United States of America Ex Rel. Regent Goddard v. James T. Vaughn, Superintendent, Delaware Correctional Center, 614 F.2d 929, 3rd Cir. (1980)
United States of America Ex Rel. Regent Goddard v. James T. Vaughn, Superintendent, Delaware Correctional Center, 614 F.2d 929, 3rd Cir. (1980)
2d 929
The question in this appeal is whether a state may place the burden of proving
voluntary intoxication on an accused who invokes it as a defense to a crime
requiring specific intent. We find no constitutional prohibition to such a
statutory allocation of the onus probandi and affirm the denial of a petition for a
writ of habeas corpus filed by a state prisoner convicted of first degree murder.
A Delaware state court convicted the petitioner of first degree murder, first
degree rape, and first degree conspiracy. He is serving sentences of life
imprisonment for the murder and rape convictions and 30 years for the
conspiracy count. After exhausting state remedies, he sought a writ of habeas
corpus in the federal district court only with respect to the conviction for
murder.1 After reviewing records of the state proceedings, the court denied the
petition.
3
In February of 1976, the petitioner, then 18 years of age, and two other youths,
Robert W. Jones, Jr., the petitioner's codefendant in state court, and Carey Dale
Shirk, were living on the second floor of a farmhouse in Smyrna, Delaware.
Goddard and Jones had rented the rooms from a third party while the owner, a
woman over 70 years of age, was away. When she returned a week after the
premises had been rented, Goddard suggested to his roommates that they kill
her to avoid paying rent. The three youths then went to a pool hall for about
two hours. When they came back to the farmhouse, Goddard again proposed
that they lure the landlady to their rooms and kill her. After instructing his
roommates to hide, he went to the first floor and persuaded the woman to
accompany him upstairs. After she entered the rooms, he attacked her. Shirk
fled, but Jones remained in an adjoining room. Goddard then bound, raped, and
strangled the woman.
Jones came into the room as Goddard finished killing his victim and assisted in
disposing of her body. They placed the corpse in the trunk of the victim's car
and, with Goddard at the wheel, drove to Elkton, Maryland. There, they
concealed the body in a wooded area.
At trial, the petitioner testified that he had taken LSD and smoked marijuana
and "angel dust" shortly before the murder. He contended that as a result he
was hallucinating and never consciously intended to kill the victim. Jones and
Shirk testified that to their knowledge Goddard had not used any drugs on the
day of the killing, and in their opinion he was not intoxicated. Jones stated that
Goddard was "(p)retty calm" and acted "like he knew what he was doing."
The trial judge charged the jury that voluntary intoxication was available as a
defense only if it was "such as to make it impossible for (Goddard) to have the
state of mind required for (the) offense ((first degree murder)). In this case, the
relevant state of mind was the intent to kill the alleged victim." If the defendant
was able to prove the necessary degree of intoxication by a preponderance of
the evidence, then the jury was told to consider whether he was guilty of
second degree murder or manslaughter.2
The court also charged that to find the defendant guilty of murder in the first
degree, the jury had to find two elements: (1) that the defendant caused the
death of the victim, and (2) that the "defendant acted intentionally; that is, it
must have been the defendant's conscious object or purpose to cause death . . . .
If after considering all of the evidence, you find that the State has established
beyond a reasonable doubt that either defendant acted in such a manner as to
satisfy all the elements, which I have just stated, at or about the date and place
stated in the indictment, you should find the defendant guilty of Murder in the
First Degree."
8
Instructions were also given with respect to the lesser degrees of murder and
manslaughter, specifying that the state had the burden of proof beyond a
reasonable doubt. Near the conclusion of the charge, the judge said:
9
"You
should, however, keep in mind that at all times it's the defendant's state of
mind which is at issue here, and in order to convict the defendant, you are required
to find beyond a reasonable doubt that he in fact had the intention and/or
recklessness required for guilt."
10
11
The issue in this case is whether Delaware was constitutionally prohibited from
requiring the petitioner to prove the affirmative defense of voluntary
intoxication by a preponderance of the evidence. Phrased differently, once the
defense of intoxication had been raised, was the prosecutor required to prove its
absence? In charging the jury on intoxication, the trial judge faithfully followed
the provisions of the Delaware Criminal Code, so necessarily we must pass
upon their validity. Resolution of the question requires a brief review of the
relevant statutes and a consideration of several leading cases on the burden of
proof in criminal trials, including In re Winship, 397 U.S. 358, 90 S.Ct. 1068,
25 L.Ed.2d 368 (1970); Mullaney v. Wilbur, supra ; and Patterson v. New
York, supra. We turn first to the statutory framework.
I.
