STATE OF WASHINGTON, Respondent, v. W.R., JR., Petitioner.
NO. 88341-6
IN THE SUPREME COURT OF THE STATE OF WASHINGTON
OCT 30 2014
336 P.3d 1134
STEPHENS, J.
EN BANC
FACTS AND PROCEDURAL HISTORY
Following a bench trial, the juvenile court found W.R. committed rape in the second degree under
Throughout the police investigation, W.R. consistently denied ever having sexual intercourse with J.F. Shortly before trial, he admitted that they had engaged in sexual intercourse on January 2, 2011, but defended it as consensual. Tr. of Adjudicatory Hr‘g (TAH) (June 16, 2011) at 155-62. To support his defense, W.R. testified that J.F. had a crush on him and that the two had engaged in sexual intercourse on a prior occasion in July 2010. Id. at 146. J.F. initially denied ever having sex with W.R. before the January incident. TAH (June 15, 2011 Morning Session) at 78-79. At trial, however, she admitted to having sex with W.R. on both occasions but insisted she did not consent to either. Id. at 81-84. Although W.R.‘s sister did not witness the alleged rape, she was in the vicinity when it occurred and testified that J.F. had a crush on W.R. TAH (June 16, 2011) at 72, 86-87.
At the close of the bench trial, Judge Gregory P. Canova observed that “the key issue ... is credibility.” TAH (June 21, 2011) at 110. The court did not find W.R.‘s
W.R. appealed, arguing the juvenile court erred in allocating to him the burden of proving by a preponderance of the evidence that the act was consensual. W.R. conceded the allocation was consistent with our prior decisions in Camara and Gregory but argued these decisions were based on a flawed reading of United States Supreme Court precedent and violated his due process rights. Division One of the Court of Appeals affirmed in a brief, unpublished per curiam opinion, noting it was bound by our decisions in Camara and Gregory. State v. W.R., noted at 171 Wn. App. 1019 (2012). We granted review. State v. W.R., 179 Wn.2d 1001, 315 P.3d 531 (2013).
ISSUE
When the State charges the defendant under a rape statute that includes “forcible compulsion” as a necessary element of the crime, does due process forbid requiring a criminal defendant to prove consent by a preponderance of the evidence?
ANALYSIS
The due process clause of the Fourteenth Amendment guarantees, “No state shall ... deprive any person of life, liberty, or property, without due process of law.”
Due process does not require the State to disprove every possible fact that would mitigate or excuse the defendant‘s culpability. Smith v. United States, 568 U.S. 106, 133 S. Ct. 714, 184 L. Ed. 2d 570 (2013); Patterson v. New York, 432 U.S. 197, 207, 97 S. Ct. 2319, 53 L. Ed. 2d 281 (1977). The legislature does not violate a defendant‘s due process rights when it allocates to the defendant the burden of proving an affirmative defense when the defense merely “‘excuses[s] conduct that would otherwise be punishable.‘” Smith, 133 S. Ct. at 719 (alteration in original) (quoting Dixon v. United States, 548 U.S. 1, 6, 126 S. Ct. 2437, 165 L. Ed. 2d 299 (2006)); see also Martin v. Ohio, 480 U.S. 228, 107 S. Ct. 1098, 94 L. Ed. 2d 267 (1987). But when a defense necessarily negates an element of an offense, it is not a true affirmаtive defense, and the legislature may not allocate to the defendant the burden of proving the defense. State v. Fry, 168 Wn.2d 1, 7, 228 P.3d 1 (2010) (explaining that “[a]n affirmative defense admits the defendant committed a criminal act but pleads an excuse for doing so“; it “does not negate any elements of the charged crime“); Mullaney v. Wilbur, 421 U.S.684, 699, 704, 95 S. Ct. 1881, 44 L. Ed. 2d 508 (1975). In such a case, the legislature can only require the defendant to present sufficient evidence to create a reasonable doubt as to his or her guilt. State v. Riker, 123 Wn.2d 351, 367-68, 869 P.2d 43 (1994).
