State v. Box
State v. Box
Opinion of the Court
Facts of Case
At issue in this criminal case is whether the defendant was unconstitutionally assigned the burden of proving his insanity when he was tried and convicted of murder in the first degree.
Jeremy Box confessed that on the morning of May 27, 1984, he strangled Vesta Badeau and cut off her head with a butcher knife. In his recorded confession, the validity of which has not been questioned, he admitted that he had "premeditated it. . . throughout just about the entire . . . night."
On June 6, 1984, he was charged by a second amended information with murder in the first degree, while armed with a deadly weapon. He entered a plea of not guilty by reason of insanity.
A jury trial was held in Superior Court for King County. Defense counsel proposed jury instructions that would have given the State the burden of proving the defendant's sanity beyond a reasonable doubt. The trial court declined to give these instructions and instead instructed the jury that the defendant had the burden of proving his insanity by a preponderance of the evidence.
The jury returned a verdict of guilty as charged. The trial court subsequently sentenced the defendant to life imprisonment. The Court of Appeals affirmed the conviction in an unpublished opinion. We granted discretionary review.
One issue is presented.
Issue
Was it unconstitutional to require the defendant to prove
Decision
Conclusion. Insanity, by force of statute, is an affirmative defense in the State of Washington which must be raised by the defendant and proved by the defendant by a preponderance of the evidence. The legislative directives to this effect do not offend either state or federal due process guaranties.
By statute in this state, insanity is a defense that the defendant has the burden of establishing by a preponderance of the evidence.
The burden which the defendant here seeks to transfer is the burden of persuasion. All courts require a defendant to bear the initial burden of producing some evidence of insanity, since the law presumes that defendants are sane at the time an alleged offense is committed.
First, we consider those jurisdictions that place the persuasion burden on the prosecution when insanity is at issue. Those jurisdictions argue that the two basic elements of a crime are a criminal act (actus reus) and a criminal intent (mens rea).
Next we examine the other jurisdictions which, like Washington, place the burden on the defendant. These jurisdictions do not perceive a necessary relationship
In the federal system, recent legislation transferred the burden of persuasion from the prosecution to the defendant, who is now required to prove his or her insanity by clear and convincing evidence.
In 1952, the United States Supreme Court upheld an Oregon statute, since repealed, that required the accused to establish his insanity "beyond a reasonable doubt".
In Mullaney, the Court held that a Maine statute requiring a murder defendant to prove that he acted in the heat of passion violated the Winship due process requirement that the prosecution must prove every fact necessary to constitute the crime charged.
The United States Supreme Court expressly declined to
[O]nce the facts constituting a crime are established beyond a reasonable doubt, based on all the evidence including the evidence of the defendant's mental state, the State may refuse to sustain the affirmative defense of insanity unless demonstrated by a preponderance of the evidence.
Patterson, at 206. The Patterson opinion added that proof of the nonexistence of all affirmative defenses has never been constitutionally required.
It is thus apparent that under current federal law, the fact of insanity does not negate, and is not even directly related to, the element of mens rea or intent. Accordingly, sanity does not become an element of a crime and federal due process guaranties requiring the prosecution to prove all facts constituting a crime are not offended when a defendant is given the burden of proving his or her claim of insanity.
The defendant and amicus curiae argue, however, that a different result is required under Washington case law and
In McCullum, this court held that in a first degree murder prosecution, the State must prove the absence of self-defense beyond a reasonable doubt.
Both opinions initially cited Winship in noting that due process requires the prosecution to prove beyond a reasonable doubt every fact necessary to constitute the crime charged.
In considering part one of this test, both McCullum and Acosta commented on the new criminal code's silence con
Here we are presented with clear-cut proof that the Legislature did intend to require a defendant to prove his or her claim of insanity. RCW 10.77.030(2), which allocates the insanity burden of proof to defendants, codifies the common law rule in existence in this state from territorial days.
Turning to part two of the McCullum test, the court there concluded that self-defense negates the element of intent, which is an element that the State must prove in a first degree murder case.
Self-defense has been held to negate the mens rea of first
By contrast, committing an act under an insane impulse does not make that act lawful. Rather, if a claim of insanity is raised, once the elements of murder are proved, the defendant's inability to distinguish right from wrong is examined in an attempt to determine his or her culpability for the murder.
[IJnsanity entitles a defendant to an acquittal not because it establishes innocence (i.e., state has failed to prove element of criminal intent) but because the state declines to convict or punish one shown to have committed the crime while mentally impaired. ... In other words, the mental state of "insanity" does not go to the elements of the crime but merely the ultimate culpability of the accused.
