People v. Kellogg
People v. Kellogg
Opinion of the Court
Opinion
Thomas Kellogg contends his public intoxication conviction constitutes constitutionally proscribed cruel and/or unusual punishment because his status as an involuntarily homeless, chronic alcoholic makes it impossible for him to avoid being intoxicated in public. We reject this contention. The public intoxication statute, Penal Code
FACTUAL AND PROCEDURAL BACKGROUND
Arrest and Conviction
The facts of this case are essentially undisputed. On January 10, 2002, Officer Heidi Hawley, a member of the Homeless Outreach Team,
After his arrest on January 10, 2002, Kellogg posted $104 cash bail and was released. Because he was homeless, he was not notified of his court date and he did not appear for his January 31 arraignment. A warrant for his arrest was issued on February 11, 2002; he was arrested again for public intoxication on February 19 and 27 and subsequently charged with three violations of section 647, subdivision (f).
After a pretrial discussion in chambers about Kellogg’s physical and psychological problems, the trial court conditionally released Kellogg on his own recognizance and ordered that he be escorted to the Department of Veterans Affairs Hospital (VA) by Officer Hawley. He was not accepted for admission at the hospital and accordingly was returned to county jail.
Kellogg pleaded not guilty and filed a motion to dismiss the charges based on his constitutional right to be free of cruel and unusual punishment.
Evidence Presented at Motion to Dismiss Hearing
Psychologist Gregg Michel and Psychiatrist Terry Schwartz testified on behalf of Kellogg. These experts explained that Kellogg had a dual.diagnosis. In addition to his severe alcohol dependence, which causes him to suffer withdrawal symptoms if he stops drinking, he suffers from dementia, long-term cognitive impairment, schizoid personality disorder, and symptoms of posttraumatic stress disorder. He has a history of seizure disorder and a closed head injury, and reported anxiety, depressive symptoms and chronic pain. He is estranged from his family. Physically, he has peripheral edema, gastritis, acute liver damage, and ulcerative colitis requiring him to wear a colostomy bag. To treat his various conditions and symptoms he has been prescribed Klonopin and Vicodin and may suffer from addiction to medication.
Dr. Michel opined that Kellogg was gravely disabled and incapable of providing for his basic needs, and that his degree of dysfunction was life-threatening. His mental deficits impeded his executive functioning (planning, making judgments) and memory. Dr. Michel described Kellogg as having “good immediate reality contact,” struggling to express himself but lacking the ability to do so, and a “likeable person, who obviously was trying to cope with problems for which there weren’t really any . . . adequate solutions, because ... of [his] cognitive problems and emotional problems.”
Dr. Schwartz questioned whether a long-term, locked residential treatment setting was a viable option as density conditions (often four patients in a room) and group participation requirements were incompatible with Kellogg’s schizoid personality condition. Dr. Schwartz stated that Kellogg had been offered various forms of treatment and housing but had not made use of those resources; she posited that unless resources were offered in a different way, there would be no change in outcome. Dr. Schwartz explained that for a person with Kellogg’s conditions, crowded homeless shelters can be psychologically disturbing and trigger posttraumatic stress or anxiety symptoms, causing the person to prefer to hide in a bush where minimal interactions with people would occur. Additionally, a homeless person such as Kellogg, particularly when intoxicated, might refuse offers of assistance from authorities because he has difficulty trusting people and fears his situation, although bad at present, will worsen.
In Dr. Michel’s view, Kellogg’s incarceration provided some limited benefit in that he obtained medication for seizures, did not have access to alcohol, received some treatment, and. was more stable during incarceration than he was when homeless on the streets. However, such treatment was insufficient to be therapeutic, and medications prescribed for inmate management purposes can be highly addictive and might not be medically appropriate.
Dr. Schwartz opined that incarceration was not an effective form of treatment. Although incarceration provided a period of abstention from alcohol, it did not provide the necessary additional treatments, especially for individuals with mental disorders. Dr. Schwartz stated that being placed in certain structured environments could, be counter-therapeutic for a chronic alcoholic, but acknowledged that incarceration, which resulted in short-term alcohol abstention, potentially could be beneficial.
Trial Court’s Ruling and Subsequent Events
After the presentation of evidence, the trial court found that Kellogg suffers from both chronic alcohol dependence and a mental disorder and was homeless at the time of his arrests. Further, his alcohol dependence is both physical and psychological and causes him to be unable to stop drinking or to engage in rational choice-making. Finding that before his arrest Kellogg was offered assistance on at least three occasions and that his medical condition improved while in custody, the court denied the motion to dismiss the charges.
On April 2, 2002, the court found Kellogg guilty of one charge of violating section 647, subdivision (f) arising from his conduct on January 10, 2002. At sentencing on April 30, the probation officer requested that the hearing be continued for another month so Kellogg could be evaluated for a possible conservatorship.
Kellogg objected to further incarceration as violating the Eighth Amendment and opposed a conservatorship. Pointing to Dr. Michel’s assessment that Kellogg was not a suitable candidate for conservatorship, defense counsel argued that the conservatorship program did not have the resources to handle a person with the combination of Kellogg’s problems. Further, because of his medical complications, no recovery or board and care home felt comfortable
After expressing the difficult “Hobson’s choice” whereby there were no clear prospects presented to effectively assist Kellogg, the court sentenced him to 180 days in jail, with execution of sentence suspended for three years on the condition that he complete an alcohol treatment program and return to court on June 4, 2002, for a progress review.
After his release from jail, defense counsel made extensive, but unsuccessful, efforts to place Kellogg in an appropriate program and to find a permanent residence for him. On May 25 and 28, 2002, he was again arrested for public intoxication. After he failed to appear at his June 4 review hearing, his probation was summarily revoked. Kellogg was rearrested on June 12. After a probation revocation hearing, Kellogg’s probation was formally revoked and he was ordered to serve the 180-day jail sentence. The court authorized that his sentence be served in a residential rehabilitation program. However, no such program was found. According to defense counsel, the VA concluded Kellogg could not benefit from its residential treatment program due to his cognitive defects. Further, his use of prescribed, addictive narcotics precluded placement in other residential treatment programs, and his iliostomy precluded placement in board and care facilities.
On July 11, 2003, the appellate division of the superior court affirmed the trial court’s denial of Kellogg’s motion to dismiss on Eighth Amendment grounds. We granted Kellogg’s request to have the matter transferred to this court for review.
