Sandstrom v. Montana

442 U.S. 510, 99 S. Ct. 2450, 61 L. Ed. 2d 39, 1979 U.S. LEXIS 113
Supreme Court of the United States·Decided June 18, 1979·No. 78-5384·Published·Cited by 3,574 cases

Opinions

[512]*512Mr. Justice Brennan

delivered the opinion of the Court.

The question presented is whether, in a case in which intent is an element of the crime charged; the jury instruction, “the law presumes that a person intends the ordinary consequences of his voluntary acts,” violates the Fourteenth Amendment’s requirement that the State prove every element of a criminal offense beyond a reasonable doubt.

I

On November 22, 1976, 18-year-old David Sandstrom confessed to the slaying of Annie Jessen. Based upon the confession and corroborating evidence, petitioner was charged on December 2 with “deliberate homicide,” Mont. Code Ann. § 45-5-102 (1978), in that he “purposely or knowingly caused the death of Annie Jessen.” App. 3.1 At trial, Sandstrom’s attorney informed the jury that, although his client admitted killing Jessen, he did not do so “purposely or knowingly,” and was therefore not guilty of “deliberate homicide” but of a lesser crime. Id., at 6-8. The basic support for this contention was the testimony of two court-appointed mental health experts, each of whom described for the jury petitioner’s mental state at the time of the incident. Sandstrom’s attorney argued that this testimony demonstrated that petitioner, due to a personality disorder aggravated by alcohol consumption, did not kill Annie Jessen “purposely or knowingly.” 2

[513]*513The prosecution requested the trial judge to instruct the jury that “[t]he law presumes that a person intends the ordinary consequences of his voluntary acts.” Petitioner’s counsel objected, arguing that “the instruction has the effect of shifting the burden of proof on the issue of” purpose or knowledge to the defense, and that “that is impermissible under the Federal Constitution, due process of law.” Id., at 34. He offered to provide a number of federal decisions in support of the objection, including this Court’s holding in Mullaney v. Wilbur, 421 U. S. 684 (1975), but was told by the judge: “You can give those to the Supreme Court. The objection is overruled.” App. 34. The instruction was delivered, the jury found petitioner guilty of deliberate homicide, id., at 38, and petitioner was sentenced to 100 years in prison.

Sandstrom appealed to the Supreme Court of Montana, again contending that the instruction shifted to the defendant the burden of disproving an element of the crime charged, in violation of Mullaney v. Wilbur, supra, In re Winship, 397 U. S. 358 (1970), and Patterson v. New York, 432 U. S. 197 (1977). The Montana court conceded that these cases did prohibit shifting the burden of proof to the defendant by means of a presumption, but held that the cases “do not prohibit allocation of some burden of proof to a defendant under certain circumstances.” 176 Mont. 492, 497, 580 P. 2d 106, 109 (1978). Since in the court’s view, “[defendant's sole burden under instruction No. 5 was to produce some evidence that he did not intend the ordinary consequences of his voluntary acts, not to disprove that he acted ‘purposely’ or ‘knowingly,’ . . . the instruction does not violate due process [514]*514standards as defined by the United States or Montana Constitution ...Ibid, (emphasis added).

Both federal and state courts have held, under a variety of rationales, that the giving of an instruction similar to that challenged here is fatal to the validity of a criminal conviction.3 We granted certiorari, 439 U. S. 1067 (1979), to decide the important question of the instruction’s constitutionality. We reverse.

II

The threshold inquiry in ascertaining the constitutional analysis applicable to this kind of jury instruction is to determine the nature of the presumption it describes. See Ulster County Court v. Allen, ante, at 157-163. That determination requires careful attention to the words actually spoken to the jury, see ante, at 157-159, n. 16, for whether a defendant has been accorded his constitutional rights depends upon the way in which a reasonable juror could have interpreted the instruction.

Respondent argues, first, that the instruction merely described a permissive inference — that is, it allowed but did not require the jury to draw conclusions about defendant’s intent from his actions — and that such inferences are constitutional. Brief for Respondent 3, 15. These arguments need not detain us long, for even respondent admits that “it’s possible” that [515]*515the jury believed they were required to apply the presumption. Tr. of Oral Arg. 28. Sandstrom’s jurors were told that “[t]he law presumes that a person intends the ordinary consequences of his voluntary acts.” They were not told that they had a choice, or that they might infer that conclusion; they were told only that the law presumed it. It is clear that a reasonable juror could easily have viewed such an instruction as mandatory. See generally United States v. Wharton, 139 U. S. App. D. C. 293, 298, 433 F. 2d 451, 456 (1970); Green v. United States, 132 U. S. App. D. C. 98, 99, 405 F. 2d 1368, 1369 (1968). See also Montana Rule of Evidence 301 (a).4

In the alternative, respondent urges that, even if viewed as a mandatory presumption rather than as a permissive inference, the presumption did not conclusively establish intent but rather could be rebutted. On this view, the instruction required the jury, if satisfied as to the facts which trigger the presumption, to find intent unless the defendant offered evidence to the contrary. Moreover, according to the State, all the defendant had to do to rebut the presumption was produce “some” contrary evidence; he did not have to “prove” that he lacked the required mental state. Thus, “[a]t most, it placed a burden of production on the petitioner,” but “did not shift to petitioner the burden of persuasion with respect to any element of the offense . . . .” Brief for Respondent 3 (emphasis added). Again, respondent contends that presumptions with this limited effect pass constitutional muster.

We need not review respondent’s constitutional argument on this point either, however, for we reject this characterization of the presumption as well. Respondent concedes there is a “risk” that the jury, once having found petitioner’s act [516]*516voluntary, would interpret the instruction as automatically directing a finding of intent. Tr. of Oral Arg. 29. Moreover, the State also concedes that numerous courts “have differed as to the effect of the presumption when given as a jury instruction without further explanation as to its use by the jury,” and that some have found it to shift more than the burden of production, and even to have conclusive effect. Brief for Respondent 17. Nonetheless, the State contends that the only authoritative reading of the effect of the presumption resides in the Supreme Court of Montana. And the State argues that by holding that “[djefendant’s sole burden under instruction No. 5 was to produce some evidence that he did not intend the ordinary consequences of his voluntary acts, not to disprove that he acted ‘purposely’ or ‘knowingly,’ ” 176 Mont., at 497-498, 580 P.

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Sandstrom v. Montana, 442 U.S. 510, 99 S. Ct. 2450, 61 L. Ed. 2d 39, 1979 U.S. LEXIS 113 (1979).

442 U.S. 510 (Sandstrom v. Montana) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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