THE STATE OF WASHINGTON, Respondent, v. ALEJANDRO ORTEGA-MARTINEZ, Petitioner
No. 60412-6
Supreme Court of Washington
September 29, 1994
Reconsideration denied November 8, 1994
124 Wn.2d 702 | 881 P.2d 231
Finally, amicus curiae contends that community placement for the Respondents is required under the
We affirm in part, reverse in part, and remand all three cases for any further proceedings that may be necessary under this ruling.
ANDERSEN, C.J., and UTTER, BRACHTENBACH, DURHAM, SMITH, GUY, JOHNSON, and MADSEN, JJ., concur.
Reconsideration denied November 8, 1994.
Dave Needy, Prosecuting Attorney, for respondent.
Lewis M. Schrawyer on behalf of Washington Association of Criminal Defense Lawyers, amicus curiae for petitioner.
Donald C. Brockett, Prosecuting Attorney for Spokane County, and Kevin M. Korsmo, Deputy; C. Danny Clem, Prosecuting Attorney for Kitsap County, and Pamela B. Loginsky, Deputy, amici curiae for respondent.
The victim of the rape was S.G., a 30-year-old woman with an IQ in the 40‘s. S.G. and her husband live in an “intensive tenant support program” which houses mentally retarded individuals and has staff available 24 hours a day. Verbatim Report of Proceedings, at 80. S.G. has a significant eating disorder which prevents her from knowing when to stop eating, Verbatim Report of Proceedings, at 81; cannot live independently, Verbatim Report of Proceedings, at 81; and suffers from an inability to resist the instructions of others, Verbatim Report of Proceedings, at 82. A caseworker works with S.G. and her husband 60 hours a week to ensure they receive support and education. Verbatim Report of Proceedings, at 84. S.G. also has an advocate who works closely with her and a case manager who monitors her development and general well-being.
It is undisputed S.G. and Ortega-Martinez remained in the truck the rest of the night and that the next morning Ortega-Martinez walked her back to the bus station where he had found her. With the assistance of the Greyhound terminal manager, S.G. then called her advocate. After being returned home by the advocate, S.G. called her cousin. The cousin came to her house and, upon hearing what had happened, notified the police and took S.G. to the hospital. The doctor who examined S.G. found several small bruises on her neck, a bruise on her leg, and trauma to her vaginal area. Verbatim Report of Proceedings, at 152-55. The doctor testified the trauma to her vaginal area was consistent with injuries from penetration. Verbatim Report of Proceedings, at 157.
Ortega-Martinez was subsequently charged with violating
Criminal defendants in Washington have a right to a unanimous jury verdict.
In certain situations, the right to a unanimous jury trial also includes the right to express jury unanimity on the means by which the defendant is found to have committed the crime. State v. Green, 94 Wn.2d 216, 616 P.2d 628 (1980); accord State v. Whitney, 108 Wn.2d 506, 739 P.2d 1150 (1987); State v. Franco, 96 Wn.2d 816, 639 P.2d 1320 (1982); State v. Simon, 64 Wn. App. 948, 831 P.2d 139 (1991).
The threshold test governing whether unanimity is required on an underlying means of committing a crime is whether sufficient evidence exists to support each of the alternative means presented to the jury. If the evidence is sufficient to support each of the alternative means submitted to the jury, a particularized expression of unanimity as to the
The Court of Appeals erroneously concluded Griffin v. United States, 502 U.S. 46, 116 L. Ed. 2d 371, 112 S. Ct. 466 (1991) supersedes Green and is dispositive of Ortega-Martinez‘s state claims. The Griffin Court held that a general guilty verdict satisfies the due process clause of the fifth amendment to the federal constitution, notwithstanding an absence of unanimity on an underlying means supported by sufficient evidence. Since Griffin addressed the requirements imposed by the federal constitution, it does not erode the protections afforded by our state constitution and under Green.
