FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
SUSAN K. CARPENTER JEFFREY A. MODISETT
Public Defender of Indiana
Attorney General of Indiana
GREGORY L. LEWIS BARBARA GASPER HINES
Deputy Public Defender Deputy Attorney General
Indianapolis, Indiana
Indianapolis,
Indiana
GUADALUPE A. SANCHEZ, )
)
Appellant-Defendant, )
)
vs. ) No. 92A03-9908-CR-322
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
OPINION - FOR PUBLICATION
Id. (quoting Sills, 463 N.E.2d at 242) (emphasis in original) (citations omitted).
The court further explained:
Any factor which serves as a denial of the existence of
mens rea
must be considered by a trier of fact before a guilty finding is
entered. Historically, facts such as age, mental condition, mistake or intoxication have
been offered to negate the capacity to formulate intent. The attempt by
the legislature to remove the factor of voluntary intoxication, except in limited situations,
goes against this firmly ingrained principle.
Id. Finally, the court concluded by stating that a defendant in Indiana
can offer a defense of voluntary intoxication to any crime. Id.
In 1996, the United States Supreme Court held that a state could prohibit
a criminal defendant from offering evidence of voluntary intoxication to negate the requisite
mens rea without violating the Due Process Clause of the Fourteenth Amendment.
See footnote
Montana v. Egelhoff, 518 U.S. 37 (1996). In that case, the defendant
was charged with purposely or knowingly causing the death of another. During
trial, the jury was instructed under Minnesota law that it could not consider
the defendants intoxicated condition in determining whether he acted with the requisite intent.
Id. at 41. In determining whether the statute violated the Due
Process Clause, the Court initially noted that the right to introduce relevant evidence
is not absolute and that a state is permitted to restrict certain evidence
under its rules of evidence. Id. at 42-43. The Court then
set forth the following analysis to determine whether the statute violated the Due
Process Clause:
Preventing and dealing with crime is much more the business of the States
than it is of the Federal Government, and . . . we should
not lightly construe the Constitution so as to intrude upon the administration of
justice by the individual States. Among other things, it is normally within
the power of the State to regulate procedures under which its laws are
carried out, . . . and its decision in this regard is
not subject to proscriptions under the Due Process Clause unless it offends some
principle of justice so rooted in the traditions and conscience of our people
as to be ranked as fundamental.
Id. at 43 (quoting Patterson v. New York, 432 U.S. 197, 201-02 (1977))
(citations omitted). Accordingly, the Court stated that in order to find a
violation of the Due Process Clause, the defendant was required to show that
his right to present evidence of voluntary intoxication is a fundamental principle of
justice. Id.
To make that determination the Court engaged in a historical analysis of the
intoxication defense and found that although by the end of the 19th century,
in most American jurisdictions, intoxication could be considered in determining whether a defendant
was capable of forming the specific intent necessary to commit the crime charged,
at early common law, evidence of intoxication was emphatically disallowed.
Id. at
46-47. The Court concluded that because the intoxication defense had not gained
sufficiently uniform and permanent allegiance, to qualify as fundamental the right to present
evidence of intoxication was not protected under the Due Process Clause. Id.
at 51, 56.
Sanchez acknowledges the United States Supreme Courts holding and concedes, as has been
noted by our supreme court, that
Terry is no longer good law to
the extent it found that prohibiting evidence of voluntary intoxication violates the Due
Process Clause. See State v. VanCleave, 674 N.E.2d 1293, 1303 n.15 (Ind.
1996) (noting that to the extent [Terry] suggested Ind. Code § 35-41-3-5(b) violates
federal due process guarantees Terry was no longer good law in light of
Montana v. Egelhoff), rehg denied, on rehg in part, 681 N.E.2d 181, cert.
denied, 118 S. Ct. 1060 (1998); Horan v. State, 682 N.E.2d 502, 508
n.5 (Ind. 1997) (reiterating the comments from VanCleave but also noting that VanCleave
did not further comment on the precedential value of Terry in light of
Egelhoff and that therefore that question remains open), rehg denied. See also
Bassie v. State, 726 N.E.2d 242, 243 n.1 (Ind. 2000) (again recognizing that
Terry had been overruled by Egelhoff with regard to federal due process claims
but declining to further comment on the viability of Terry). Accordingly, Sanchez
raises his claim under the Indiana Constitution and in particular the Due Course
of Law provision of Article 1, Section 12. Although Terry did not
refer to a specific part of the Indiana Constitution, because Sanchez appears to
be arguing that it should be based upon the Due Course of Law
provision, we focus our analysis on that provision to determine whether it provides
greater protection than its federal counterpart.