W.R. contends the trial court violated his due prоcess rights when it allocated to him the burden of proving consent, which he maintains negates the element of forcible compulsion. Suppl. Br. of Pet‘r at 4. We hold that consent negates the element of forcible compulsion. Therefore, once a defendant asserts a consent defense and provides sufficient evidence to support the defense, the State bears the burden of proving lack of consent as part of its proof of the element of forcible compulsion.
1. Burdening a Defendant with Proving a Defense That Negates an Element of the Crime Charged Violates Due Process
This court in Camara held that in rape prosecutions involving forcible compulsion, the “conceptual overlap” between the defense of consent and the element of forcible compulsion does not forbid imposing on the defendant the burden to prove consent by a preponderance of the evidence. 113 Wn.2d at 638-40. Unfortunately, we came to this conclusion without applying the “‘negates‘” analysis. Id. at 639. When we decided Camara we were skeptical of the viability of this analysis following the United States Supreme Court‘s decision in Martin. Id. at 640. We interpreted Martin to mean that requiring a defendant to prove a defense by a preponderance of the evidence is “not precluded by the fact that the defense ‘negates’ an element of a crime.” Id.
Smith subsequently clarified that the prosecution must always bear the burden of disproving a defense that necessarily negates an element of the charged offense. 133 S. Ct. at 719. The Court explained:
The State is foreclosed from shifting the burden of proof to the defendant only “when an affirmative defense does negate an element of the crime.” Where instead it “excuse[s] conduct that would otherwise be punishable,” but “does not controvert any of the elements of the offense itself,” the Government has no constitutional duty to overcome the defense beyond a reasonable doubt.
Id. (alteration in original) (quoting Martin, 480 U.S. at 237 (Powell, J., dissenting); Dixon, 548 U.S. at 6). Read together, Martin and Smith hold that the State may burden a defendant with proving an affirmative defense that excuses otherwise criminal conduct even when the defense overlaps one of the elements under most circumstances, but the State may not burden a defendant with proving a defense that necessarily negates
Since Martin, we have applied the negates analysis to a variety of defenses. See, e.g., State v. Deer, 175 Wn.2d 725, 734, 287 P.3d 539 (2012) (lack of volition does not negate any element of third degree rape of a child); Riker, 123 Wn.2d at 368 (duress defense does not negate an element of delivery and possession of cocaine); State v. Box, 109 Wn.2d 320, 330, 745 P.2d 23 (1987) (insanity does not negate an element of first degree murder). In fact, we implicitly applied the negates analysis in Gregory, albeit incorrectly, to affirm Camara‘s holding. See Gregory, 158 Wn.2d at 803-04 (relying on Riker for proposition that consent does not negate an element of rape by forcible compulsion), 803 n.21 (exрlaining its holding was not inconsistent with the negates analysis applied in Dixon, 548 U.S. 1).
We hold that when a defense necessarily negates an element of the crime, it violates due process to place the burden of proof on the defendant. The key to whether a defense necessarily negates an element is whether the completed crime and the defense can coexist.
2. Consent Necessarily Negates the Element of “Forcible Compulsion”
Although the State agrees that the negates analysis rеmains at the center of the due process issue, it argues our decisions in Camara and Gregory were nevertheless correct because consent does not necessarily negate the element of forcible compulsion. If consent does not always negate forcible compulsion, it would not offend due process to require W.R. to prove consent by a preponderance of the evidence. The State
The statute defines “forcible compulsion” as “physical force which overcomes resistance, or a threat . . . that places a person in fear of death or physical injury to herself or himself or another person, or in fear that she or he or another person will be kidnapped.”
