PEOPLE v STEPHAN
Docket No. 218463
Michigan Court of Appeals
June 20, 2000
241 MICH APP 482
The Court of Appeals held :
1. The two statutes,
2. Both statutes are unambiguous. Both statutes are components of a common legislative scheme and should be read in pari materia, if possible. The statutes cannot be harmoniously construed. There is a glaring and unavoidable conflict between the two statutes, beyond any hope of logical resolution.
3. The task of fashioning intelligible instructions must be left to the trial courts. The Court of Appeals must defer to the Legislature to make the necessary changes.
Affirmed.
JANSEN, P.J., concurring with the findings that there is a conflict between the statutes, that the Court cannot rewrite them to avoid the conflict, and that it is up to the Legislature to amend or repeal the statutes to eliminate the conflict, dissented in part on the basis that because the dеfendant has died and no trial ever occurred, no effort to harmonize the statutes should be attempted by the Court of Appeals.
- CRIMINAL LAW — CONFLICT OF LAWS — LEGAL INSANITY — GUILTY BUT MENTALLY ILL VERDICTS.
The statutes regarding the affirmative defense of legal insanity and verdicts of guilty but mentally ill contradict each other and render it impossible to fashion jury instructions that are simultaneously consistent with each other and faithful to the statutory requirements; the statutes are unambiguous, and the Legislature alone holds the authority to correct the statutory discrepancy (MCL 768.21a ,768.36 ; MSA 28.1044[1], 28.1059). - CONSTITUTIONAL LAW — SEPARATION OF POWERS — STATUTES.
The doctrine of separation of powers precludes the Court of Appeals from invading the province of the Legislature by inferring that any statute has been implicitly amended, repealed, or partially repealed (Const 1963, art 3, § 2 ).
Jennifer M. Granholm, Attorney General, Thomas L. Casey, Solicitor General, David Gorcyca, Prosecuting Attorney, Daniel L. Lemisch, Chief, Appellate Division, and Anica Letica, Assistant Prosecuting Attorney, for the people.
John A. Basch, for the defendant.
Amicus Curiae:
Before: JANSEN, P.J., and SAAD and GAGE, JJ.
SAAD, J. In this prosecutor‘s interlocutory appeal, we consider if the Legislature‘s 1994 amendment of the statute governing the criminal defense of legal insanity1 serves as an implicit amendment or partial repeal of the statute governing the “guilty but mentally ill” (GBMI) verdict2. Although we appreciate the prosecutor‘s concern that the 1994 amendment created an inconsistency between the two statutes with respect to the allocation of burdens of proof, the prosecutor‘s requested relief is contrary to the doctrine of the separation of powers. We therefore affirm.
I. NATURE OF THE CASE
The prosecutor asks us to correct a contradiction between the statutes governing the criminal defense of insanity and the GBMI verdict. In 1994, the Legislature amended the insanity defense statute to require criminal defendants who assert an insanity defense to prove insanity by a preponderance of the evidence. 1994 PA 56. Previously, when a defendant asserted an insanity defense, the prosecutor was required to prove beyond a reasonable doubt that the defendant
The Michigan State Bar Standing Committee on Standard Criminal Jury Instructions has issued Criminal Jury Instructions for both the insanity defense statute and the GBMI verdict statute. CJI2d 7.11, 7.12. Both sets of instructions reflect the mandates and requirements of their related statutes, including the burdens of proof with respect to proving or disproving insanity and mental illness. Consequently, when a trial court gives both jury instructions, as required by statute, the instructions will state that the defendant bears the burden of proving mental illness and legal insanity for purposes of an insanity defense, but that the prosecutor bears the burden of proving lack of insanity for purрoses of a GBMI verdict. Therefore, these instructions contradict each other and will create an irreconcilable conflict for the jury trying to apply them. This matter is further complicated by the requirement of the GBMI verdict statute that the prosecutor prove the defendant‘s mental illness beyond a reasonable doubt.