(Citations omitted.) Gilcrist v. Kincheloe, 589 F. Supp. 291, 294 (E.D. Wash. 1984), aff'd, 774 F.2d 1173 (9th Cir. 1985).
It is, therefore, our conclusion that insanity does not negate any element of first degree murder. Under the second part of the McCullum and Acosta test, the absence of insanity is not an element of first degree murder and need not be proven beyond a reasonable doubt by the State. We further conclude that the statute (RCW 10.77.030(2)), which requires a defendant to prove a claim of insanity by a preponderance of the evidence, offends neither federal nor state due process guaranties.
The trial court did not err in declining to give the defendant's proposed instructions pertaining to the insanity burden of proof nor did the Court of Appeals err in affirming the defendant's conviction of murder in the first degree.
Affirmed.
Pearson, C.J., Brachtenbach, Dolliver, Callow, and Durham, JJ., and Schumacher, J. Pro Tern., concur.
RAP 13.4(b).
RCW 10.77.030(2).
RCW 9A.12.010; State v. Crenshaw, 98 Wn.2d 789, 793, 659 P.2d 488 (1983).
Comment, Recent Changes in Federal Law: The Federal Insanity Defense, 46 La. L. Rev. 337, 357 (1985).
R. Slovenko, The Insanity Defense in the Wake of the Hinckley Trial, 14 Rutgers L. Rev. 373, 388 (1983); see also State v. Clark, 34 Wash. 485, 496, 76 P. 98 (1904).
1 W. LaFave & A. Scott, Jr., Substantive Criminal Law § 4.5(e), at 499-501 (1986).
G. Morris, The Insanity Defense: A Blueprint for Legislative Reform 43 (1975).
G. Morris, at 43.
G. Morris, at 43.
Comment, 46 La. L. Rev. at 357; Slovenko, 14 Rutgers L. Rev. at 388.
Slovenko, 14 Rutgers L. Rev. at 388.
D. Hermann, The Insanity Defense 15 (1983); G. Morris, at 43.
G. Morris, at 43.
18 U.S.C. § 17.
Comment, 46 La. L. Rev. at 355.
Leland v. Oregon, 343 U.S. 790, 96 L. Ed. 1302, 72 S. Ct. 1002 (1952).
Leland, at 799.
See G. Morris, at 44.
Mullaney v. Wilbur, 421 U.S. 684, 704, 44 L. Ed. 2d 508, 95 S. Ct. 1881 (1975) (Rehnquist, J., concurring).
Mullaney, at 706 (Rehnquist, J., concurring).
Patterson v. New York, 432 U.S. 197, 206-07, 53 L. Ed. 2d 281, 97 S. Ct. 2319 (1977).
Patterson, at 210.
State v. McCullum, 98 Wn.2d 484, 496, 656 P.2d 1064 (1983).
State v. Acosta, 101 Wn.2d 612, 616, 683 P.2d 1069 (1984).
McCullum, at 490.
See McCullum, at 490; Acosta, at 615.
Acosta, at 615-16.
State v. McDonald, 89 Wn.2d 256, 271, 571 P.2d 930 (1977).
See McDonald, at 271.
McCullum, at 495.
Acosta, at 616.
RCW 9A.16.020(3).
RCW 9A.08.010(l)(a); State v. Russell, 47 Wn. App. 848, 851, 737 P.2d 698 (1987).
See Russell, at 851; State v. Peters, 47 Wn. App. 854, 859, 737 P.2d 693 (1987).
RCW 9A.08.010(l)(b)(i); Russell, at 851.
See D. Hermann, at 127.
State v. Bingham, 105 Wn.2d 820, 823, 719 P.2d 109 (1986).
Dissenting Opinion
(dissenting) — I dissent.
The majority holds that the defendant in a criminal trial may be required to bear the burden of persuasion on the issue of insanity. This violates the state constitution's guaranty of due process because sanity is an element of criminal intent, and therefore of the crime charged, and because the burden of proving every element of the crime
The majority recognizes the latter rule because it could not do otherwise. It is well established under both the state and United States constitutions that the burden of persuasion on an element of the crime may never be shifted to the defendant. State v. Roberts, 88 Wn.2d 337, 340, 562 P.2d 1259 (1977); State v. Kroll, 87 Wn.2d 829, 558 P.2d 173 (1976); Mullaney v. Wilbur, 421 U.S. 684, 44 L. Ed. 2d 508, 95 S. Ct. 1881 (1975); In re Winship, 397 U.S. 358, 364, 25 L. Ed. 2d 368, 90 S. Ct. 1068 (1970).