DISCUSSION
Section 647, subdivision (f) (section 647(f)) defines the misdemeanor offense of disorderly conduct by public intoxication as occurring when a person “is found in any public place under the influence of intoxicating liquor ... in such a condition that he or she is unable to exercise care for his or her own safety or the safety of others, or by reason of his or her being under the influence of intoxicating liquor . . . interferes with or obstructs or prevents the free use of any street, sidewalk, or other public way.” Kellogg argues that this statute, as applied to him, constitutes cruel and/or unusual punishment prohibited by the Eighth Amendment to the federal Constitution and article 1,
It is well settled that it is cruel and unusual punishment to impose criminal liability on a person merely for having the disease of addiction. (Robinson v. California (1962) 370 U.S. 660, 666-667 [8 L.Ed.2d 758, 82 S.Ct. 1417].) In Robinson, the United States Supreme Court invalidated a California statute which made it a misdemeanor to “ ‘be addicted to the use of narcotics.’ ” (Id. at p. 660.) The Robinson court recognized that a state’s broad power to provide for the public health and welfare made it constitutionally permissible for it to regulate the use and sale of narcotics, including, for example, such measures as penal sanctions for addicts who refuse to cooperate with compulsory treatment programs. (Id. at pp. 664-665.) But the court found the California penal statute unconstitutional because it did not require possession or use of narcotics, or disorderly behavior resulting from narcotics, but rather imposed criminal liability for the mere status of being addicted. (Id. at pp. 665-666.) Robinson concluded that just as it would be cruel and unusual punishment to make it a criminal offense to be mentally ill or a leper, it was likewise cruel and unusual to allow a criminal conviction for the disease of addiction without requiring proof of narcotics possession or use or antisocial behavior. (Id. at pp. 666-667.)
In Powell v. Texas (1968) 392 U.S. 514 [20 L.Ed.2d 1254, 88 S.Ct. 2145] (Powell), the United States Supreme Court, in a five-to-four decision, declined to extend Robinson’s holding to circumstances where a chronic alcoholic was convicted of public intoxication, reasoning that the defendant was not convicted merely for being a chronic alcoholic, but rather for being in public while drunk. (Id. at p. 532.) That is, the state was not punishing the defendant for his mere status, but rather was imposing “a criminal sanction for public behavior which may create substantial health and safety hazards, both for [the defendant] and for members of the general public . . . .” (Ibid.) In the plurality decision, four justices rejected the proposition set forth by four dissenting justices that it was unconstitutional to punish conduct that was “ ‘involuntary’ or ‘occasioned by a compulsion.’ ”
We are not persuaded. Although in Robinson the United States Supreme Court held it was constitutionally impermissible to punish for the mere condition of addiction, the court was careful to limit the scope of its decision by pointing out that a state may permissibly punish disorderly conduct resulting from the use of narcotics. This limitation was recognized and refined by the plurality opinion in Powell, where the court held it was permissible for a state to impose criminal punishment when the addict engages in conduct which spills into public areas. As stated in the Powell plurality opinion (Powell, supra, 392 U.S. at pp. 517, 532) and expressly reflected in the terms of section 647(f), public intoxication is a criminal offense because it can endanger the welfare of the intoxicated individual and the public. (See People v. Olson (1971) 18 Cal.App.3d 592, 597 [96 Cal.Rptr. 132].) Indeed, although Justice White’s concurring opinion queried whether conviction for public drunkenness might be a violation of the Eighth Amendment for a homeless alcoholic who had no place else to drink, he acknowledged that the dictates of the defendant’s and the public’s safety made it constitutional for “a police officer to arrest any seriously intoxicated person when he [or she] is encountered in a public place.” (Powell, supra, 392 U.S. at p. 554, fn. 5 (conc. opn. of White, J.).)
Here, the reason Kellogg was subjected to misdemeanor culpability for being intoxicated in public was not because of his condition of being a homeless alcoholic, but rather because of his conduct that posed a safety hazard. If Kellogg had merely been drunk in public in a manner that did not pose a safety hazard (i.e., if he was able to exercise care for his own and the public’s safety and was not blocking a public way), he could not have been adjudicated guilty under section 647(f). The state has a legitimate
Although the Powell decision rejecting an Eighth Amendment challenge to a public intoxication conviction did not involve a homeless alcoholic, the United States Supreme Court has recently made a clear proclamation that penal provisions designed to protect public safety are constitutionally permissible. (Ewing v. California (2003) 538 U.S. 11 [123 S.Ct. 1179, 1187-1190, 155 L.Ed.2d 108] [given state’s right to provide for public safety, recidivist defendant who received life sentence for grand theft was not subjected to disproportionate sentence constituting cruel and unusual punishment].) The California Supreme Court has likewise indicated that the scope of the California constitutional proscription against cruel or unusual punishment— i.e., punishment that shocks the conscience and offends fundamental notions of human dignity—is to a significant extent defined by whether the penal consequence reasonably advances the state’s need to protect its citizenry. (See People v. Dillon (1983) 34 Cal.3d 441, 478-479 [194 Cal.Rptr. 390, 668 P.2d 697].)
Moreover, although the California Supreme Court has not expressly decided the issue of whether section 647(f) may be unconstitutional as applied to certain chronic alcoholics, it has rejected an attempt to civilly enjoin enforcement of the statute based on an argument that the statute resulted in cruel and/or unusual punishment as applied to chronic, homeless alcoholics. (Sundance v. Municipal Court (1986) 42 Cal.3d 1101, 1119-1121 [232 Cal.Rptr. 814, 729 P.2d 80] (Sundance).)
Based on the guidance provided by Powell and Sundance, we conclude that the California Legislature’s decision to allow misdemeanor culpability for public intoxication, even as applied to a homeless chronic alcoholic such as Kellogg, is neither disproportionate to the offense nor inhumane. In deciding whether punishment is unconstitutionally excessive, we consider the degree of the individual’s personal culpability as compared to the amount of punishment imposed. (See People v. Dillon, supra, 34 Cal.3d at pp. 480-482, 486.) To the extent Kellogg has no choice but to be drunk in public given the nature of his impairments, his culpability is low; however, the penal sanctions imposed on him under section 647(f) are correspondingly low. (See Sundance, supra, 42 Cal.3d at p. 1120.) Given the state’s interest in providing for the safety of its citizens, including Kellogg, imposition of low-level criminal sanctions for Kellogg’s conduct does not tread on the federal or state constitutional proscriptions against cruel and/or unusual punishment.