When interpreting a provision under the Indiana Constitution, we search for the common
understanding of both those who framed it and those who ratified it.
Collins v. Day, 644 N.E.2d 72, 75 (Ind. 1994). We examine the
language of the provision in the context of the history surrounding its drafting
and ratification, the purpose and structure of our constitution and the cases interpreting
the provision. Boehm v. Town of St. John, 675 N.E.2d 318, 321
(Ind. 1996). The intent of the framers of the Constitution is paramount
in determining the meaning of a provision. Eakin v. State ex rel.
Capital Imp. Bd. of Managers of Marion County, 474 N.E.2d 62, 64 (Ind.
1985). Thus, we examine the history of the times and the state
of things when the constitution was framed and adopted. Richardson v. State,
717 N.E.2d 32, 38 (Ind. 1999). The courts goal is to ascertain
what the particular constitutional provision was designed to prevent. Northern Ind. Bank
and Trust Co. v. State Bd. of Finance of Ind., 457 N.E.2d
527, 529 (Ind. 1983).
Initially, we note that we were unable to locate any meaningful discussions from
the convention debates or journals regarding the Due Course of Law provision itself.
We were able, however, to locate discussions concerning the common law from
which the intoxication defense originated and public sentiment concerning intoxicating liquors. In
order to understand the full impact of those discussions, we must first examine
the history of the intoxication defense. We will then turn to the
specific comments made with regard to the common law and the public sentiment
concerning intoxicating liquors.
At early common law, intoxication was not a defense because it was considered
a gross vice and a crime in itself.
Egelhoff, 518 U.S. at
44-46 (citation omitted). This viewpoint prevailed until the late 1800s. Id.
at 47. Although the emergence of the new rule allowing evidence of
intoxication in specific intent crimes was first raised in an 1819 English case,
that viewpoint was not embraced outright, with the majority of the states refusing
to allow evidence of intoxication as a defense until the end of the
19th century. Id. at 46-47.
Indiana followed the early development of the common law.
Carter v. State,
408 N.E.2d 790, 797 (Ind. Ct. App. 1980). It was not until
1860 that our supreme court first recognized that evidence of intoxication might be
permitted for crimes involving certain grades of homicide. OHerrin v. State, 14
Ind. 420 (1860). That first pronouncement, however, was dicta in that the
defense was not allowed because the defendant was appealing a conviction for larceny.
Id. In 1890, our supreme court specifically recognized that evidence of
intoxication was admissible in a homicide prosecution to reduce a conviction from first
to second degree murder. See Aszman v. State, 123 Ind. 347, 24
N.E. 123, 126-27 (1890). Eventually, in 1901, our supreme court extended that
ruling to allow evidence of intoxication in all specific intent crimes. See
Booher v. State, 156 Ind. 435, 60 N.E. 156, 160 (1901). With
this history in mind, we now turn to the discussions regarding the common
law and intoxicating liquors made during the constitutional convention.
At the convention, a proposal was made to abolish the common law of
England.
Journal of the Convention of the People of the State of
Indiana to Amend the Constitution 276 (1936) [hereinafter Convention Journal]. This proposal
was not seriously considered, and therefore, did not pass. 1 Report of
the Debates of the Convention for the Revision of the Constitution of the
State of Indiana 722-24 (1851) [hereinafter Convention Debates]. Thus, the common law
was preserved. One aspect of the common law, however, was changed
the requirement of indictment by a grand jury. Under the constitution of
1816, the use of the grand jury, which originated in England, was retained.
Constitution Making in Indiana 251 (1916); 1 Convention Debates at 137.
Under the 1851 constitution, the legislature was given the prerogative to abolish its
use. Ind. Const. art. 7, § 17. During the debates on
the abolishment of the grand jury, it was noted:
I am aware that the Grand Jury is a secret and
ex parte
tribunal, and that its origin is English, and comes from an age of
despotism; but it is equally true that but two governments in the world
know anything of Grand Juries . . . I refer to England and
the United States. It is true, we long since separated ourselves from,
and dissolved all connection with the British Crown; but it is equally true,
that there are many valuable laws and institutions which we have derived from
the mother country.
1
Convention Debates at 142. The proposal to abolish the common law
and the abolishment of the grand jury, as well as the comments made
in relation thereto, are important for several reasons.
First, the comment recognizing the many valuable laws and institutions from England shows
that the drafters were well acquainted with the common law of England and
considered it sound with regard to many areas of the law. Thus,
it is reasonable to assume that the drafters in 1851 were familiar with
the early common law rule prohibiting use of intoxication as a defense.