To correct this irreconcilable conflict between these inextricably intertwined statutes, the prosecutor asks us to infer that the Legislature implicitly repealed the portion of the GBMI verdict statute that imposes this contradictory burden on the prosecutor. The prosecutor also asks us to infer that the Legislature implicitly repealed the requirement of the GBMI verdict statute that the prosecutor prove mental illness. We agree with the prosecutor that the discrep-
II. FACTS AND PROCEEDINGS
The prosecutor charged defendant with first-degree murder, assault with intent to murder, and two counts of possession of a firearm during the commis-
Before trial5, the prosecutor requested the court to instruct the jury on the correct, current burden of proof for insanity defenses and GBMI verdicts. The prosecutor pointed out the conflict between the two sets of Criminal Jury Instructions. Consistent with the 1994 statutory mandate, the Criminal Jury Instruction for the insanity defense properly imposes the burden of proof on the defendant to prove insanity by a preponderance of the evidence.
Although these two sets of Criminal Jury Instructions, as they are currently written, are consistent with their respective related statutes, the prosecutor contended that the court should not instruct the jury that the prosecutor carries the burden of proving that the defendant was not legally insane for purposes of a GBMI conviction. By making this request, the prosecutor asked the trial court to infer that the GBMI verdict statute was implicitly amended along with the insanity defense statute, so that the two statutes are consistent in their allocation of proofs with respect to a defendant‘s alleged insanity and mental illness.
The court, having reviewed the arguments of the parties in light of the relevant Michigan law, denies the Prosecutor‘s Motion . . . and will read the jury instructions as drafted by the Michigan Supreme Court.6 The court is satisfied that if there is a contradiction between the jury instructions and the statutes cited, it must be addressed by the Supreme Court.
Subsequently, this Court granted the prosecutor‘s application for leave to appeal.7
III. ANALYSIS
A. BACKGROUND: STATUTES AND JURY INSTRUCTIONS ON THE INSANITY DEFENSE AND THE GUILTY BUT MENTALLY ILL VERDICT
Before October 1, 1994, if a criminal defendant raised the affirmative defense of insanity, the prose-
(1) It is an affirmative defense to a prosecution for a criminal offense that the defendant was legally insane when he or she committed the acts constituting the offense. An individual is legally insane if, as a result of mental illness . . . that person lacks substantial capacity either to appreciate the nature and quality or the wrongfulness of his or her conduct or to conform his or her conduct to the requirements of the law. Mental illness or being mentally retarded does not otherwise constitute a defense of legal insanity.
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(3) The defendant has the burden of proving the defense of insanity by a preponderance of the evidеnce. [Emphasis added.]
The legislative history of this amendment explains the Legislature‘s policy reasons for modifying the statute:
Currently, a defendant needs to present only slight evidence of insanity, even without expert testimony, for the burden of proof to shift to the prosecutor, who then must prove beyond a reasonable doubt that the defendant was sane. Faced with this heavy burden of proof, the prosecution usually will find it necessary to present expert testi-
mony that the defendant was not insane, which can be both time-consuming and difficult. As a result, many defendants, already having been found to have perpetrated the criminal acts charged, are excused from any culpability for their behavior. By requiring a defendant to prove insanity, the bill would save the prosecution time, trouble, and expense, and make it less likely that guilty defendants would go free. Reportedly, about half the states require defendants to prove their insanity by a preponderance of the evidence; with the bill, Michigan would join them. [House Legislative Analysis, SB 202, March 3, 1994.]
After
(1) The defense of legal insanity has been raised in this case. That is an affirmative defense that the defendant has the burden of proving by a preponderance of the evidence. That means the defendant must satisfy you by evidence that outweighs the evidence against it that [he/she] was legally insane when [he/she] committed the [act/acts] constituting the offense. The law excuses a person who is legally insane at the time of a crime; but it is very important for you to remember that mental [illness/retardation] and legal insanity are not the same. A person can be mentally [ill/retarded] and still not be legally insane.
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(6) To be legally insane, a person must first be either mentally ill or mentally retarded, as I have defined those conditions. But that is not enough. To be legally insane, the person must, because of [his/her] mental illness or mental retardation, lack substantial capacity either to appreciate the nature and quality or the wrongfulness of [his/her] conduct or to conform [his/her] conduct to the requirements of the law.
(7) To decide whether the defendant was legally insane at the time of the crime, you should go through the following two steps: (8) Step one. Are you satisfied that the defendant has established, by evidence that outweighs the evidence against it, that [he/she] was mentally [ill/retarded] at the time of the crime? Unless you are so satisfied, [he/she] was not legally insane. On the other hand, if the defendant has proved that [he/she] was mentally [ill/retarded] you must go on to the next step.