The cases cited by Kellogg to support his unconstitutionality argument do not convince us that his position is correct. Two of the cases he cites, which held that criminal culpability for public intoxication imposed on a chronic alcoholic constitutes cruel and unusual punishment (Driver v. Hinnant (1966) 356 F.2d 761, 764-765; Easter v. District of Columbia (1966) 361 F.2d 50, 54—55), predate the Supreme Court’s decision in Powell rejecting this proposition. The Powell court was aware of both the Easter and Driver opinions and the rationales presented in these cases. (Powell, supra, 392 U.S. at pp. 529-530, fns. 23 and 24 (plur opn.).) In another case cited by Kellogg, the court
In presenting his argument, Kellogg points to the various impediments to his ability to obtain shelter and effective treatment, apparently caused by a myriad of factors including the nature of his condition and governmental policies and resources, and asserts that these impediments do not justify criminally prosecuting him. He posits that the Eighth Amendment “mandates that society do more for [him] than prosecute him criminally and repeatedly incarcerate him for circumstances which are beyond his control.”
We are sympathetic to Kellogg’s plight; however, we are not in a position to serve as policy maker to evaluate societal deficiencies and amelioration strategies. It may be true that the safety concerns arising from public intoxication can be addressed by means of civil custody rather than penal sanctions. (See Sundance, supra, 42 Cal.3d at pp. 1115, 1131-1132; People v. Ambellas, supra, 85 Cal.App.3d at p. 39 [149 Cal.Rptr. 680].) Indeed, the Legislature has provided alternatives to penal sanctions against persons who are drunk in public, including civil protective custody (§ 647, subd. (g)) and release without criminal processing (§ 849, subd. (b)(2)). However, the Legislature has not seen fit to remove the option of criminal prosecution and conviction. Absent a constitutional violation, it is not our role to second-guess this policy determination. (See Sundance, supra, at p. 1139 [declining invitation to override legislative judgment by judicially decriminalizing public intoxication]; People v. Ambellas, supra, at pp. Supp. 39-40.)
DISPOSITION
The judgment is affirmed.
McConnell, P. J., concurred.
Subsequent statutory references are to the Penal Code.
The Homeless Outreach Team consists of police officers, social services technicians, and psychiatric technicians.
Although homeless, Kellogg had made arrangements to have his disability check sent to a certain address.
We requested supplemental briefing on the issue of “cruel or unusual” punishment under the California Constitution.
The lead opinion written by Justice Marshall and joined by one other justice noted that the record did not show the defendant suffered from an irresistible compulsion to drink and get drunk in public, and that in any event there was no constitutional mens rea requirement. (Powell, supra, 392 U.S. at p. 535.) A concurring opinion of two justices expressly rejected
Sundance was a civil action seeking an order enjoining enforcement of section 645(f). (Sundance, supra, 42 Cal.3d at p. 1118, fn. 11.) The trial court denied the request for an injunction to prevent enforcement of the statute, but did issue an injunction requiring that various measures be taken to provide for due process and safety and health needs of intoxicated arrestees, including medical screenings and care for alcohol withdrawal. (Id. at pp. 1116-1117.)
In rendering its ruling, the trial court found that, although a chronic alcoholic could properly be arrested under section 647(f), he or she could present a constitutional defense based on proof of inability to refrain from being in public while intoxicated either because of disease or indigency. (Sundance, supra, 42 Cal.3d at pp. 1117-1118.) The Supreme Court declined to express any views regarding the trial court’s finding that section 647(f) was unconstitutional as
In his supplemental briefing, Kellogg contends that his punishment shocks the conscience when it is viewed in terms of the aggregate amount of time he has spent in jail because of his repeated arrests and convictions for public intoxication. Following the California Supreme Court’s lead in Sundance, we reject this argument.
In addition to the statement in the Sundance decision in which the California Supreme Court declined to reach the issue, several other courts since Powell have recognized in dicta the possibility that compulsion or homelessness may constitute a defense for a chronic alcoholic charged with public intoxication. (Budd v. Madigan (9th Cir. 1969) 418 F.2d 1032, 1034 [noting possibility that compulsion to appear in public while drunk may create immunity from section 647(f) prosecution, but declining to reach issue on facts showing no compulsion]; People v. Ambellas (1978) 85 Cal.App.3d Supp. 24, 29-30 [149 Cal.Rptr. 680] [Eighth Amendment not violated by section 647(f) conviction of chronic alcoholic who was not homeless].) Additionally, at least one state court since Powell has concluded its state constitution bars criminally punishing chronic alcoholics for public intoxication. (State Ex Rel. Harper v. Zegeer (1982) 170 W.Va. 743 [296 S.E.2d 873, 875-876]). For the reasons we set forth above, we do not reach this conclusion.
In briefing on appeal, defense counsel states that in San Diego, the option of civil detoxification is often “bypassed in the cases of alcoholics deemed by the City to be ‘chronic’ or ‘serial inebriates.’ ” The defense does not directly challenge, or cite any evidence of, any such policy. We express no opinion on this matter.
Dissenting Opinion
Defendant Thomas Kellogg was convicted of public intoxication under Penal Code section 647, subdivision (f)
FACTUAL AND PROCEDURAL BACKGROUND
On January 10, 2002, San Diego police officers observed Kellogg sitting on the ground under a large bush on a highway embankment. He was rocking back and forth, talking to himself and inexplicably gesturing. He appeared to be intoxicated by alcohol. Kellogg was arrested and charged with the misdemeanor offense of public intoxication (§ 647, subd. (f).)