Second, the decision to abolish the grand jury shows that the drafters knew
how to change parts of the common law with which they did not
approve. Had they disapproved of the early common law rule prohibiting evidence
of voluntary intoxication, a proposal to change that law could have been made.
Finally, the refusal to abolish the common law in its entirety reveals
the drafters intent to preserve those parts of the common law as they
existed at the time. In particular, by failing to abolish the common
law rule with regard to voluntary intoxication, they preserved the majority rule at
the time which was to disallow that evidence as a defense.
Public sentiment regarding intoxicating liquors at the time of the convention also aids
this court in understanding the state of things existing at the time of
the convention. Drunkenness was condemned as evidenced by the proposals and petitions
made during the convention. For example, proposals to insert a clause in
the constitution, prohibiting the legislature from passing any law permitting license for the
sale of spirituous liquors were made. 2
Convention Debates at 1434; Convention
Journal at 193. The purpose of the proposals was to prevent the
State from benefiting in any way from the sale of liquor. See
2 Convention Debates at 1434 (desiring that the State should not receive one
farthing of the profits accruing from your accursed business). The following comments
were also made with regard to one of the proposals: We say
to the community at large, to the philanthropist and the Christian, the field
is clear, gird on your armor, harness yourselves for the contest; go forth,
and if you can, with the great lever of public opinion, level to
the ground every grog shop in the country. Id. Petitions to
prohibit the traffic of alcoholic beverages were also presented by the citizens of
Harrison and Jefferson Counties and the Indiana Conference of the Methodist Episcopal Church.
Convention Journal at 123, 164, 322. In light of these petitions,
comments and proposal, it is difficult to imagine that the drafters seriously considered
preserving a defendants right to present evidence of voluntary intoxication as a defense
to a charged offense.
It is also important to note that our state provision was enacted before
the federal provision. Our constitutional provision was enacted in 1851. The
Fourteenth Amendment to the United States Constitution, which contains the Due Process Clause,
was not ratified by the states until 1868.
U.S. Const. amend. XIV,
§ 1 (Wests Ind. Code Ann.). Because the federal provision was not
even in existence at the time our Due Course of Law provision was
enacted, the drafters could not have intended to provide protection analogous to or
greater than that provided under the Due Process Clause. Recently, our supreme
court pointed out that the term due process does not even appear in
the Indiana Constitution. See Board of Zoning Appeals, Bloomington, Ind. v. Leisz,
702 N.E.2d 1026, 1028 (Ind. 1998). Thus, it is questionable whether the
Due Course of Law provision should even be considered analogous to the Due
Process Clause.
Nevertheless, numerous decisions following the enactment of the Due Course of Law provision
have done so.
See Kizer v. Town of Winchester, 141 Ind. 694,
40 N.E. 265, 267 (1895) (reviewing challenge to statute under Due Process Clause
and Due Course of Law provision using single analysis); Vandalia R. Co. v.
Stilwell, 181 Ind. 267, 104 N.E. 289, 290-91 (1914) (treating constitutional challenge under
Employers Liability Act of 1911 similarly under Due Process Clause and Due Course
of Law provision), abrogated on other grounds; Wright v. House, 188 Ind. 247,
121 N.E. 433, 437 (1914) (The discussion of the due process of law
provision of the federal Constitution is applicable to [Article 1, Section 12] of
the state Constitution.); Mack v. State, 203 Ind. 355, 180 N.E. 279, 283
(1932) (noting that the [d]ue process of law, or due course of law
in the courts is guaranteed by section 12, art. 1, Indiana Constitution .
. . to every man, for injury done him in his person, property
or reputation); Dowd v. Harmon, 229 Ind. 254, 96 N.E.2d 902, 905 (1951)
(finding no violation of due process under either the Constitution of Indiana or
the Federal Constitution); State ex rel Evansville City Coach Lines, Inc. v.
Rawlings, 229 Ind. 552, 99 N.E.2d 597, 604 (1951) (treating procedural due process
claims under the Fourteenth Amendment and Article 1, Section 12 similarly); Rader v.