Other courts have recognized that when a person consents to sexual intercourse, such consent negates forcible compulsion. Examining the crime of rape by forcible compulsion in Washington, the Ninth Circuit noted in dicta that “consent appears to negate the element of ‘forcible compulsion’ rather than provide an excuse (i.e., affirmative defense) for admitted illegal conduct” and, therefore, “the State‘s requirement-that [the defendant] demonstrate that consent did in fact exist-seems to violate his constitutional right to due process.” Spicer v. Gregoire, 194 F.3d 1006, 1008 (9th Cir. 1999).2 Michigan courts have similarly found consent to negate the element
Requiring a defendant to do more than raise a reasonable doubt is inconsistent with due process principles. As we explained in Riker, when a defense negates an element of the crime, the State can require the defendant to prove that defense only to the extent of creating a reasonable doubt as to his or her guilt. 123 Wn.2d at 367. Because the defense of consent necessarily negates the element of forcible compulsion, credible evidence of consent necessarily raises doubt as to the defendant‘s guilt. As such, the defense of consent should be treated similar to the alibi defense at issue in Riker in that the defendant need only produce sufficient evidence to create a reasonable doubt as to the victim‘s consent. The defendant cannot be burdened with proving consent by a preponderance of the evidence, as the burden must remain on the State to prove forcible compulsion beyond reasonable doubt. See Smith, 133 S. Ct. at 719.
Recognizing that the State‘s burden to prove forcible compulsion encompasses the concept of nonconsent is consistent with rape reform laws. LAWS OF 1975, 1st Ex. Sess., ch. 14. The dissent complains that our decision reverses the progress made in shifting the focus of rape prosecutions away from the victim‘s conduct and onto the
We hold that consent necessarily negates forcible compulsion. For this reason, due process prohibits shifting the burden to the defendant to prove consent by a preponderance of the evidence. While the defendant may be tasked with producing
3. Gregory and Camara are Incorrect and Harmful
The principle of stare decisis is vital to protecting the rights of litigants and the integrity of the common law. Lunsford v. Saberhagen Holdings, Inc., 166 Wn.2d 264, 278, 208 P.3d 1092 (2009). We will overrule a prior decision only upon a clear showing that the rule it announced is incorrect and harmful. State v. Barber, 170 Wn.2d 854, 863-65, 248 P.3d 494 (2011) (explaining standard for overruling precedent). A rule can become incorrect when subsequent United States Supreme Court precedent clarifies that our prior understanding was erroneous. State v. Abdulle, 174 Wn.2d 411, 420, 275 P.3d 1113 (2012).
As our analysis above makes clear, Camara and Gregory are incorrect. They misapprehend United States Supreme Court precedent and misdescribe the relationship between forcible compulsion and nonconsent. In Camara we concluded that consent is the “conceptual opposite” of forcible compulsion. 113 Wn.2d at 637. Gregory further held that this merely means there is “conceptual overlap between the consent defense and the forcible compulsion element,” 158 Wn.2d at 803; see also Camara, 113 Wn.2d at 640. But neither case explains how two things can be conceptual opposites without negating one another. This conclusion is untenable because no circumstance could exist where a defendant forcibly compels a victim to engage in consensual sexual intercourse.
Camara and Gregory are also harmful. In violation of a defendant‘s due process right to have the State prove every element of the crime beyond a reasonable doubt, the rulе in these cases impermissibly shifts the burden to the defendant to negate forcible compulsion by establishing consent. This impermissible shift in burden is not merely academic but risks compartmentalizing forcible compulsion and consent, raising a very real possibility of wrongful convictions. We have found sufficient justification to overrule prior decisions with arguably less harm. State v. Devin, 158 Wn.2d 157, 167-68, 142 P.3d 599 (2006) (overruling State v. Furth, 82 Wash. 665, 667, 144 P. 907 (1914) because of collateral consequences including depriving crime victims of compensation, causing emotional distress, and impacting family court рroceedings); Abdulle, 174 Wn.2d at 420 (overruling State v. Davis, 73 Wn.2d 271, 438 P.2d 185
We overrule Camara and Gregory to the extent they hold that consent does not negate forcible compulsion and that a defendant can be required to prove consent by a preponderance of the evidence.
4. The Remedy Is Remand for a New Trial
Placing the burden on W.R. to prove consent by a preponderance of the evidence violated his due process rights. Where a constitutional error occurs, reversal is ordinarily the proper remedy unless the State can prove the error was harmless beyond a reasonable doubt. State v. Guloy, 104 Wn.2d 412, 425, 705 P.2d 1182 (1985). We do not find that the State can satisfy that burden here.