Therefore, the first question we must answer in this case is whether sufficient evidence supported each of the two alternative means of committing second degree rape which were considered by the jury. Sufficient evidence is evidence adequate to justify a rational trier of fact to find guilt beyond a reasonable doubt. Green, at 220 (citing Jackson v. Virginia, 443 U.S. 307, 61 L. Ed. 2d 560, 99 S. Ct. 2781 (1979)). The evidence is sufficient if “after viewing the evidence in a light most favorable to the State, any rational trier of fact could have found the essential elements of the charged crime beyond a reasonable doubt“. State v. Rempel, 114 Wn.2d 77, 82, 785 P.2d 1134 (1990).
As noted, the jury was informed of two alternative means by which second degree rape occurs. It was instructed to convict Ortega-Martinez if it found he had intercourse with S.G. by forcible compulsion or if it found he had intercourse
The Court of Appeals agreed with Ortega-Martinez that the evidence was insufficient to find he had intercourse with someone incapable of consent by reason of being mentally incapacitated. In so doing, the court emphasized the definition of “mental incapacity” as a condition which: “prevents a person from understanding the nature or consequences of the act of sexual intercourse . . . .“.
We disagree with the Court of Appeals’ interpretation of “understand“. Since such a narrow interpretation would decrease the number of successful rape prosecutions, it would frustrate the legislative intent to increase, on appropriate evidence, the number of successful rape prosecutions generally.1 Moreover, if such evidence were sufficient
The Legislature‘s intent to provide broad protection for the mentally disabled is found in the legislative history of this statute. As noted, the enacted language defines “mental incapacity” as: “[a] condition . . . which prevents a person from understanding the nature or consequences of the act of sexual intercourse . . . .“.
First, the Model Penal Code‘s section on rape (contained in the House‘s archival file) and an earlier Senate bill made sexual intercourse with a person incapable of consent by reason of being mentally incapacitated a third degree crime. Senate Bill 2063, 43d Legislature (1973); House Bill 208, 44th Legislature (1975), House File attach. 2A (Model Penal Code). The bill ultimately enacted made such action a second degree crime.
Second, some bills under consideration defined an individual to be mentally defective if he or she was incapable of appraising the nature of his or her “conduct” generally. See House Bill 208, 44th Legislature (1975), Senate Judiciary Comm. file, Mich. ESB 1207 (1974); House Bill 208, 44th Legislature (1975), House Judiciary Comm. file, Prosecuting Attorneys Ass‘n proposal (1975); Senate Bill 31 73, 43d Legislature (1973). The language ultimately chosen by the Legislature permits a jury to find an individual mentally incapacitated if it finds he or she was incapable of appraising the nature of “sexual intercourse” specifically. The number of people who are so severely disabled that they cannot
Third, under some earlier versions, a person could not have been considered mentally defective if the State failed to show he or she did not understand the nature of sexual intercourse — even if he or she did not understand the consequences of sexual intercourse. House Bill 208, 44th Legislature, Prosecuting Attorneys Ass‘n proposal (1975); Senate Bill 3173, 43d Legislature (1973). The introduction of the words “or consequences” into the final legislation further demonstrates the Legislature‘s intent to expand the scope of persons falling within its protection.
Fourth, the House Judiciary Committee rejected a knowledge requirement for this category of second degree rape. To be convicted of rape of a mentally incapacitated person under the Model Penal Code as considered by the House Judiciary Committee in 1975, the defendant had to “know that [the victim] suffers from a mental disease or defect which renders her incapable of appraising the nature of her conduct“. House Judiciary Comm. file; cf.
The key to a proper interpretation of
A meaningful understanding of the nature and consequences of sexual intercourse necessarily includes an under
In a subsequent case, the Court of Appeals has recognized the need to interpret “understand” consistently with the legislative aims of protecting the mentally disabled and of deterring and punishing the crime of rape. State v. Summers, 70 Wn. App. 424, 432, 853 P.2d 953, review denied, 122 Wn.2d 1026 (1993) involved the prosecution of a man for second degree rape of a 44-year-old, mentally ill woman. The victim met the defendant on a public street. After talking to the victim and telling her to follow him, the defendant took her inside a private apartment and proceeded to have sexual
Other courts have also held a superficial understanding of the physical nature and consequences of sexual activity insufficient by itself to void the applicability of provisions defining mental incapacity in a way similar to the way it has been defined in
An understanding of coitus encompasses more than a knowledge of its physiological nature. An appreciation of how it will be regarded in the framework of the societal environment and taboos to which a person will be exposed may be far more important.