(9) Step two. Are you also satisfied that the defendant has established by evidence that outweighs the evidence against it that [he/she] lacked the substantial ability either to appreciate the naturе and quality or the wrongfulness of [his/her] conduct or to conform [his/her] conduct to the requirements of the law [he/she] is charged with violating?
(10) If the defendant has proven both step one and step two, you must find [him/her] not guilty by reason of insanity. However, if [he/she] has failed to prove either or both steps, [his/her] claim of legal insanity fails. [Emphasis added.]
Consequently, when a defendant raises the defense of insanity, the judge instructs the jury that the defendant bears the burden of proving that defense by a preponderance of the evidence.
This appeal raises the question of how the 1994 amendment of the insanity defense statute and related change to the insanity defense jury instruction affects the GBMI verdict statute and the related GBMI jury instruction. The GBMI verdict statute allows a jury to find that a defendant is mentally ill, but not legally insane.
The GBMI verdict statute provides, in pertinent part:
(1) If the defendant asserts a defense of insanity in compliance with section 20a, the defendant may be found “guilty but mentally ill” if, after trial, the trier of fact finds all of the following beyond a reasonable doubt:
(a) That the defendant is guilty of an offense.
(b) That the defendant was mentally ill at the time of the commission of that offense.
(c) That the defendant was not legally insane at the time of the commission of that offense. [Emphasis added.]
The corresponding Criminal Jury Instruction for GBMI verdicts mirrors the current statute‘s allocation of proofs. CJI2d 7.12 provides:
(1) There is another verdict that is completely different from the verdict of not guilty because of insanity. This is called “guilty but mentally ill.”
(2) To find the defendant guilty but mentally ill, you must find the following beyond a reasonable doubt:
(3) First, you must find that the defendant committed the crime.
(4) Second, you must find that the defendant was mentally ill at the time of the crime, using the definition I gave you. (5) Third, you must find that, at the time of the crime, the defendant was not legally insane, using the definition I gave you. [Emphasis added.]
Thus, in contrast to the amended insanity defense statute, the GBMI verdict statute appears to impose on the prosecutor the burden of proving that the defendant was not legally insane and should not be exculpated on the basis of mental infirmity.8 In other words, if the prosecutor fails to prove that the defendant was not legally insane, then the jury should return a verdict of “not guilty by reason of insanity,” and should not return a verdict of GBMI. Consequently, the GBMI verdict statute and its implementing jury instruction clash with the amended insanity defense statute and its related instruction.
The statutes also conflict with respect to burdens of proof regarding the mental illness component of an insanity defense. Mental illness (or mental retardation) is one component of the insanity defense (i.e., the defendant must prove both that he is mentally ill or mentally retarded and that he lacked the capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of the law). Because the amended insanity defense statute requires the defendant to prove insanity, it logically follows that he must also prove mental illness.
These conflicts between the statutes are further compounded by
The prosecutor avers that we should restore the harmony between the two statutes and the jury instructions and infer that the Legislature implicitly amended the GBMI verdict statute when it amended the insanity defense statute by repealing the burden of proof allocation. The prosecutor argues that the discrepancy between the jury instructions for the two statutes is confusing and likely to undermine thе statutory scheme by causing the jury to believe wrongly that the prosecutor must prove the absence of insanity. The prosecutor urges us to infer that when the Legislature amended the insanity defense statute, it implicitly repealed the contradictory portions of the GBMI verdict statute that require the prosecutor to prove defendant‘s sanity and mental illness beyond a reasonable doubt.
The issue concerning the conflicting statutes here arose in the context of the prosecutor‘s request regarding jury instructions. The trial court rejected the prosecutor‘s proposed jury instruction in part because it is contrary to the Criminal Jury Instruction. The prosecutor‘s specific request for relief here is that we disavow CJI2d 7.12 as an incorrect statement of law. The Criminal Jury Instructions are not officially sanctioned by the Supreme Court.10 People v Sullivan, 231 Mich App 510, 520, n 1; 586 NW2d 578 (1998). Where a Criminal Jury Instruction does not accurately state the law, it will be disavowed by the courts. Id. For example, in Sullivan, id., this Court “expressly” disavowed CJI2d 16.9(2), a manslaughter instruction, because it misstated Michigan law. Id. Furthermore, our Supreme Court has held that it is “error for the trial court to give an erroneous or misleading jury instruction on an essential element of the offense” including when the misleading instruction is
Moreover, we remind the bench and bar once again that the Michigan Criminal Jury Instructions do not have the official sanction of this Court. Their use is not required, and trial judges are encouraged to examine them carefully before using them, in order to ensure their accuracy and appropriateness to the case at hand. [Id. (emphasis added).]