Kellogg filed a pretrial motion to dismiss the public intoxication charge against him, asserting his conviction of that charge would be cruel and unusual punishment in violation of the Eighth Amendment of the United States Constitution because he is homeless and a chronic alcoholic. At an
Alcoholism is recognized as a mental illness by the American Psychiatric Association. Persons afflicted with this mental illness are psychologically dependent on alcohol and believe they cannot function without it. Their psychological dependence on alcohol interferes with their ability to seek treatment. Persons can also be physically dependent on alcohol and suffer serious withdrawal symptoms, including seizures and possible death, if they abstain from its use. Long-term alcohol dependence can adversely affect a person’s central nervous system, possibly causing severe dementia and impairment of his or her ability to learn new information, problem solve, and plan effectively. Alcohol-induced dementia can affect a person’s ability to perform simple daily tasks, including applying for a job, finding a residence, or budgeting money. Long-term alcohol dependence is also associated with other psychological disorders, including generalized anxiety, panic disorder, social phobia, depressive disorders, and psychotic disorders. A majority of chronic alcoholics lose their family and social contacts, experience financial difficulty, and have “burned bridges” with hospitals and treatment facilities because of their recidivism.
Schwartz testified it was her opinion that Kellogg is a chronic alcoholic and is alcohol dependent. He suffers from severe cognitive impairment, which may be the result of alcohol use or a previous head injury. His cognitive impairment makes it nearly impossible for him to obtain and maintain an apartment without significant help and support from others. He also suffers from a schizoid personality disorder and posttraumatic stress disorder. Kellogg’s efforts to stop drinking alcohol have been unsuccessful. He uses a colostomy bag because of his ulcerative colitis. He also uses certain prescription drugs, including Vicodin and Klonopin. Because residential treatment facilities for alcoholics generally house four patients in a room, a patient like Kellogg, who suffers from social phobias or a schizoid personality disorder, would be uncomfortable and unable to develop the necessary connections with others. In Schwartz’s opinion, incarceration is not an effective form of treatment for chronic alcoholics, especially those who are dually diagnosed, because they do not address the major life issues they face on a daily basis. Alcoholism is a risk factor for homelessness. Kellogg has not made use of
Kellogg also presented the expert testimony of Dr. Gregg Michel, a clinical psychologist who specializes in forensic psychology. He has treated patients with psychological disorders associated with chronic alcohol use. Michel conducted a clinical interview and mental status examination of Kellogg and reviewed police reports, jail medical records, and hospital records relating to Kellogg. He also administered several tests to determine Kellogg’s cognitive processing. Kellogg was then 44 years old and had been regularly using alcohol since his teenage years. Michel testified that Kellogg suffers from alcohol-induced persisting dementia, which means he has brain damage. Kellogg also had a previous head injury and a history of seizure disorder. Michel diagnosed Kellogg with a schizoid personality disorder. Persons with that disorder tend to be emotionally aloof, with few close friends, and often live a nomadic lifestyle. Kellogg’s schizoid personality disorder is secondary to, or resulted from, his alcohol dependence and brain damage. Kellogg is homeless. Michel testified that Kellogg is homeless because he is incapable of providing for his own basic needs. Kellogg’s substance dependence, head injury, and cognitive dysfunction contributed to his homelessness. Michel considered him to be gravely disabled and unable to work or provide for his food, shelter and clothing because of his cognitive processing and memory problems, which result from his major mental illness. Michel testified that Kellogg’s inability to care for himself is “not a choice situation at all.” Kellogg’s degree of dysfunction is extremely life threatening. Michel testified that Kellogg is homeless because he is unable to accept an offer of a placement in an unlocked shelter or treatment facility. He explained that Kellogg might sleep at a shelter for a night or two, but would wander and
The prosecution presented the testimony of San Diego Police Officer Heidi Hawley, who is assigned to the homeless outreach team that assists persons in obtaining shelter and entry to drug and alcohol rehabilitation programs. When she arrested Kellogg on January 10, 2002, he had $445 in his pocket and told her he received about $800 per. month in state supplemental income (SSI). Prior to his arrest, she has offered him assistance or services three times, each of which he refused. At the time of his arrest, Kellogg’s clothes were filthy, his skin was dirty, and his hair was oily. He has consistently told her that he is homeless.
The prosecution also presented the expert testimony of Dr. James Dunford, a physician who is the medical director of the City of San Diego’s emergency medical services. He is not a psychiatrist. Once a month, he treats patients at two local jails. He has experience in treating chronic alcoholics who visit UCSD’s emergency medical department. He considers chronic alcoholism a lifelong disease that, with treatment, can be put in remission. The first step in treating chronic alcoholics is to detoxify the patient by withholding alcohol in a medically supervised setting. Withdrawal from alcohol can have deleterious side effects, including shakes, tremors, seizures, and delirium tremens, which are potentially life-threatening. Acute withdrawal symptoms generally last from three to five days. In preparation for his testimony, Dunford reviewed Kellogg’s medical records from the jail. Dunford had seen Kellogg at UCSD’s emergency medical department and at the jail. Dunford testified that Kellogg is alcohol dependent and has the lifelong disease of chronic alcoholism. An alcohol-dependent person experiencing withdrawal symptoms would drink alcohol were it available. It is highly unlikely that a chronic alcoholic could withdraw from alcohol and remain sober without a support network and psychological counseling. A period of forced sobriety by incarceration is insufficient in itself to sustain lifelong recovery from alcoholism.
After the hearing on Kellogg’s motion to dismiss, the trial court made the following findings of fact:
“1. Mr. Kellogg is an alcohol-dependent individual, as defined by the D.S.M. IV, in contrast to an alcohol abuser.
“2. Mr. Kellogg’s dependence is both physical and psychological.
“3. Mr. Kellogg’s dependence manifests itself in many ways, including the inability to stop drinking, the inability to engage in rational choice-making, in*610 the view of what those of us who are not affected, members of society, might view [as] choice-making, as well as various physical disorders.
“4. In addition to being alcohol-dependent, Mr. Kellogg’s condition is one of [a] chronically alcohol-dependent individual.
“5. Mr. Kellogg is a dually diagnosed individual, meaning that he has both chronic alcohol dependence and a mental disorder.
“6. At the time of his various arrests, Mr. Kellogg was homeless.
“7. At the time of his arrest, Mr. Kellogg was in possession of [$445].
“8. Prior to Mr. Kellogg’s arrest, he was offered assistance on at least three prior occasions.
“9. Mr. Kellogg’s medical condition improved while in custody.”
The trial court denied Kellogg’s motion to dismiss the public intoxication charge against him. Following a bench trial, the trial court found Kellogg guilty of public intoxication (§ 647, subd. (f)). The court granted him probation, suspending execution of a 180-day sentence for three years on the condition he complete an alcohol treatment program.