State, 181 Ind.App. 546, 393 N.E.2d 199, 203 (1979) (using same analysis to
address claims under Due Process Clause and Due Course of Law provision); Scalf
v. Berkel, Inc., 448 N.E.2d 1201, 1203 (Ind. Ct. App. 1983) (finding that
the Due Course of Law provision is a constitutional provision analogous to the
due process clause of the Fourteenth Amendment); Wilhoite v. Melvin Simon & Associates,
Inc., 640 N.E.2d 382, 387 (Ind. Ct. App. 1994) (Indiana courts have construed
the due course of law protection of Article 1, Section 12 of the
Indiana Constitution as analogous to the federal due process clause.); Shook Heavy and
Envtl. Constr. Group v. City of Kokomo, 632 N.E.2d 355, 361 (Ind. 1994)
(analysis used under Due Process Clause of Fourteenth Amendment is applicable to Due
Course of Law provision of Indiana Constitution); Haimbaugh Landscaping, Inc. v. Jegen, 653
N.E.2d 95, 104-05 (Ind. Ct. App. 1995) (stating that the Indiana Due Course
of Law provision of Article 1, Section 12 is analogous to Due Process
Clause of Fourteenth Amendment), reh'g denied, trans. denied; Indiana High Sch. Athletic Ass'n,
Inc. v. Carlberg, 694 N.E.2d 222, 241 (Ind. 1997) (same analysis is applicable
to claims brought under Due Process Clause of United States Constitution and Due
Course of Law provision of Indiana Constitution), reh'g denied; Reynolds v. State, 698
N.E.2d 390, 392 (Ind. Ct. App. 1998) (Both the Due Process Clause of
the United States Constitution and the Due Course of Law provision of the
Indiana Constitution prohibit state action which deprives an individual of life, liberty or
property without due process.), trans. denied; Martin v. Richey, 711 N.E.2d 1273, 1283
n.10 (Ind. 1999) (Indiana jurisprudence also includes another line of cases which focus
on the phrase due course of law, and have construed this phrase as
affording procedural rights analogous to those afforded by the Due Process Clause of
the Fourteenth Amendment of the United States Constitution.).
Having noted the long line of cases treating the provisions similarly, we also
recognize some cautionary language set forth by Justice Dickson in a dissenting opinion
in
Carlberg. In that case, Justice Dickson noted that although the court
in Shook seemingly extended federal due process analysis to Article 1, Section 12
claims, the analysis should not necessarily be treated as coextensive with federal due
process jurisprudence. Carlberg, 694 N.E.2d at 247. This statement was indeed
prophetic, as most recently a plurality of our supreme court attempted to set
forth the similarities and differences between the federal Due Process Clause and Article
1, Section 12 and seemingly rejected the long line of cases which had
treated the two provisions similarly in all cases. See McIntosh v. Melroe
Co., 71S03-9805-CV-297 (May 26, 2000), slip op. at 5, 7-8. In particular,
the plurality drew lines with regard to procedural and substantive claims brought in
civil and criminal cases. With regard to criminal cases, the plurality seemed
to indicate, in dicta, that procedural claims should be raised, not under Article
1, Section 12, but under other provisions of the state constitution and that
substantive due course of law claims would be analogous to federal substantive due
process. McIntosh, slip op. at 8. Despite these broad pronouncements, the
plurality still recognized, without approval or disapproval, that there have been numerous criminal
claims raised under Article 1, Section 12 under the guise of due process.
McIntosh, slip op. at 7 n.2. Although it is not entirely
clear what remains of due course of law claims raised in criminal cases,
there still is no indication that Article 1, Section 12 or, in particular
the Due Course of Law provision, provides greater protection or a different analysis
than the federal Due Process Clause with regard to the claim Sanchez brings.
Further, we are unable to find anything in our history at the
time of the convention which suggests a different analysis should be applied under
the Due Course of Law provision. Moreover, Sanchez does not suggest what
that analysis might be.
See footnote
Rather, he argues only for a different result
because of other state constitutional provisions.
See footnote
Developing a constitutional argument under the Indiana Constitution requires an explanation as to
how the state provision should be analyzed apart from the federal provision, not
just that the result should be different. Absent argument or authority demonstrating
a different analysis, this court will apply the federal analysis.
See
Rynerson v. City of Franklin, 669 N.E.2d 964, 966 n.1 (Ind.
1996) (where defendant fails to provide argument or authority that analysis under Due
Course of Law Provision is different than analysis used under Due Process Clause,
issue will be analyzed under Due Process Clause).
Here, the analysis used by the United States Supreme Court to determine whether
prohibiting evidence of voluntary intoxication violated the Due Process Clause is whether prohibiting
the evidence offends a principle of justice so rooted in the traditions and
conscience of our people so as to be ranked fundamental. Sanchezs duty
on appeal, therefore, was not only to explain why the Due Course of
Law provision requires a different
result but to set forth a different analysis.
As Sanchez has failed to do so, and we are not convinced
that a separate analysis exists, we apply the analysis used by the Egelhoff
court and conclude that precluding such evidence does not violate the Due Course
of Law provision.
