henderson].
"This is where the notion of what I call fundamental
fairness comes to my mind; this is it. One lives, one dies for
the same thing, for two people equally involved. My friends,
what is the perverse and amoral calculus that goes into
making that decision? Explain it to me. [The prosecutor
said:] 'We didn't need [Carlson].' Why give her a deal? But
if she got a deal, isn't it fair for two people equally involved?
I don't understand. I can't wrap my head around that notion
that [the prosecutor] now ask[s] you to sentence this man to
die while [Carlson] lives. I don't get it. I guess maybe it's
not for me to get. But I know one dog-gone thing, it's not
fair. It's never fair."
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(R. 2203-04.)
In rebuttal, the prosecutor argued:
"Do you want to talk about fairness in this case? Fairness,
what's fair? They have made this case about [Carlson], and
they spent all of mitigation talking about how awful life
[imprisonment] without [the possibility of parole] is; it's
terrible. Well, that's what [Carlson] got. What they are
saying is so awful, [Carlson] got it.
"But when you're talking about fairness, weighing
fairness and her deal, does carrying the gas can and being
the helper weigh the same as plunging a knife into a 67-
year-old grandmother's eye? That's the same? Performing
surgery in a nasty, dirty, greasy garage floor doing a
makeshift C-section? It's the same? It's unfair? What's
fair? [Carlson] got what's coming to her, but this ain't about
[Carlson]. This ain't about her; this ain't about what she
did. You know what? She owned what she did.
Accountability. She didn't deny it. 'This is what I did,' and
she's going to pay the price. But today is not about
[Carlson]. The deal we gave her -- if you're talking about
fairness of what they did, what [Carlson] did versus
[Henderson], is it fair that we would give her the same thing
we gave him after what he's done? [Carlson] had blood on
her hands for helping. He had literal blood on his hands for
what he did. That's different. That is fundamentally
different.
"….
"Mercy. What we didn't hear …. Fifteen visits [with
Lippert] and not one mention of remorse, not one mention of
'I'm sorry.' It's been six years. Nothing. Nothing. No
evidence of it, no -- [Lippert] met with him over and over
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again. She had a relationship with him. No remorse
whatsoever. Yet they ask for mercy."
(R. 2206-07 (emphasis added).)
In support of his argument, Henderson relies on those parts of the
prosecutor's argument we have emphasized. However, taken in context,
the prosecutor's argument that Carlson "owned what she did" and
"didn't deny it" was not intended to draw attention to the fact that
Henderson had chosen not to testify, and we do not believe the jury
would have "naturally and necessarily taken" the argument that way.
Smith, 797 So. 2d at 541 (citation omitted). Instead, that part of the
prosecutor's argument was an attempt to explain, in response to defense
counsel's argument regarding fundamental fairness, why the State had
offered Carlson a less severe sentence than it was pursuing against
Henderson. And, as we have already explained, the prosecutor's
argument regarding Henderson's lack of remorse was a proper comment
on the evidence (or lack of evidence). See Jones, 273 Ga. at 234, 539
S.E.2d at 159 (holding that it did not "amount to an improper reference
to a defendant's failure to testify" when the prosecutor "pointed out that
none [of the defendant's mitigation witnesses] had mentioned any
expression of remorse"); and Prieto, 283 Va. at 177-78, 721 S.E.2d at
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501 (holding that the prosecutor's statement that he had "waited in
vain to hear an ounce of remorse leak out anywhere" "was not 'a
comment on [the defendant's] failure to testify,' but rather a comment
on the evidence that had been presented"). Thus, we find no error,
much less plain error, in this part of the prosecutor's argument.
IX.
Henderson argues that § 13A-5-46(f), Ala. Code 1975, violates the
Sixth Amendment because it allows a jury to recommend a death
sentence by the votes of only 10 jurors, rather than requiring a
unanimous vote. Specifically, Henderson argues that § 13A-5-46(f) "can
no longer stand in light of" the United States Supreme Court's decision
in Ramos v. Louisiana, 590 U.S. ___ (2020). However, this Court has
already rejected that argument, noting that "Ramos held only that the
United States Constitution requires a unanimous verdict to support a
conviction, not a sentence." Keaton, 375 So. 3d at 137, cert. denied, ___
U.S. ___, 143 S. Ct. 2585. Henderson also argues that § 13A-5-46(f)
violates the Eighth Amendment to the United States Constitution, but
he cites no authority that supports that argument. We also note that §
13A-5-46(f) has been part of Alabama's Criminal Code for more than 40
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years, and the United States Supreme Court has yet to hold that a
jury's less-than-unanimous sentencing verdict violates any part of the
United States Constitution.