(Citation omitted.) People v. Easley, 42 N.Y.2d 50, 56, 364 N.E.2d 1328, 396 N.Y.S.2d 635 (1977). See also State v. Soura, 118 Idaho 232, 796 P.2d 109 (1990); People v. McMullen, 91 Ill. App. 3d 184, 414 N.E.2d 214 (1980).
For these reasons, we reject the narrow interpretation of “mental incapacity” implicit in the Court of Appeals’ decision in this case.
An examination of the record when viewed pursuant to our interpretation of “understanding the nature or consequences of the act of sexual intercourse” establishes the State presented sufficient evidence to permit a finding that S.G. was incapable of consent by reason of being mentally incapacitated. We, therefore, disagree with the Court of Appeals’ conclusion the State “presented no evidence that [S.G.‘s mental retardation] prevented [her] from understanding the nature or consequences of sexual intercourse.”
In assessing whether the State has met its burden of showing that a victim had a condition which prevented him or her from understanding the nature or consequences of sexual intercourse at the time of an incident, the jury may evaluate, in addition to that person‘s testimony regarding his or her understanding, other relevant evidence such as the victim‘s demeanor, behavior, and clarity on the stand. It may also take into consideration a victim‘s IQ, mental age, ability to understand fundamental, nonsexual concepts, and mental faculties generally, as well as a victim‘s ability to translate information acquired in one situation to a new situation.
In this case, S.G.‘s testimony regarding sexual intercourse reflected her extremely limited understanding of the nature and consequences of sexual intercourse. Although she associated sperm with “disease“, Verbatim Report of Proceedings, at 120, and the doctor testified S.G. seemed to understand the implication of disease during a discussion he had with her after he conducted his examination of her, Verbatim Report of Proceedings, at 156, these facts are not dispositive. S.G.‘s understanding of the meaning of disease after the incident is not conclusive as to whether she understood the nature and consequences of sexual intercourse at the time of the incident. Furthermore, the exchange between the prosecutor and S.G. reflected a suspect understanding of the underlying connection between sperm and disease even after the incident. S.G. seemed to believe that if she did not talk about sperm, any disease associated with sperm would not harm her. Verbatim Report of Proceedings, at 120.
S.G.‘s caseworker presented uncontroverted evidence that S.G. had an IQ in the 40‘s; testified the IQ below which a person is considered mentally retarded is 69; and estimated S.G.‘s mental age to be between the ages of 5 and 9, Verbatim Report of Proceedings, at 79. A police officer with experience in child abuse cases testified S.G.‘s mental age seemed close to that of a 4- or 5-year-old. Verbatim Report of
The jury also had occasion to draw its own conclusions about S.G.‘s mental capacity. It observed a 30-year-old woman who exhibited the skills of a child and whose answers were often nonresponsive. When the prosecutor asked her for clarification concerning her comment that there “was something in the coffee“, she stated “There was something underneath the blanket“. When he asked if she had ever seen Ortega-Martinez before that night, she replied, “When I leave for him“. Verbatim Report of Proceedings, at 115. When she was asked how long she stayed in the truck, she replied “It was raining“. Verbatim Report of Proceedings, at 113. In response to a question “Where did you go after you went over the railroad tracks?“, she testified “I saw the green barn and red barn“. Verbatim Report of Proceedings, at 107. The jury also observed S.G.‘s generally deficient understanding of other matters. She was unable to assess the fundamental, nonsexual concept of time. She could not remember when she had been raped. Upon a specific question asking her to relate it to Christmas, she thought it was after Christmas, despite the fact the rape occurred on December 7, 1990. Verbatim Report of Proceedings, at 104. She was also unable to estimate in minutes or hours how long she waited at the bus stop: “waited for a long time” was as specific as she was able to get. Verbatim Report of Proceedings, at 105. Her vocabulary and syntax also reflected her mental deficiencies. S.G. did not understand the meaning of the word “position“, Verbatim Report of Proceedings, at 125, and spoke in childlike language when referring to sexual organs, using the term “gina” for vagina and “boops” for breasts, Verbatim Report of Proceedings, at 109.