In light of the U.S. Supreme Courts analysis in
Egelhoff and our states
reliance on the early common law, we are constrained to disagree with the
Terry court statement that allowing evidence of intoxication is a firmly ingrained principle.
Further, as subsequent Indiana case law has applied federal due process jurisprudence
to analyze Indiana Due Course of Law claims, we can conclude only that
Terry is also no longer good law with regard to its holding under
the Indiana Constitution in light of Montana v. Egelhoff, 518 U.S. 37 (1996).
Thus, the current version of I.C. § 35-41-3-5 does not violate the
Due Course of Law provision of the Indiana Constitution. As a result,
the trial court did not err by instructing the jury that it could
not consider evidence of Sanchezs intoxication in determining whether he acted with the
requisite intent. While we recognize that there may well be sound reasons
based in justice and fair play to permit evidence of voluntary intoxication, as
set forth in our 1851 Constitution, the Due Course of Law provision does
not preserve that right.
Finally, even if the state constitutional right to present evidence of voluntary intoxication
is still viable under the Due Course of Law provision or otherwise, the
trial courts decision to disallow the jury from considering evidence of voluntary intoxication
is harmless error. In
Terry, after concluding that evidence of voluntary intoxication
could be offered as a defense to any crime, the court provided the
following comments concerning the limitations of the intoxication defense:
The potential of this defense should not be confused with the reality of
the situation. It is difficult to envision a finding of not guilty
by reason of intoxication when the acts committed require a significant degree of
physical or intellectual skills. As a general proposition, a defendant should not
be relieved of responsibility when he was able to devise a plan, operate
equipment, instruct the behavior of others or carry out acts requiring physical skill.
Terry, 465 N.E.2d at 1088. Applying that proposition, the court concluded that
although there was evidence that the defendant had been drinking, there was also
evidence that he drove a car, directed other people and made decisions to
follow a course of action. Thus, the court concluded that the trial
court did not err by refusing the defendants tendered instruction on voluntary intoxication
as no reasonable doubt existed that the appellant had the intent to commit
the act for which he was charged. Id.
Thus, an adequate evidentiary basis for an intoxication instruction exists only if the
evidence could create a reasonable doubt in the jurys mind that the accused
had the intent to commit the charged offense. Gibson v. State, 516
N.E.2d 31, 32 (Ind. 1987). The degree of intoxication is immaterial as
long as the defendant was able to form the requisite intent. Id.
at 33. Therefore, even if a defective instruction is given, if the
evidence does not support an instruction on voluntary intoxication, there can be no
error. See Horan v. State, 682 N.E.2d 502, 509 (Ind. 1997) (finding
that defendant was not entitled to instruction on voluntary intoxication where defendant devised
plans, operated equipment, instructed others and carried out acts requiring physical skill, and
therefore, giving defective instruction could not result in error), rehg denied; Babbs v.
State, 621 N.E.2d 326, 330 (Ind. Ct. App. 1993) (concluding that there was
no error in giving instruction where defendant was not entitled to instruction on
voluntary intoxication as evidence revealed drinking did not impair defendants ability to obtain
rope, tie up victim, commit the robbery in a secluded area of the
store, search for money, warn his accomplice when the police arrived and escape,
and recall events at trial), trans. denied.
Here, the evidence of voluntary intoxication could not create a reasonable doubt in
the jurys mind that Sanchez had the intent to commit the charged offense,
despite the fact he may have consumed large amounts of alcohol. Sanchez
was able to hold four people at gunpoint while inquiring as to the
whereabouts of one of the girls who attended the party. Prior to
taking H.S. hostage, he had the wherewithal to take both phones so no
one could call for help. He led his victim to a secluded
place, away from detection, to carry out the rapes. He had the
physical ability to rape H.S. several times in different positions. After the
rapes occurred, he was able to lead his victim out of the cornfield
and to his home which was three and a half miles away.
While walking, he avoided detection by hiding from approaching cars. Sanchez also
had the capacity to know that H.S. was attempting to escape as they
neared his house. Three to four hours after he abducted H.S., he
still had the ability to rape H.S. again. When Sanchez thought that
the police had detected him, he made statements which revealed that he knew
what he was doing and was able to devise a story to avoid
arrest. Finally, before they fell asleep, he had the foresight to place
the gun near his right hand and his left hand under the victims
head to prevent her from escaping. Under these circumstances, there is no
doubt that the alcohol did not impair Sanchezs ability to think and function,
regardless of Sanchezs state of consciousness following his arrest. As Sanchez was
not entitled to a jury instruction on voluntary intoxication, any instruction given could
not have amounted to error.
Judgment affirmed.
DARDEN, J., and FRIEDLANDER, J., concur.