12
At the time Goddard committed his crime, 421 of the Delaware Criminal
Code recognized the defense of voluntary intoxication "if it negative(d) the
element of intentional or intentionally." 59 Del. Laws c. 203, 37 (1973),
amending 58 Del. Laws c. 497, 1 (1972). 3 Section 304 of the Code provides
that when an "affirmative" defense is raised, the defendant must establish it by
a preponderance of the evidence. The burden of proof on the state in every
criminal case is governed by 301(b). It provides: "No person may be
convicted of an offense unless each element of the offense is proved beyond a
reasonable doubt." Del. Code Ann. tit. 11, 301(b) (Michie 1979).
13
The petitioner was charged with first degree murder, "intentionally caus(ing)
the death of another person." Del. Code Ann. tit. 11, 636(a)(1) (Michie 1979).
Although the defense of voluntary intoxication was available to counter the
element of "intentionally," it could not negative the mental state of recklessness
inherent in lesser degrees of homicide where the intoxicant's effect was merely
to make the accused unaware that he had created a risk sufficient to satisfy that
standard. See note 3 supra ; 11 Del. Code Ann. tit. 11, 231(c) (Michie 1979)
(definition of recklessness); Model Penal Code 2.08, comment 3, at 9 (Tent.
Draft No. 9, 1959). Thus, under the Criminal Code, voluntary intoxication only
served to make what otherwise would have constituted first degree murder a
reduced grade of homicide, where recklessness or some less culpable state of
mind is all that is required. See Del. Code Ann. tit. 11, 231 (definitions
regarding state of mind), 635 (second degree murder), 632 (manslaughter), and
631 (criminally negligent homicide) (Michie 1979). Against this statutory
background, we must consider the relevant Supreme Court pronouncements on
the burden of proof.
II.
14
In In re Winship, supra, the Supreme Court held that "the Due Process Clause
protects the accused against conviction except upon proof beyond a reasonable
doubt of every fact necessary to constitute the crime." 397 U.S. at 364, 90 S.Ct.
at 1073. Five years later, in Mullaney v. Wilbur, supra, the Court reviewed the
habeas corpus appeal of a defendant convicted of first degree murder by the
Maine courts. The trial court had charged that malice aforethought was an
essential and indispensable element of murder and was inconsistent with the
defense of heat of passion on sudden provocation. The jury was further
instructed that if the prosecution established that the homicide was both
intentional and unlawful, malice aforethought was to be conclusively implied
unless the defendant proved by a fair preponderance of the evidence that he
acted in the heat of passion on sudden provocation.
15
16
A year after Mullaney was decided, the Court was confronted with a Delaware
statute that placed the burden of proving insanity in a criminal case on the
defendant. In Rivera v. Delaware, 429 U.S. 877, 97 S.Ct. 226, 50 L.Ed.2d 160
(1976), the Court dismissed for want of a substantial federal question an appeal
from the Delaware Supreme Court affirming a conviction in a trial where the
defendant was required to prove insanity. Thus Leland remained viable despite
Mullaney.
17
The next development was Patterson v. New York, supra, a murder case in
which the Court rebuffed a constitutional attack on a state statute that required
the defendant to shoulder the burden of proving the defense of extreme
emotional disturbance. The trial judge charged that the state had to establish
beyond a reasonable doubt that the defendant "intended . . . to kill either the
victim himself or some other human being" and repeated that it was the
prosecution's burden "to prove (defendant's) guilt, and to prove that he intended
to kill in this instance beyond a reasonable doubt." 432 U.S. at 199-200, 97
S.Ct. at 2321-22. The jury also was instructed that the defendant had the burden
of proving his affirmative defense by a preponderance of the evidence. Id. at
200, 97 S.Ct. at 2321.
18
In reviewing the New York statute, the Court noted that "(t)he death, the intent
to kill, and causation are the facts the state is required to prove beyond a
reasonable doubt . . . . No further facts are either presumed or inferred in order
to constitute the crime." Id. at 205-06, 97 S.Ct. at 2324. The Court went on to
say that if an intentional killing were shown, the defendant would be considered
a murderer unless he demonstrated mitigating circumstances. The affirmative
defense of extreme emotional disturbance in these circumstances did not serve
to negative any facts of the crime that the state had to prove in order to convict.
The majority refused to reconsider Leland and Rivera. Mullaney was explained
At the very least, Mullaney has been substantially narrowed by Patterson. See
id. at 221-25, 97 S.Ct. at 2332-34 (Powell, J., dissenting). On the same day that
Patterson was decided, the Court, in Hankerson v. North Carolina, 432 U.S.
233, 97 S.Ct. 2339, 53 L.Ed.2d 306 (1977), held that Mullaney was retroactive.