The majority reaches its result in spite of this well established rule by holding that sanity is not an element of the crime charged. Instead, it is contended, the defense of insanity is established by the Legislature as a separate matter of policy, and it may be expanded or contracted by the Legislature without constitutional restraint. The majority breaks the link between sanity and criminal intent or mens rea, and concludes it is therefore not unconstitutional to require the defendant to rebut a presumption of sanity.
This is contrary to the established law of this state, which has recognized from its earliest days that sanity is an element of intent, and of the crime charged, and that this is a rule of constitutional magnitude. In State v. Strasburg, 60 Wash. 106, 110 P. 1020 (1910), the court overturned an attempt by the Legislature to abolish the insanity defense completely. Article 1, section 3 of the Washington Constitution prohibited this, the court reasoned, because sanity is an element of intent and of mens rea to be proved by the state as part of its case.
We believe enough has been said to show that the sanity of the accused, at the time of committing the act charged against him, has always been regarded as much a substantive fact, going to make up his guilt, as the fact of his physical commission of the act.
Strasburg, at 119. The Strasburg court explicitly rejected the premise of the majority here, that the insanity defense is a creature of statute, its force and scope a matter for the Legislature alone to decide. The State made the same
Learned counsel for the state contend that the legislature has the power to eliminate the element of intent from any and all crimes, and that it can provide punishment for the commission of any act it chooses to define as criminal, regardless of the intent or want of intent with which such act may be committed. . . .
. . . Whatever the power may be in the legislature to eliminate the element of intent from criminal liability, we are of the opinion that such power cannot be exercised to the extent of preventing one accused of crime from invoking the defense of his insanity at the time of committing the act charged, and offering evidence thereof before the jury. One so accused had this right at the time of the adoption of our constitution, and we are of the opinion that the question is so inherently related to the guilt or innocence of all accused persons that it cannot be now taken away from them without violating these guarantees of the constitution.
Strasburg, at 120-21.
It may be contended that Strasburg merely prohibits the Legislature from abolishing the defense, but does not bar it from limiting the defense by placing the burden of persuasion on the defendant. This ignores the reasoning of the case. The defense has constitutional standing and cannot be affected in any way by mere statute. What is more, it is of constitutional magnitude because sanity is an inseparable part of mens rea. The Legislature may not tamper with the defense because "the sanity of the accused . . . [is] as much a substantive fact, going to make up his guilt, as the fact of his physical commission of the act." Strasburg, at 119. If sanity is a part of mens rea, the burden of establishing it cannot be shifted to the defendant. State v. Roberts, supra; In re Winship, supra.
The constitutional premise of Strasburg has been repeatedly recognized by this court. See State v. Hennessy, 114 Wash. 351, 368, 195 P. 211 (1921); State v. White, 60 Wn.2d 551, 374 P.2d 942 (1962), cert. denied, 375 U.S. 883 (1963). In White, the court wrote:
This court reasoned that the element of mens rea or*333 "guilty mind," constitutionally cannot be ignored and that mental irresponsibility, which negates the existence of mens rea, cannot, therefore, be abolished as a defense.
(Italics mine.) White, at 597. The majority now chooses to abandon this settled understanding that sanity is a component of mens rea, and to do so without even a mention of Strasburg, Hennessy or White.
Of course, it might be argued that the court's holding today implicitly overrules or limits Strasburg. That might be plausible if the premise of Strasburg did not enter into the very definition of insanity in this state. It does, however. Both the definition of insanity and the definition of criminal intent in Washington turn on an appreciation of the unlawfulness of the act committed. If a defendant cannot appreciate the unlawfulness of his act, so that he meets the definition of insanity, it necessarily follows that he cannot appreciate the unlawfulness of his act, and so cannot form criminal intent. Sanity is an element of intent, of mens rea, and of the crime charged. The burden of persuasion cannot constitutionally be shifted to the defendant.
Washington has adopted the M'Naghten rule of insanity by statute. RCW 9A.12.010 provides in part:
To establish the defense of insanity, it must be shown that:
(1) At the time of the commission of the offense, as a result of mental disease or defect, the mind of the actor was affected to such an extent that:
(a) He was unable to perceive the nature and quality of the act with which he is charged; or
(b) He was unable to tell right from wrong with reference to the particular act charged.