The trial court made no finding that Kellogg at the time of the offense was unable to exercise care for his own safety or the safety of others or that he was interfering with or obstructing the free use of any street, sidewalk or other public way. The record is devoid of any evidence that he was unable to exercise care for himself or others, other than an inability inherent in being intoxicated, or that he interfered in any manner with a public way. On this record, and according to the trial court’s findings, Kellogg was convicted solely for being intoxicated in public.
Kellogg appealed his conviction to the Appellate Division of the San Diego County Superior Court. He asserted the criminal prosecution and incarceration of a chronically alcohol-dependent individual, who also suffers from a mental disorder and is homeless, for public intoxication (§ 647, subd. (f)) violates the Eighth Amendment’s prohibition against cruel and unusual punishment. The appellate division unanimously affirmed the judgment without issuing an opinion. The appellate division denied Kellogg’s petition for a rehearing or, in the alternative, request to certify transfer of the case to this court.
DISCUSSION
I
Cruel and Unusual Punishment under the Eighth Amendment of the United States Constitution
Kellogg contends his section 647, subdivision (f) conviction for public intoxication constitutes cruel and unusual punishment in violation of the Eighth Amendment of the United States Constitution.
A
Section 647 provides: “Every person who commits any of the following acts is guilty of disorderly conduct, a misdemeanor: [][]... [|] (f) Who is found in any public place under the influence of intoxicating liquor ... in such a condition that he or she is unable to exercise care for his or her own safety or the safety of others, or . . . interferes with or obstructs . . . the free use of any street, sidewalk, or other public way.”
The Eighth Amendment of the United States Constitution provides: “Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.” (Italics added.)
In Robinson v. California (1962) 370 U.S. 660 [8 L.Ed.2d 758, 82 S.Ct. 1417], the Supreme Court, without discussion, invoked the due process clause of the Fourteenth Amendment to apply the Eighth Amendment to state criminal prosecutions. (Robinson, at pp. 666-667.) Robinson held that because a California statute that made it “a criminal offense for a person to ‘be
In Driver v. Hinnant (4th Cir. 1966) 356 F.2d 761, the court applied the holding in Robinson to bar the conviction of a chronic alcoholic for the misdemeanor offense of public intoxication. (Driver, at pp. 764-765.) The evidence in Driver “conclusively proved [the appellant is] a chronic alcoholic, his inebriation in public view an involuntary exhibition of the infirmity.” (Id. at p. 763.) The court distinguished between mere excessive (e.g., steady or spree) voluntary drinkers and addicted or involuntary drinkers (i.e., chronic alcoholics). (Id. at p. 764.) Driver stated:
“This addiction—chronic alcoholism—is now almost universally accepted medically as a disease. The symptoms . . . may appear as [a] ‘disorder of behavior.’ Obviously, this includes appearances in public, as here, unwilled and ungovernable by the victim. When that is the conduct for which he is criminally accused, there can be no judgment of criminal conviction passed upon him. To do so would affront the Eighth Amendment, as cruel and unusual punishment in branding him a criminal, irrespective of consequent detention or fine.
“Although his misdoing objectively comprises the physical elements of a crime, nevertheless no crime has been perpetrated because the conduct was neither actuated by an evil intent nor accompanied with a consciousness of wrongdoing, indispensable ingredients of a crime. [Citation.] . . . The alcoholic’s presence in public is not his act, for he did not will it. It may be likened to the movements of an imbecile or a person in delirium of a fever. None of them by attendance in the forbidden place defy the forbiddance.
*613 “This conclusion does not contravene the familiar thesis that voluntary drunkenness is no excuse for crime. The chronic alcoholic has not drunk voluntarily, although undoubtedly he did so originally. His excess now derives from disease. However, our excusal of the chronic alcoholic from criminal prosecution is confined exclusively to those acts on his part which are compulsive as symptomatic of the disease. With respect to other behavior—not characteristic of confirmed chronic alcoholism—he would be judged as would any person not so afflicted.
“. . . [T]he North Carolina statute does not punish them solely for drunkenness, but rather for its public demonstration. But many of the diseased have no homes or friends, family or means to keep them indoors. [The appellant] examples this pitiable predicament, for he is apparently without money or restraining care.
“Robinson v. State of California, supra, 370 U.S. 660 . . . sustains, if not commands, the view we take. . . . The California statute criminally punished a ‘status’—chug addiction—involuntarily assumed; the North Carolina Act criminally punishes an involuntary symptom of a status—public intoxication. In declaring the former violative of the Eighth Amendment, we think pari ratione, the Robinson decision condemns the North Carolina law when applied to one in the circumstances of appellant Driver. All of the opinions recognize the inefficacy of such a statute when it is enforced to make involuntary deportment a crime.” (Driver, supra, at pp. 764—765, italics added.)
Driver concluded: “[T]he State cannot stamp an unpretending chronic alcoholic as a criminal if his drunken public display is involuntary as the result of disease.” (Id. at p. 765.)
In Easter v. District of Columbia (D.C. Cir. 1966) 361 F.2d 50, the court held that chronic alcoholism was a defense to a criminal charge of public intoxication under a District of Columbia statute. (Id. at pp. 51, 55.) The majority opinion in Easter was based on an interpretation that another District of Columbia statute providing for civil rehabilitation of chronic alcoholics showed a legislative intent not to criminalize public intoxication of chronic alcoholics.
In Powell v. Texas (1968) 392 U.S. 514 [20 L.Ed.2d 1254, 88 S.Ct. 2145], the Supreme Court addressed the issue of whether it is cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments to convict a chronic alcoholic of a public intoxication charge. (Powell, at pp. 517, 531.) Although the court affirmed the defendant’s conviction, there was no majority opinion. (Id. at pp. 516-517 [537 88 S.Ct. 2145].) After a bench trial, the trial court made the following findings of fact:
“ ‘(1) That chronic alcoholism is a disease which destroys the afflicted person’s will power to resist the constant, excessive consumption of alcohol.
“ ‘(2) That a chronic alcoholic does not appear in public by his own volition but under a compulsion symptomatic of the disease of chronic alcoholism.
“ ‘(3) That Leroy Powell, defendant herein, is a chronic alcoholic who is afflicted with the disease of chronic alcoholism.’ ” (Id. at p. 521.)