Significantly, however, Justice Blackmun and the Chief Justice held out an
invitation to the state court to reexamine in light of Patterson its position that
placing the burden of proving self-defense on the accused violated due process.
Id. at 245, 97 S.Ct. at 2346.4 III.
20
There are striking similarities between Patterson and the case at bar. Here, the
state had the burden to prove all the elements of the crime including intent.
There was no presumption operating to establish one fact by proof of another as
Patterson found present in Mullaney. The defense of intoxication is premised
on the same general theory as extreme emotional disturbance, that is, an
impairment of the intellectual process brought on here by drugs and in
Patterson by an emotional upheaval. Both to some extent may be loosely
characterized as a temporary degree of insanity. W. LaFave & A. Scott,
Handbook on Criminal Law 45, at 342 (1972),5 although under the Delaware
Code insanity is a complete defense. Del. Code Ann. tit. 11, 401 (Michie
1979). Voluntary intoxication, if it eliminated the intent to kill, reduced the
severity of the crime, but it did not excuse the defendant from the consequences
of other gradations of homicide. In that respect, the defense is similar to that of
extreme emotional disturbance which, if established, would reduce the crime
from first degree murder to a lesser degree of homicide.
21
22
Historically a majority of the states have placed the burden of proving the
defense of voluntary intoxication on the defendant in a criminal case.6 Indeed,
before the adoption of the Delaware Criminal Code, that state so allocated the
burden as a matter of common law. Fisher v. State, 4 Storey 542, 546-47, 54
Del. 542, 546-47, 182 A.2d 333, 335 (1962); State v. Kupis, 7 W.W.Harr. 27,
31, 37 Del. 27, 31, 179 A. 640, 641 (1935). In Patterson, the Court held, "Proof
of the nonexistence of all affirmative defenses has never been constitutionally
required . . . ." 432 U.S. at 210, 97 S.Ct. at 2327. It stated:
23
"Long before Winship, the universal rule in this country was that the
prosecution must prove guilt beyond a reasonable doubt. At the same time, the
long-accepted rule was that it was constitutionally permissible to provide that
various affirmative defenses were to be proved by the defendant. This did not
lead to such abuses or to such widespread redefinition of crime and reduction of
the prosecution's burden that a new constitutional rule was required. This was
not the problem to which Winship was addressed. Nor does the fact that a
majority of the States have now assumed the burden of disproving affirmative
defenses for whatever reasons mean that those States that strike a different
balance are in violation of the Constitution."
24
Id. at 211, 97 S.Ct. at 2327 (footnotes omitted). The Court also commented
approvingly on the statement by Chief Judge Breitel of the New York Court of
Appeals that to discourage the use of affirmative defenses may be misguided
since they may be used to ameliorate the statutory scheme for punishment of
crime rather than foster rigidity. Id. at 211 n.13, 97 S.Ct. at 2327 n.13.
25
That factor is present here because Delaware provided for the affirmative
defense of voluntary intoxication, although it was not required either
constitutionally or at common law.7 In an attempt to limit the exposure of the
defendants to conviction for a crime requiring specific intent, however, the
legislature provided for intoxication as a mitigating factor. A gratuitous defense
having been provided, it is not constitutionally perverse for the state to insist
that the defendant assume the responsibility of proving his contention by a
preponderance of the evidence.8 As the Patterson Court noted, statutes
requiring proof of certain affirmative defenses fall within an area in which the
legislature has room to maneuver. And as the holding implies, such matters as
heat of passion and voluntary intoxication are in this category.
26
Moreover, since the Court has held that the defense may be required to
establish insanity, Rivera v. State, supra; Leland v. Oregon, supra, it follows
that a state may impose the burden of proof upon the accused when the effect
upon rational behavior may be less severe. Indeed, in the case of voluntary
intoxication, the state has displayed an even greater degree of leniency because
the impaired intellectual functioning was caused by the defendant's own
voluntary act, unlike deficiencies caused by forces beyond one's control.
27
Examining the manner in which this defense was presented to the jury further
27
Examining the manner in which this defense was presented to the jury further
convinces us that Goddard suffered no harm. The trial judge instructed the jury
on numerous occasions that the state was required to prove beyond a reasonable
doubt all the elements of first degree murder including the intent to kill. There
can be no doubt that reasonable jurors would have understood from the
instructions as a whole that if the state failed to prove the requisite intent, they
necessarily had to acquit the defendant of first degree murder. See Sandstrom v.
Montana, 442 U.S. 510, 514-19, 99 S.Ct. 2450, 61 L.Ed.2d 39 (1979); Cupp v.
Naughten, 414 U.S. 141, 146-47, 94 S.Ct. 396, 400, 38 L.Ed.2d 368 (1973).