The second disjunctive element in this test has always been interpreted to mean: Can the defendant form the requisite mens rea to imply culpability? In State v. Reece, 79 Wn.2d 453, 456, 486 P.2d 1088 (1971), this court wrote: "[T]he purpose of the insanity test is to aid in determining the culpability of the defendant, that is, to obtain an answer to the question: did he have the requisite intent to establish the mens rea?" State v. Collins, 50 Wn.2d 740, 754, 314
The law inquires not into the peculiar constitution of mind of the accused, or the mental weaknesses or disorders or defects with which he may be afflicted, but solely into the question of his capacity, at the time he committed a forbidden act, to have a criminal intent.
This is the very same criminal intent which the State is required to prove as part of its case. The statutory definition of criminal intent, RCW 9A.08.010(l)(a), provides: "Intent. A person acts with intent or intentionally when he acts with the objective or purpose to accomplish a result which constitutes a crime." This has been interpreted by this court to mean that criminal intent with regard to homicide consists in part in an appreciation of the unlawfulness of the act.
Rather, it appears to us that unlawfulness — including the absence of self-defense — is an essential ingredient of the crime charged. Since proof of self-defense negates the element of intent in first degree murder, requiring an accused to prove self-defense places on him or her the burden of proving absence of an unlawful criminal intent.
State v. McCullum, 98 Wn.2d 484, 496, 656 P.2d 1064 (1983). In other words, under the law of this State as it has heretofore been understood, criminal intent and sanity both consist of an appreciation of the unlawfulness of the act. The wedge the majority drives between them in order to shift the burden of persuasion on insanity to the defendant violates the integrity of our criminal law. The court should hesitate to take such a step.
The majority argues that McCullum is not apposite because it deals with self-defense and because self-defense, unlike insanity, is expressly declared by statute to render the act of homicide lawful. RCW 9A.16.020(3). This ignores the fact that the element of intent might be absent, and the act lawful, for a different reason. Intent might be absent because the defendant was insane; because he could not appreciate the unlawfulness of his act and because the Legislature and this court have defined both criminal intent
The majority also argues that the court has already approved the constitutionality of shifting the burden of proving insanity, citing State v. McDonald, 89 Wn.2d 256, 271-72, 571 P.2d 930 (1977). However, the court there upheld the burden-shifting statute, RCW 10.77.030(2), against a federal constitutional challenge. The court did not separately consider independent state constitutional grounds for overturning the statute. Those grounds have, however, been raised by appellant here, and the court should carefully consider them. The majority does not do so.
We recently set forth the nonexclusive factors to be considered when deciding to rely on the state constitution to grant broader individual rights than those afforded by the federal constitution. State v. Gunwall, 106 Wn.2d 54, 720 P.2d 808 (1986). The fourth factor is said to be:
4. Preexisting state law. Previously established bodies of state law, including statutory law, may also bear on the granting of distinctive state constitutional rights. State law may be responsive to concerns of its citizens long before they are addressed by analogous [federal] constitutional claims. Preexisting [state] law can thus help to define the scope of a constitutional right later established.
106 Wn.2d at 61-62. Nothing could describe this situation more accurately. The Strasburg case, decided in 1910, expressly relied on state, not federal, constitutional grounds. The issue was framed as whether, at the time the Washington Constitution was adopted, the principle of insanity's negating mens rea was firmly established and therefore incorporated into the State's constitution.
We have quoted from and cited authorities upon this question to this extent in order to show . . . how firmly fixed in our system of jurisprudence was this doctrine of incapacity of insane persons to commit crime at the time of the enactment of our criminal code of 1909, but, also, to conclusively show that, at the time of the adoption of*336 our constitution,. . . this doctrine was in full force in the territory of Washington as a part of the common law, unimpaired by judicial decision or legislative enactment.
(Italics mine.) Strasburg, 60 Wash, at 115.
I would therefore reverse appellant's conviction and remand the case to the trial court for a new trial under a proper instruction on the burden of persuasion on the insanity defense.
Utter, J., concurs with Dore, J.
The opinion here discusses the definition of insanity in connection with the right to a jury trial and the incorporation of that definition into that guaranty. The same reasoning applies to the decision's alternative ground, the due process guaranty of Const, art. 1, § 3.
Reference
- Full Case Name
- The State of Washington, Respondent, v. Jeremy A. Box, Petitioner
- Cited By
- 43 cases
- Status
- Published