Additionally, in his preface to the December 1991 supplement to Michigan Criminal Jury Instructions, 2d ed., p xi, the Hon. William J. Caprathe, Chairperson of the Michigan State Bar Standing Committee on Standard Criminal Jury Instructions, stated, “These instructions are merely suggestions; their use is not mandatory, and it is expected that judges will tailor the language of the instructions to meet the facts of each particular case.” Accordingly, the issue presented here is not if a trial court may deviate from the Criminal Jury Instructions, but rather how the trial court can fashion a jury instruction that accurately states the law. Therefore, to resolve the question of how the court should instruct the jury, we will approach this issue as one of statutory construction.
We begin by reviewing the essential canons of statutory construction. It is well established that the primary goal of judicial interpretation of statutes is to give effect to the intent of the Legislature. In re Messer Trust, 457 Mich 371, 379-380; 579 NW2d 73 (1998). When statutory language is clear and unambiguous, we must honor the legislative intent as clearly indicated in that language, without resorting to further construction. Western Michigan Univ Bd of Control v Michigan, 455 Mich 531, 538; 565 NW2d 828 (1997).
These rules of statutory construction militate against granting the prosecutor‘s request. Neither statute, read by itself, is ambiguous. The insanity defense statute unambiguously imposes on the defendant the burden of proving, by a preponderance of the evidence, that he was insane when he committed the offense. The GBMI verdict statute unambiguously imposes on the prosecutor the burden of proving, beyond a reasonable doubt, that the defendant was not legally insane and that the defendant was mentally ill. However, our analysis does not end here, because our courts do not construe individual statutes in a vacuum. Instead, our courts have developed the doctrine of “in pari materia” (literally, “upon the same matter or subject“). Under this doctrine, statutes that relate to the same subject or share a common purpose are in pari materia. Such statutes must be read together as one law, even if they contain no reference to one anоther and were enacted on different dates. People v Webb, 458 Mich 265, 274; 580 NW2d 884 (1998). We will therefore consider if the in pari materia doctrine allows us to reconcile the insanity defense and GBMI verdict statutes.
The object of the in pari materia rule is to further legislative intent by finding an harmonious construction of related statutes, so that the statutes work
Without doubt, the Legislature intended the insanity defense and GBMI verdict statutes to function jointly in furtherance of a common purpose. Indeed, these statutes are so interrelated that the criminal code requires the trial court to instruct the jury with regard to both insanity and GBMI when a defendant claims insanity.
Moreover, we find it highly significant that both the GBMI verdict statute and the 1994 amendment of the insanity defense statute were intended to reform the
Mindful of the in pari materia rule, we seek to find an harmonious reading of the statutes. We cannot. There is a glaring and unavoidable conflict between the two statutes, beyond any hope of a logical resolution. The insanity defense statute provides that the defendant has the burden of proving his insanity by a preponderance of the evidence while the GBMI verdict statute provides that the prosecutor has the burden of proving a defendant‘s sanity beyond a reasonable doubt. The discrepancy between the burdens of proof will give rise to a potential conflict every time the trial court has to instruct the jury on both statutes. Because the trial court must instruct the jury on both statutes whenever a defendant raises an insanity defense, this conflict has the potential to occur in
Having established the inherent conflict between the insanity defense and GBMI verdict statutes, we now consider our appropriate course of action. Because we address a question of first impression, we turn to the case law of our sister states for guidance. Interestingly, we find that the Supreme Court of Illinois faced exactly the same dilemma. People v Fierer, 124 Ill 2d 176; 529 NE2d 972 (1988). Like our own Legislature, the Illinois General Assembly also amended its insanity defense statute12 to impose a preponderance of the evidence burden on the defendant, but failed to make a similar amendment of the Illinois GBMI verdict statute.13 Id., 185-186. The Illinois Supreme Court observed, as we do, the inherent dilemma for trial courts trying to fashion jury instructions and the juries trying to comply with those instructions:
Under this scheme, a theoretical class of defendants exists who cannot be found insane and thus not guilty by reason of insanity, because they have not carried their preponderancе burden, but who also may not be found GBMI because their noninsanity has not been proved by the State beyond a reasonable doubt. In other words, defendants
whose sanity is a close question, the very group one would think should be covered by the GBMI verdict, may not be found GBMI because they fall into the gap between “preponderance” and “beyond a reasonable doubt.” [Id., 189.]