In the dissenting opinion in Powell joined by three other justices, Justice Portas accepted the trial court’s findings of fact and phrased the issue before the court as “whether a criminal penalty may be imposed upon a person suffering the disease of ‘chronic alcoholism’ for a condition—being ‘in a state of intoxication’ in public—which is a characteristic part of the pattern of his disease and which, the trial court found, was not the consequence of appellant’s volition but of ‘a compulsion symptomatic of the disease of chronic alcoholism.’ ” (Powell v. Texas, supra, 392 U.S. at p. 558 (dis. opn. of Fortas, J.).) The dissenting opinion stated that the case did not “concern the responsibility of an alcoholic for criminal acts. We deal here with the mere condition of being intoxicated in public.”
Justice White concurred in the result, providing the fifth vote for affirmance of the defendant’s conviction for public intoxication but without joining the plurality opinion. (Powell v. Texas, supra, 392 U.S. at p. 554 (conc. opn. of White, J.).) In his separate concurring opinion, Justice White appeared to adopt the premise of the dissenting opinion that chronic alcoholics should not be criminally convicted for yielding to their compulsion to drink. (Id. at pp. 548-549.) Interpreting Robinson, he reasoned: “If it cannot be a crime to have an irresistible compulsion to use narcotics, Robinson v. California, [supra, 370 U.S. 660], I do not see how it can constitutionally be a crime to yield to such a compulsion. Punishing an addict for using drugs convicts for addiction under a different name. Distinguishing between the two crimes is like forbidding criminal conviction for being sick with flu or epilepsy but permitting punishment for running a fever or having a convulsion. Unless Robinson is to be abandoned, the use of narcotics by an addict must be beyond the reach of the criminal law. Similarly, the chronic
Interpreting Robinson, Justice White noted: “The proper subject of inquiry is whether volitional acts brought about the ‘condition’ and whether those acts are sufficiently proximate to the ‘condition’ for it to be permissible to impose penal sanctions on the ‘condition.’ ” (Powell v. Texas supra, 392 U.S. at pp. 550-551, fn. 2.) In language particularly pertinent to the instant case, Justice White observed: “The fact remains that some chronic alcoholics must drink and hence must drink somewhere. Although many [chronic alcoholics] have homes, many
He further observed: “It is also possible that the chronic alcoholic who begins drinking in private at some point becomes so drunk that he loses the power to control his movements and for that reason appears in public. The Eighth Amendment might also forbid conviction in such circumstances, but only on a record satisfactorily showing that it was not feasible for him to have made arrangements to prevent his being in public when drunk and that his extreme drunkenness sufficiently deprived him of his faculties on the occasion in issue.” (Powell v. Texas, supra, 392 U.S. at pp. 551-552, italics added.) However, Justice White concluded that the record in Powell did not show the appellant “could not have done his drinking in private or that he was so inebriated at the time that he had lost control of his movements and wandered into the public street.” (Id. at p. 553.) He stated: “Indeed, the evidence in the record strongly suggests that [the appellant] could have drunk at home and made plans while sober to prevent ending up in a public place. [The appellant] had a home and wife, and if there were reasons why he had to drink in public or be drunk there, they do not appear in the record.” (Ibid.) Because the appellant “made no showing that he was unable to stay off the streets on the night in question,” Justice White concluded the appellant had not shown his conviction constituted cruel and unusual punishment under the Eighth Amendment and therefore Justice White concurred in the judgment affirming the appellant’s public intoxication conviction without joining the plurality opinion. (Powell, at p. 554.)
B
Kellogg contends that had the record in Powell shown the defendant was homeless and unable to avoid being in public while intoxicated, Justice White would have joined the four dissenting justices and reversed the defendant’s conviction as constituting cruel and unusual punishment in violation of the Eighth Amendment. Kellogg does not challenge the constitutionality of section 647, subdivision (f) facially, but rather as it was applied to him in the circumstances of this case. He argues that because the record in this case
Powell supports Kellogg’s contention. Justice White’s concurring opinion in Powell strongly suggests that he would have joined the four dissenting justices had the record in that case shown the defendant was a chronic alcoholic who was not homeless by choice and therefore could not have done his drinking in private or avoid being in public while intoxicated. Justice White’s concurring opinion noted that many chronic alcoholics do not have homes. (Powell v. Texas, supra, 392 U.S. at p. 551 (conc. opn. of White, J.).) One authority has observed that Justice White’s concurring opinion “left no doubt that on the substantive question [in Powell] he sided with the dissenting Justices. His disagreement with the dissenters was on a question of fact. The evidence failed to show that the [defendant] was compelled to be intoxicated in a public place. He conceded that many alcoholics have no homes, and in such cases public intoxication is in fact a symptom of [their] status.” (3 Cook, Constitutional Rights of the Accused (3d ed. 1996) Punishment, § 26:8, pp. 26-30 through 26-31, fn. omitted.) That authority concluded; “The upshot of the Powell decision would appear to be that all members of the Court would hold punishment of the status of alcoholism unconstitutional under the Robinson rationale. Five members of the Court would extend the ‘status crime’ rationale to matters other than ‘mere’ status, in the instance of narcotics addiction and chronic alcoholism, if the conduct were compelled by the condition.” (Id. at p. 26-31.)
Although Justice White’s discussion in his concurring opinion regarding homelessness is not binding on this court, I nevertheless am persuaded by his reasoning and agree with his proposed result in circumstances involving chronic alcoholics who are involuntarily homeless. Since the Powell decision in 1968, the United States Supreme Court has not accepted any public intoxication cases and has not addressed the hypothetical circumstances posed by Justice White in his concurring opinion in Powell. (Robinson, supra, 26 Am. J. Crim. Law at p. 437.) Furthermore, the parties do not cite, and research has not revealed, any cases that address the issue of whether a chronic alcoholic who is involuntarily homeless can be convicted of public
In the circumstances of this case, Kellogg’s conviction for being intoxicated in public constitutes cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments because the record shows he is involuntarily homeless and, as a chronic alcoholic who is unable to stop drinking, cannot avoid being intoxicated in public. In effect, Kellogg was convicted not for merely being a chronic alcoholic who was found intoxicated in public, but for his status or condition of being homeless, which is not of his choosing.