The State argues that the trial judge‘s credibility determinations formed the basis of his decision and that an “after-the-fact inclusion of the burden of proof [for] consent could not have affected this decision.” State‘s Suppl. Br. at 19. “[I]t is the function of the trial court and not [the appellate] court to consider thе credibility of witnesses and to weigh the evidence.” Nissen v. Obde, 55 Wn.2d 527, 529, 348 P.2d 421 (1960). But, we cannot overlook the fact that the trial judge, in making his credibility determinations, acted within the incorrect framework.
The defense and prosecution both relied on an incorrect understanding of the law when they fashioned and presented their arguments surrounding consent. Creating a reasonable doubt for the defense is far easier than proving the defense by a preponderance of the evidence. And the trial court‘s express conclusion was that W.R.
CONCLUSION
When a defense necessarily negates an elеment of the crime charged, the State may not shift the burden of proving that defense onto the defendant. To hold otherwise unconstitutionally relieves the State of its burden of proving every element of the crime beyond a reasonable doubt. We hold consent necessarily negates forcible compulsion. We overrule Camara and Gregory to the extent they hold the defendant bears the burden of proving consent by a preponderance of the evidence. We remand for a new trial consistent with this opinion.
STEPHENS, J.
WE CONCUR:
MADSEN, C.J.
FAIRHURST, J.
WIGGINS, J.
GORDON MCCLOUD, J.
KULIK, J.P.T.
Today, the majority reverses that progress. The majority departs from recent and well-reasoned precedent, retreating to the archaic focus on a rape victim‘s actions instead of those of the perpetrator. Placing the burden on the State to disprove consent wrongfully puts the victim‘s actions and reputation on trial. Not only does the majority‘s decision invalidate years of work undertaken to properly refocus our rape law, but it also has serious implications for victims of an already underreported type of crime. I respectfully dissent.
I disagree with the majority‘s decision to cast aside our recent precedent. We have analyzed the burden of proof for consent in rape cases twice in the past 25 years. State v. Gregory, 158 Wn.2d 759, 801-04, 147 P.3d 1201 (2006); Camara, 113 Wn.2d at 637-40. Both times, we concluded that under the current rape laws, the State has the burden of proving forcible compulsion and that consent is an affirmative defense that can be raised and proved by the defendant. Gregory, 158 Wn.2d at 801-04; Camara, 113 Wn.2d at 637-40. I disagree with the majority‘s decision to discard this recently confirmed precedent, particularly in light of the decision‘s real-world consequences for rape victims seeking justice. The majority overlooks the harm that its holding will cause to the victims of rape, who will now face a trial centered around their conduct.
The legislature thoughtfully and intentionally made the decision to require the State to prove forcible compulsion rather than lack of consent. As we have previously concluded, the legislature intended to place the burden on the State to prove forcible compulsion — rather than lack of consent — and therefore remove the focus from the victim‘s conduct. Camara, 113 Wn.2d at 638-39. The revised law thus “‘announce[d] society‘s interest in accurately identifying perpetrators of rape, not in reinforcing traditional assumptions regarding appropriate behavior of [virtuous] [men and] women.‘” Id. at 639 (second and third alterations in original) (quoting Loh,
This shift in focus has troubling implications. As noted above, the former, victimcentric statutes resulted in “low ratеs of reporting, arrest, prosecution, and conviction.” Loh, supra, at 570. If victims believe that the trial will focus on their behavior rather than the perpetrator‘s actions, they will be less likely to report the rape. If they do report the rape, they may feel that they themselves are on trial when the focus shifts to their actions rather than the crime against them. I agree with the concerns expressed by amici curiae that the majority‘s decision may “open the door for defendants to emphasize rape myths and victim-blaming,” making it even more difficult for sexual assault victims to receive justice. Br. of Amicus Curiae Wash. Coal. of Sexual Assault Programs, King County Sexual Assault Resource Center, Legal Voice, and Sexual Violence Law Center at 2. Given these unjust societal consequences, I cannot agree with the majority‘s decision.
In 1975, the legislature took an important step toward justice for rape victims when it modified the laws to focus on the conduct of the perpetrator and not the victim. Unfortunately, today‘s decision by the majority reverses that progress. I respectfully dissent.
OWENS, J.
C. JOHNSON, J.
GONZALEZ, J.