The court acknowledged that the inconsistency between the statutes potentially undermined the policy goal of the GBMI verdict statute: “[i]f one of the goals of the GBMI verdict is to identify those in need of psychiatric treatment . . . the conflicting burdens of proof hinder, rather than advance, that objective.” Id., 190.
Though the Illinois Supreme Court acknowledged that the discrepancy between the two statutes could potentially thwart the objectives of the insanity/GBMI statutory scheme, it abstained from finding that the Legislature‘s amendment of the insanity defense statute implicitly modified the GBMI vеrdict statute:
Whether through inadvertence or by design, the inescapable fact remains that when the General Assembly amended the insanity statute, it did not similarly amend the GBMI statute, although it certainly could have done so. Thus, that statute required, and continues to require, that the State prove sanity beyond a reasonable doubt. (
Ill Rev Stat 1985, ch 38, par 115-4(j) .) Among the most basic precepts of statutory construction is that statutory terms should be given their plain and ordinary meaning. Similarly, a court cannot read into a statute words which are not within the plain intention of the legislature as determined from the statute itself. [Id., 188 (emphasis added).]
Thus, the Illinois Supreme Court was unwilling to infer any amendment of the GBMI verdict statute absent a positive act by the General Assembly. The court therefore left to trial courts “the task of fashioning intelligible instructions . . . .” Id., 191.
We will only infer the repeal of a statute in narrow circumstances, and there is a strong presumption against such a finding. House Speaker v State Administrative Bd, 441 Mich 547, 563; 495 NW2d 539 (1993). A repeal may be inferred: (1) when it is clear that a subsequent legislative act conflicts with a prior act, or (2) when a subsequent act of the Legislature clearly is intended to occupy the entire field covered by a prior enactment. [Donajkowski v Alpena Power Co, 460 Mich 243, 253; 596 NW2d 574 (1999).]
In either of these situations, the burden on the party claiming an implied repeal is a heavy one, because the intention of the Legislature to repeal a statute must be clear. House Speaker, supra, 563. “‘Repeals by implication are not favored and will not be indulged in if there is any other reasonable construction.’ ” Id., 562, quoting Attorney General ex rel Owen v Joyce, 233 Mich 619, 621; 207 NW 863 (1926). See also Wayne Co Prosecutor v Dep‘t of Corrections, 451 Mich 569, 576-577; 548 NW2d 900 (1996).
Judicial reluctance to find repeal by implication is strong; consequently there are only rare instances in which a court has found two statutes to be so hopelessly irreconcilable that the earlier statute must be deemed implicitly repealed. Indeed, we have found only one case where the Supreme Court has found
Both
MCL 600.6013 ; MSA 27A.6013 andMCL 438.7 ; MSA 19.4 were enacted by the same Legislature. Given the manner of their enactment and the similar functions that the two statutes have performed for more than a century, the amendment ofMCL 600.6013 ; MSA 27A.6013 in 1965 is highly problematic. The extension of that interest statute to prejudgment interest awards causes two formerly compatible statutes to be in irreconcilable conflict. Only by concluding that the § 6013 interest provision has repealedMCL 438.7 ; MSA 19.4 by necessary implication, insofar as civil actions are concerned, can any sense be made of the two interest statutes.While repeals by implication are not favored, it is a question of legislative intent whether or not there has been such a repeal of an earlier statute by a subsequently enacted one. . . . The latest legislative expression on the entitlement to prejudgment interest must control where two interest statutes specifically address the issue of entitlement and
cannot be harmonized. [Old Orchard, supra, 256-257 (emphasis added).]