28
29
30
The statutory scheme and the instructions given to the jury did not
unconstitutionally shift any part of the state's burden to the petitioner, and,
accordingly, the district court properly denied the petition for a writ of habeas
corpus, albeit on a different ground. The order will be affirmed.
The petitioner was originally sentenced to death for the crime of first degree
murder but was resentenced to life in prison without parole when the Supreme
Court of Delaware held the death sentence unconstitutional. State v. Spence,
367 A.2d 983 (Del.1976)
The instruction on intoxication reads as follows:
"As to the charges of Murder in the First Degree to which the law requires
specific intent, the defendant Goddard has asserted as an affirmative defense
that the defendant was intoxicated at the time of the offense. Under the
Criminal Code, voluntary intoxication is available as a defense only if it
negatives the elements of intention required for the commission of the offense.
In order to establish the affirmative defense of voluntary intoxication, it's
necessary for the defendant to satisfy you by a preponderance of the evidence
of the following propositions:
One, at the time of the killing the defendant was voluntarily intoxicated.
Intoxication means the inability resulting from the introduction of substances
into the body to exercise control over one's mental faculties. Voluntary
intoxication means intoxication caused by substances which a person
knowingly introduces into his body, the tendency of which is to cause
intoxication he knows or should know.
Two, the defendant's intoxication must have been such as to make it impossible
for him to have the state of mind required for commission of the offense. In this
case the relevant state of mind was the intent to kill the alleged victim.
If you find that the affirmative defense of voluntary intoxication has been
established by a preponderance of the evidence, you should find the defendant
Goddard (not) guilty of the crime of Murder in the First Degree. You should
then go on to consider whether the defendant is guilty of Murder in the Second
Degree or of a form of Manslaughter under circumstances of which the law
does not require the existence of the state of mind of intent to kill." (The word
"not" was inadvertently left out of the transcript by the court reporter.)
looks upon this as an aggravation of the offense, rather than as an excuse for
criminal misbehavior." 4 W. Blackstone, Commentaries *25-26 The accuracy
of the aggravation approach has been questioned, but it appears to be generally
accepted that at common law intoxication was not a defense. Hall, Intoxication
And Criminal Responsibility, 57 Harv.L.Rev. 1045, 1046 (1944).
6
Hall, supra note 5, at 1048. E. g., State v. Quigley, 135 Me. 435, 438-39, 199
A. 269, 271-72 (1938); State v. Kelly, 216 N.C. 627, 648-50, 6 S.E.2d 533,
545-46 (1940); State v. Tune, 17 N.J. 100, 114-15, 110 A.2d 99, 107 (1954),
cert. denied, 349 U.S. 907, 75 S.Ct. 584, 99 L.Ed. 1243 (1955); State v. French,
171 Ohio St. 501, 502-05, 172 N.E.2d 613, 614-16, cert. denied, 366 U.S. 973,
81 S.Ct. 1941, 6 L.Ed.2d 1263 (1961). The recent trend is to hold that once the
defendant has met the burden of going forward with evidence of voluntary
intoxication, the prosecution must persuade the trier of fact that the defendant
was not so intoxicated that he is entitled to the defense. McCormick on
Evidence 341, at 800-02 (2d ed. E. Cleary 1972); see W. LaFave & A. Scott,
supra 45, at 351. E. g., People v. Evrard, 55 Ill.App.2d 270, 273, 204 N.E.2d
777, 778-79 (1965) (by statute); State v. Templeton, 258 N.W.2d 380, 382-83
(Iowa 1977); Commonwealth v. Rose, 457 Pa. 380, 386-90, 321 A.2d 880, 88385 (1974)
Some states have held that voluntary intoxication is not a defense. E. g., Dye v.
State, 220 Ga. 113, 115, 137 S.E.2d 465, 467 (1964); State v. Cornwall, 95
Idaho 680, 685, 518 P.2d 863, 868 (1974) (by statute); State v. Richardson, 495
S.W.2d 435, 440 (Mo.1973) (en banc); DuBois v. State, 164 Tex.Crim. 557,
562, 301 S.W. 97, 101 (1957) (by statute), cert. denied, 356 U.S. 921, 78 S.Ct.
705, 2 L.Ed.2d 717 (1958); State v. Stacy, 104 Vt. 379, 407, 160 A. 257, 269
(1932). See Annot., 8 A.L.R.3d 1236, 1240-42 (1966). Cf. Chittum v.
Commonwealth, 211 Va. 12, 17-18, 174 S.E.2d 779, 782-83 (1970) (voluntary
intoxication excuses no crime but may reduce murder from first to second
degree)
See the discussion of the "greater includes the lesser" theory in Jeffries &
Stephan, Defenses, Presumptions and the Burden of Proof in Criminal Law, 88
Yale L.J. 1325 (1979)