Review of the record shows Kellogg is involuntarily homeless and a chronic alcoholic with a past head injury who suffers from dementia, severe cognitive impairment, and a schizoid personality disorder. At the hearing on Kellogg’s motion to dismiss, all three expert witnesses agreed, and the trial court found, that Kellogg is alcohol dependent and a chronic alcoholic. Schwartz and Michel testified that Kellogg has severe cognitive impairment and suffers from a schizoid personality disorder. Michel testified that Kellogg suffers from dementia. Dunford, the prosecution’s emergency medical care and alcoholism expert, did not testify on Kellogg’s illnesses other than his chronic alcoholism. Therefore, the prosecution effectively conceded that Kellogg suffers from dementia, severe cognitive impairment, and a schizoid personality disorder.
Because Kellogg is involuntarily homeless and a chronic alcoholic with a past head injury who suffers from dementia, severe cognitive impairment, and a schizoid personality disorder, and there is no evidence he was unable by reason of his intoxication to care for himself or others, other than inability inherent in intoxication, or interfered in any manner with a public way, his section 647, subdivision (f) conviction solely for being intoxicated in public constitutes cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments.
The majority opinion appears to be based on the premise that Kellogg’s conduct posed a safety hazard and showed a clear potential for harm (maj. opn., ante, pp. 602-603) and therefore his conviction was not merely for being intoxicated in public. Section 647, subdivision (f) punishes a person for being intoxicated in public “in such a condition that he or she is unable to
C
The cases cited by the People do not support a contrary conclusion. Budd v. Madigan (9th Cir. 1969) 418 F.2d 1032 is factually inapposite because the defendant in that case was steadily employed and refrained from drinking during the work week. (Id. at p. 1034.) Budd did not involve or address the issue of whether an involuntarily homeless, chronic alcoholic could constitutionally be convicted of public intoxication. Although the court in In re Spinks (1967) 253 Cal.App.2d 748 [61 Cal.Rptr. 743] concluded the petitioner’s section 647, subdivision (f) public intoxication conviction did not punish him for his status as a chronic alcoholic in violation of the Robinson holding, that case is factually inapposite because the petitioner had a home.
The record does not support the People’s assertion that Kellogg’s homelessness was by choice. In support of their assertion, the People cite the testimony of Officer Hawley that she had offered Kellogg assistance on three occasions and each time he declined help. Considering the extensive expert testimony in the record regarding Kellogg’s chronic alcoholism, dementia, severe cognitive impairment, and schizoid personality disorder, his rejection of generalized offers of assistance cannot be viewed as a “choice” or voluntary decision by Kellogg to remain homeless.
Although the People assert that incarceration of Kellogg provides him with treatment similar to or better than he would receive were he civilly committed, the quality of his treatment in jail does not prevent his criminal conviction from constituting cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments. As Justice Fortas stated in his dissenting opinion in Powell: “It is entirely clear that the jailing of chronic alcoholics is punishment. It is not defended as therapeutic, nor is there any basis for claiming that it is therapeutic (or indeed a deterrent). The alcoholic offender is caught in a ‘revolving door’—leading from arrest on the street through a brief, unprofitable sojourn in jail, back to the street and, eventually, another arrest. The jails, overcrowded and put to a use for which they are not suitable, have a destructive effect upon alcoholic inmates.” (Powell v. Texas, supra, 392 U.S. at pp. 564—565 (dis. opn. of Fortas, J.), fns. omitted.)
Cruel or Unusual Punishment under the California Constitution
The parties submitted supplemental briefs on the issue of whether Kellogg’s section 647, subdivision (f) public intoxication conviction violates article I, section 17 of the California Constitution, which provides: “Cruel or unusual punishment may not be inflicted or excessive fines imposed.” (Italics added.) This issue appears to be one of first impression in the California courts.
Because the delegates to the Constitutional Convention in 1849 chose to use the disjunctive “or” in language adopted for the California Constitution’s original provision prohibiting cruel or unusual punishment, rather than the conjunctive “and” as used in similar provisions in the federal and other states’ Constitutions, the framers of the California Constitution intended that both cruel punishment and unusual punishment be prohibited. (People v. Anderson (1972) 6 Cal.3d 628, 634-637 [100 Cal.Rptr. 152, 493 P.2d 880], abrogated on other grounds by constitutional amendment as noted in People v. Hill (1992) 3 Cal.4th 959, 1015 [13 Cal.Rptr.2d 475, 839 P.2d 984].) Furthermore, article I, section 24 of the California Constitution provides: “Rights guaranteed by this Constitution are not dependent on those guaranteed by the United States Constitution.”
However, because the California Supreme Court typically has not discussed the two Lynch punishment comparison factors in deciding whether a defendant’s punishment is unconstitutionally excessive under the California Constitution and such comparisons do not appear helpful in resolving that issue in this case, the focus is on the nature of the offense and the offender in discussing whether Kellogg’s public intoxication conviction is cruel or unusual punishment under article I, section 17 of the California Constitution. (People v. Cox, supra, 30 Cal.4th at pp. 969-970; People v. Lucero, supra, 23 Cal.4th at p. 740; People v. Smithey, supra, 20 Cal.4th at pp. 1015-1016; People v. Hines, supra, 15 Cal.4th at p. 1078; People v. Cox, supra, 53 Cal.3d at p. 690; People v. Dillon (1983) 34 Cal.3d 441, 479, 482-489 [194 Cal.Rptr. 390, 668 P.2d 697].)
A section 647, subdivision (f) public intoxication offense, both in the abstract and as committed by Kellogg, is a nonviolent, fairly innocuous offense. It essentially involves the defendant being in a public place under the influence of alcohol and unable to exercise care for his or her own safety or
Kellogg’s nature and personal characteristics have been extensively discussed ante. Without repeating that discussion, the record shows Kellogg is involuntarily homeless and a chronic alcoholic with a past head injury who suffers from dementia, severe cognitive impairment, and a schizoid personality disorder.
Based on the nature of the offense and the offender, Kellogg’s section 647, subdivision (f) public intoxication conviction “shocks the conscience and offends fundamental notions of human dignity,” and therefore constitutes cruel or unusual punishment in violation of article I, section 17 of the California Constitution. (People v. Cox, supra, 30 Cal.4th at p. 970; People v. Lucero, supra, 23 Cal.4th at p. 740; cf. State ex rel. Harper v. Zegeer (W.Va. 1982) 170 W.Va. 743 [296 S.E.2d 873, 875, 878] [holding conviction of chronic alcoholic for public intoxication constitutes cruel and unusual punishment in violation of West Virginia’s Constitution].) Kellogg’s conviction violates the Eighth Amendment of the United States Constitution and article I, section 17 of the California Constitution.