Henderson also argues that § 13A-5-46(f) violates the Alabama
Constitution, which, he says, "require[s] unanimity for death verdicts."
(Henderson's reply brief, p. 12.) However, this Court has also
previously rejected that argument. See Frazier v. State, 562 So. 2d 543,
551 (Ala. Crim. App. 1989) (noting that, under the Alabama
Constitution, "no particular numerical vote [is] required" for a jury's
sentencing verdict), reversed on other grounds by Ex parte Frazier, 562
So. 2d 560 (Ala. 1989); and Edwards v. State, 515 So. 2d 86, 89 (Ala.
Crim. App. 1987) (holding that "an advisory verdict based on the vote of
10 of the jurors" does not violate the Alabama Constitution).
Henderson's reliance on Beck v. State, 396 So. 2d 645 (Ala. 1980), is
misplaced because nothing in that opinion speaks to the
constitutionality of a jury's less-than-unanimous sentencing
recommendation in the penalty phase of a capital-murder trial.
X.
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Henderson has also raised several other claims on appeal, which
are listed in his brief as Issues VII, VIII, X, XI, XII, XV, XVII, XIX,
XXII, and XXIII. Henderson did not raise any of these claims below, so
we review them for plain error only. This Court has thoroughly
considered the arguments Henderson has raised in support of these
claims, the authorities he has cited, and the applicable parts of the
record. Having done so, we are convinced that no plain error occurred
with respect to these claims, and we do not find it necessary to provide
analyses for them. In addition to reviewing these claims, this Court has
painstakingly reviewed the entire record for any instances of plain error
that Henderson might have overlooked, and we have found no such
error.
XI.
Finally, pursuant to § 13A-5-53(a), Ala. Code 1975, this Court
must review the propriety of Henderson's death sentence. Specifically,
we must determine whether there was any error in the sentencing
proceedings that adversely affected Henderson's rights, whether the
trial court's findings concerning the aggravating and mitigating
circumstances are supported by the evidence, and whether death is the
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proper sentence. In determining whether death is the proper sentence,
this Court must determine
"(1) Whether the sentence of death was imposed under
the influence of passion, prejudice, or any other arbitrary
factor;
"(2) Whether an independent weighing of the
aggravating and mitigating circumstances at the appellate
level indicates that death was the proper sentence; and
"(3) Whether the sentence of death is excessive or
disproportionate to the penalty imposed in similar cases,
considering both the crime and the defendant."
§ 13A-5-53(b), Ala. Code 1975. The determinations required by § 13A-5-
53(b) must be "explicitly address[ed]" by this Court in all cases in which
the death penalty has been imposed. § 13A-5-53(c), Ala. Code 1975.
The jury, by virtue of its guilt-phase verdicts, found the existence
of two aggravating circumstances: (1) that the offenses were committed
while Henderson was engaged in or was an accomplice to a burglary
and (2) that Henderson caused the death of two or more people by one
act or pursuant to one scheme or course of conduct. See § 13A-5-
49(a)(4) and (9), Ala. Code 1975. During the penalty phase, the jury
unanimously found the existence of a third aggravating circumstance --
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that the offenses were especially heinous, atrocious, or cruel compared
to other capital offenses. See § 13A-5-49(a)(8), Ala. Code 1975.
The trial court found the existence of one statutory mitigating
circumstance -- that Henderson had no significant history of prior
criminal activity. See § 13A-5-51(1), Ala. Code 1975. The trial court
also found the existence of the following nonstatutory mitigating
circumstances: "Henderson's good behavior while incarcerated, the love
of family; Henderson's history of gainful employment; the non-death
sentence that Rhonda Carlson negotiated in exchange for her testimony
against Henderson, fundamental fairness, the purpose and value of life,
and mercy." (C. 272.) The trial court found, though, that those
mitigating circumstances were "greatly outweigh[ed]" by the
aggravating circumstances. (C. 278.)