The evidence supporting a finding that S.G. had a condition which prevented her from understanding the nature or consequences of sexual intercourse at the time of the incident includes the following. S.G.‘s case manager testified, “If you teach her something in one situation, she wouldn‘t necessarily understand that same thing applied in another situation unless she experienced that“. Verbatim Report of Proceedings, at 85. Although S.G. sometimes understood the harm of talking to strangers after attending special training sessions, that ability dissipated quickly. Verbatim Report of Proceedings, at 87-88. Likewise, although S.G. knew generally how to dial 911 in the case of an emergency, this capacity was limited when she was not in her own apartment. Verbatim Report of Proceedings, at 85-86.
Viewing the evidence in a light most favorable to the State, any rational trier of fact could have found beyond a
DOLLIVER, SMITH, GUY, JOHNSON, and MADSEN, JJ., concur.
ANDERSEN, C.J. (concurring in the result) — I write separately because I believe the majority opinion‘s interpretation of “mental incapacity“, as that term is used in
Rape in the second degree may occur when a person engages in sexual intercourse with another when “the victim is incapable of consent by reason of being . . . mentally incapacitated“.
that condition existing at the time of the offense which prevents a person from understanding the nature or consequences of the act of sexual intercourse whether that condition is produced by illness, defect, the influence of a substance or from some other cause.
The majority would have the trial court “bear in mind” a number of factors which are purportedly relevant in determining whether an allegedly disabled victim has a meaningful understanding of the nature and consequences of the act of sexual intercourse.
Thus, the trial court must decide the extent of the victim‘s understanding of the nature and consequences of sexual intercourse in order to determine whether the victim has a condition which prevents such an understanding. This is circular reasoning.
I disagree with the majority opinion to the extent that it can be interpreted to require a trial court to conduct an in-depth review of the level of an allegedly disabled victim‘s understanding of the emotional impact that sexual intimacy can cause, of the possibility that such intimacy may have an effect on existing relationships, and of the extent of the victim‘s knowledge of the “specter of disease and even death” associated with the possibility of pregnancy. Majority, at 712. To my view this “evaluation” is unwarranted under the facts of this case.
It is unnecessary in this case to construe the act as broadly as the majority does, for it is clear from the evidence presented to the jury, see majority, at 714-16, that the victim in this case suffered from a mental condition that prevented her “from understanding the nature or consequences of the act of sexual intercourse“.
BRACHTENBACH and DURHAM, JJ., concur with ANDERSEN, C.J.
Notes
That intent is reflected in both the House and Senate history. The House Judiciary Committee commissioned and reviewed a report which indicated that of 208 rapes reported in Seattle in 1971, only 7 went to trial and only 2 resulted in convictions with prison sentences. House Bill 208, 44th Legislature (1975), House Judiciary Comm. file, “Is there a Need for Revision of the WA State Rape Law?” by Deborah Fleck, at 3 (June 25, 1974). Of the five versions of rape reform legislation before the House Judiciary Committee in 1975, the bill ultimately passed was the one considered by the analyst to be the one which dealt “most effectively with the rape problem“. D. Fleck, at 3 (June 25, 1974).
The Senate Judiciary Committee likewise entertained testimony that “estimates of unreported rapes . . . range between 50-80%“. House Bill 208, 44th Legislature (1975), Testimony by Mary Helen Roberts, executive director of the Washington State Women‘s Council, before the Senate Judiciary Comm. (Feb. 17, 1975). Additionally, the Committee placed in its archival file an article which described the historical phenomenon of and reasons for excessive acquittals. House Bill 208, 44th Legislature (1975), Senate Judiciary Comm. file, The Seattle Times (Friday, Dec. 13, 1974, p. 75).