I would reverse the judgment.
Appellant’s petition for review by the Supreme Court was denied September 22, 2004. George, C. J., did not participate therein. Kennard, J., and Chin, J., were of the opinion that the petition should be granted.
All statutory references are to the Penal Code.
The trial court subsequently revoked Kellogg’s probation after he was arrested again for public intoxication.
Pursuant to California Rules of Court, rule 64(b)(2), a party’s petition for transfer must be served and filed within eight days after the appellate division’s judgment is final.
The appellate court may order a case transferred to it for a hearing and decision if it concludes transfer is necessary to settle an important question of law. (Cal. Rules of Court, rules 62, 64.)
That other District of Columbia statute providing for civil rehabilitation of chronic alcoholics defined a “chronic alcoholic” as “any person who chronically and habitually uses alcoholic beverages to the extent that he has lost the power of self-control with respect to the use of such beverages, or while under the influence of alcohol endangers the public morals, health, safety, or welfare.” (Easter v. District of Columbia, supra, 361 F.2d at p. 52, italics added.)
Easter limited its holding, stating: “We desire to make clear, however, that we are not absolving the voluntarily intoxicated person of criminal responsibility for crime in general under applicable law. [Citation.]” (Easter v. District of Columbia, supra, 361 F.2d at p. 53.)
The dissenting opinion noted: “It is not foreseeable that findings such as those . . . decisive here—namely that the appellant’s being intoxicated in public was a part of the pattern of his disease and due to a compulsion symptomatic of that disease—could or would be made in the case of offenses such as driving a car while intoxicated, assault, theft, or robbery. Such offenses require independent acts or conduct and do not typically flow from and are not part of the syndrome of the disease of chronic alcoholism. If an alcoholic should be convicted for criminal conduct which is not a characteristic and involuntary part of the pattern of the disease as it afflicts him, nothing herein would prevent his punishment.” (Powell v. Texas, supra, 392 U.S. at p. 559, fn. 2.)
Interestingly, in an initial vote of the justices, Justice White sided with Justices Douglas, Brennan, Stewart, and Portas (ultimately the four dissenting justices) to reverse the appellant’s conviction, but later switched his vote and wrote a separate concurring opinion. (Robinson, Powell v. Texas: The Case of the Intoxicated Shoeshine Man Some Reflections a Generation Later by a Participant (1999) 26 Am. J. Crim. Law 401, 427.)
The trial court in Sundance v. Municipal Court (1986) 42 Cal.3d 1101 [232 Cal.Rptr. 814, 729 P.2d 80] concluded section 647, subdivision (f) violated the cruel and/or unusual punishment clauses of the federal and state Constitutions as applied to a chronic alcoholic who proves “he is ‘(1) unable to refrain from drinking alcohol to the point where he is [un]able to care for himself or others, and (2) unable (a) by reason of the disease, or (b) indigency, to refrain from being in public while intoxicated.’ ” (Sundance, at pp. 1117-1118.) Although the California Supreme Court affirmed the trial court’s injunction against the governmental defendants, it did not address the Eighth Amendment issue. (Sundance, at p. 1118, fn. 11.) Sundance noted: “Since defendants do not challenge the trial court’s finding that section 647(f) is unconstitutional as applied to certain chronic alcoholics, this court expresses no view as to the propriety of that finding.” (Ibid.)
The linguistic debate regarding the meaning and scope of the terms “status” and “condition” and whether the Eighth Amendment prohibits punishment of both or only status, as argued in the plurality and dissenting opinions in Powell, is unhelpful. (Powell v. Texas, supra, 392 U.S. at pp. 533-534 (plur. opn. of Marshall, J.); id. at pp. 567-568 (dis. opn. of Fortas, J.).) Regardless of the label applied to Kellogg and his homelessness, it is cruel and unusual punishment in violation of the Eighth and Fourteenth Amendments to convict an involuntarily homeless, chronic alcoholic of the crime of public intoxication.
The trial court found that Kellogg “is a dually diagnosed individual, meaning that he has both chronic alcohol dependence and a mental disorder.” Considering the uncontradicted record in this case, the trial court’s reference to Kellogg’s mental disorder includes his dementia, severe cognitive impairment, and schizoid personality disorder.
Because the record in this case shows Kellogg was involuntarily homeless, it is unnecessary to decide whether a voluntarily homeless, chronic alcoholic can be constitutionally convicted of public intoxication. (Cf. Driver v. Hinnant, supra, 356 F.2d at pp. 764—765 [holding public intoxication conviction of chronic alcoholic violates Eighth Amendment]; Easter v. District of Columbia, supra, 361 F.2d at pp. 53-55 (plur. opn. of Fahy, J.) [same].)
In Spinks, the court noted that the petitioner testified the reason he had not been arrested more often for public intoxication was because his “ ‘drinking was mainly done at home’ or by himself.” (In re Spinks, supra, 253 Cal.App.2d at p. 750.)
People v. Omori (1972) 25 Cal.App.3d 616, 618-621 [102 Cal.Rptr. 64], and People v. Zapata (1963) 220 Cal.App.2d 903, 905-907 [34 Cal.Rptr. 171], cited by the People, are factually inapposite, holding only that conviction of drug addicts for drug possession is not punishment of status in violation of the Eighth Amendment under Robinson. Neither case involved or addressed the issue of whether an involuntarily homeless, chronic alcoholic could constitutionally be convicted of public intoxication.
See footnote 9, ante.
In Raven v. Deukmejian (1990) 52 Cal.3d 336, 350-355 [276 Cal.Rptr. 326, 801 P.2d 1077], the Supreme Court declared unconstitutional the second paragraph of article I, section 24 of the California Constitution, which was added in 1990 by Proposition 115 and provided: “In criminal cases the rights of a defendant... to not suffer the imposition of cruel or unusual punishment, shall be construed by the courts of this state in a manner consistent with the Constitution of the United States. This Constitution shall not be construed by the courts to afford greater rights to criminal defendants than those afforded by the Constitution of the United States . . . .”
At the time of the instant offense, Kellogg was 44 years old. His extensive criminal history consists primarily of public intoxication offenses.
Reference
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