This Court has thoroughly reviewed the sentencing proceedings
and has found no error that adversely affected Henderson's rights. We
have also determined that the trial court's findings regarding the
aggravating and mitigating circumstances are supported by the
evidence. Thus, we turn to the final aspect of our review, i.e., whether
death is the proper sentence in this case.
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First, we find no indication that Henderson's sentence was
imposed "under the influence of passion, prejudice, or any other
arbitrary factor." § 13A-5-53(b)(1). To the contrary, the trial court's
sentencing order indicates that the court based its sentencing decision
on a thorough and conscientious consideration of the facts, a weighing
of the aggravating and mitigating circumstances, and the jury's
advisory verdict. Second, we have independently weighed the
aggravating and mitigating circumstances and agree with the trial
court's conclusion that the aggravating circumstances outweigh the
mitigating circumstances. Finally, we note that Henderson's sentence
of death is not excessive or disproportionate to the sentence imposed in
similar cases. See Petersen v. State, 326 So. 3d 535 (Ala. Crim. App.
2019) (affirming death sentence for intentional murders committed
during a burglary and pursuant to one scheme or course of conduct);
Keaton, supra (affirming death sentence for intentional murders that
were deemed heinous, atrocious, or cruel and involved victims who were
less than 14 years of age); and Callen v. State, 284 So. 3d 177 (Ala.
Crim. App. 2017) (affirming death sentence for intentional murders that
were committed during the course of committing arson, that were
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committed pursuant to one scheme or course of conduct, and that
involved a victim who was less than 14 years of age). Thus, we conclude
that a sentence of death was the proper sentence in this case.
Conclusion
For the foregoing reasons, we affirm Henderson's 15 capital-
murder convictions and his resulting sentence of death.
AFFIRMED.
Windom, P.J., and Cole and Minor, JJ., concur. Kellum, J.,
dissents in part and concurs in the result in part, with opinion.
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KELLUM, Judge, dissenting in part and concurring in the result in
part.
I agree to affirm 14 of Christopher Matthew Henderson's capital-
murder convictions, and his sentence of death, although not necessarily
for all the reasons stated in the main opinion. However, I must
respectfully dissent from affirming Henderson's conviction for murder
made capital because it was committed where a court had issued a
protection order for the victim and against the defendant, see § 13A-5-
40(a)(19), Ala. Code 1975, because I do not believe the State presented
sufficient evidence to sustain that conviction.
I agree with the main opinion that § 13A-5-40(a)(19) "requires
proof that a court had issued a protection order against the defendant
and in favor of the victim and that the order was in effect at the time of
the victim's death." ___ So. 3d at ___. The main opinion, however, does
not hold the State to that burden, instead concluding that the evidence
was sufficient to sustain Henderson's conviction because the State
presented evidence that a protection order "was issued and served on
Henderson less than 10 days before Kristen's death." ___ So. 3d at ___.
I do not believe the fact that the protection order was issued and served
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on Henderson less than 10 days before the murders is, by itself,
sufficient to establish that the order was still in effect at the time of the
murders. Although a protection order remains in effect "until the final
hearing date," § 30-5-6(b), Ala. Code 1975, and that hearing "shall" be
"within 10 days" of service on the defendant, § 30-5-6(a), Ala. Code
1975, the hearing could also be held less than 10 days after service on
the defendant. Moreover, as the main opinion points out, the other
evidence regarding the protection order -- the handwritten notation
consolidating the protection order with the divorce proceedings
scheduled for August 3, 2015, one day before the murders, and
Henderson's text message on August 3, 2015 -- is ambiguous as to
whether the hearing on the protection order was, in fact, held on August
3, 2015, and, if so, what the outcome of the hearing was, i.e., whether or
not the protection order was extended. Such ambiguity is not, in my
view, sufficient to satisfy the State's burden of proof and to allow a jury
to reasonably conclude that the evidence excluded every reasonable
hypothesis except that of guilt. See, e.g., Vason v. State, 323 So. 3d 698,
704 (Ala. Crim. App. 2020) ("In reviewing a conviction based in whole or
in part on circumstantial evidence, the test to be applied is whether the
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jury might reasonably find that the evidence excluded every reasonable
hypothesis except that of guilt." (internal citations and quotation marks
omitted)).
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