The Court explained that its unusual decision was warranted under the doctrine of in pari materia:
Normally, two statutes which share a common purpose or object are to be interpreted in pari materia. This is the appropriate rule to apply where two statutes are enacted by the same assembly with a common purpose. The rule requires that the two statutes be strictly construed so as to avoid interpreting one in a manner that defeats the main purpose of another on the same subject. . . .
But where the two statutes cannot be reconciled, this rule of statutory construction does not apply. Specifically, the rule of in pari materia does not control here since it would likely result in upholding the policy embodied in
MCL 438.7 ; MSA 19.4, the earlier statute, in a manner tending to contradict the plain language of the subsequent statute (i.e.,MCL 600.6013 ; MSA 27A.6013). [Id., 259 (citations omitted).]
Here, we are faced with a similar dilemma. When we strictly construe the GBMI verdict statute, we potentially defeat the purpose of the entire statutory scheme for determining the appropriate verdict for an insane or mentally ill defendant. We unavoidably end up with irreconcilable jury instructions that prevent the jury from reaching the correct verdict where it finds that a mentally ill defendant failed to prove insanity by a preponderance of the evidence and that the prosecutor failed to disprove insanity beyond a reasonable doubt. We lose the compatibility that existed between the insanity defense аnd GBMI verdict statutes before the amendment of the former.
On the other hand, like the Illinois Supreme Court, we lack clear authority to take action that will effec-
At most, the scant authority on implicit repeal or partial repeal of statutes might allow us to resolve this conflict by finding that the 1994 amendments of the insanity defense statute implicitly repealed the burden of proof requirements of the GBMI verdict statute with respect to insanity and mental illness. However, this tidy course is not available to us because of the pаrticular way in which the GBMI verdict statute is structured. The first subsection of the statute provides:
If the defendant asserts a defense of insanity in compliance with section 20a, the defendant may be found “guilty but mentally ill” if, after trial, the trier of fact finds all of the following beyond a reasonable doubt:
(a) That the defendant is guilty of an offense.
(b) That the defendant was mentally ill at the time of the commission of that offense.
(c) That the defendant was not legally insane at the time of the commission of that offense. [
MCL 768.36(1) ; MSA 28.1059(1) (emphasis added).]
Because the separation of powers doctrine is central to our jurisprudence, we will not encroach on legislative prerogative by rewriting the GBMI verdict statute. If we were able to harmonize the GBMI verdict statute with the 1994 insanity defense statute amendments through the limited action of striking out particular words or phrases, we would do so. However, we cannot resolve the conflict through this limited action. We could restore harmony to the insanity/GBMI scheme only if we were to hold that the jury should
Affirmed.
GAGE, J., concurred.
JANSEN, P.J. (concurring in part and dissenting in part). I agree with the majority that there is a conflict between the insanity defense statute,
However, I am concerned about the majority‘s conclusion that “[w]e could restore harmony to the insanity/GBMI scheme only if we were to hold that the jury should return a GBMI verdict when it finds that (a) the prosecutor proved the defendant‘s guilt beyond a reasonable doubt; (b) the defendant proved mental illness or mental retardation by a preponderance of the evidеnce; and (c) the defendant failed to prove legal insanity by a preponderance of the evidence.” Ante, at 507-508 (emphasis added). I am not convinced that this is the only manner that the statutes could be har-
Moreover, the effect of this attempt to harmonize the statutes is to place the burden of proof on a criminal defendant with respect to part of a GBMI verdict. Because “guilty but mentally ill” is a verdict leading to a certain disposition, shifting the burden of proving mental illness, an element of the GBMI verdict, to a defendant could well be unconstitutional. Patterson v New York, 432 US 197; 97 S Ct 2319; 53 L Ed 2d 281 (1977); In re Winship, 397 US 358, 364; 90 S Ct 1068; 25 L Ed 2d 368 (1970).
Because the defendant has died and no trial ever occurred in this case, this opinion is essentially an “advisory” opinion, and it is within the province of the Legislature to redraft the statutes to avoid any conflict. For these reasons, I would not attempt to harmonize the statutes as the majority attempts to do and would leave to the Legislature its task of amending the statutes. For now, it is up to our able trial judges to fashion a proper jury instruction.