Opinion ID: 2633459
Heading Depth: 4
Heading Rank: 1

Heading: alternative means of establishing lack of legal consent

Text: In addressing the first issue, we must determine whether the alternative theories of guilt presented to the jury regarding the lack of legal consent(1) the absence of consent or (2) ineffective consent (based on any of the four grounds of ineffective consent)define separate crimes or may be treated as alternative means of establishing an element of a single offense. As in Klinge, we examine the statutory provision, the history and practice in Hawai`i and other jurisdictions, and whether the alternatives reasonably reflect notions of equivalent blameworthiness and culpability. See Klinge, 92 Hawai`i at 587-89, 994 P.2d at 519-21. For the reasons set forth below, we hold that, based on the facts and the charged offenses in this case, the alternative theories of absence of consent and ineffective consent do not represent separate crimes; rather, they are alternative means of proving the attendant circumstance element of a single crime. Although one theory is based on the statute defining the crime and the other theory negatives a defense based on the statute prescribing when consent is not a defense, both alternatives deal with the same attendant circumstancethe lack of legal consent. The language and history of the relevant statutory provisions support treating the absence of consent and ineffective consent as alternative means of proving the element of lack of legal consent rather than as separate crimes. HRS §§ 702-233 (1993) and 702-235 (1993), located in HRS Chapter 702 (1993), entitled General Principles of Penal Liability, describe when consent is available as a defense. The General Principles of Penal Liability are applicable to all offenses. They do not create separate crimes. HRS §§ 702-233 and 702-235 are based on the Model Penal Code (MPC) § 2.11 (1962). The commentary to MPC § 2.11 makes clear that the consent provisions deal generally with the concept of consent and must be analyzed in the context of the particular offenses to which they apply. Model Penal Code and Commentaries § 2.11, comment 1 at 394 (Official Draft and Revised Comments 1985) [hereinafter, MPC Commentaries] (The question of whether consent can constitute a defense to a crime is best analyzed in the context of particular offenses and particular conduct.); MPC Commentaries, § 2.11, comment 3 at 398 (discussing why general provision dealing with ineffective consent lends completeness to Code, while avoiding repetition of the same ideas in the definitions of the various offenses to which they are applicable). Thus, because the general principles of liability, which include the ineffective consent statute, do not define discrete or separate offenses, the statutory scheme does not support treating the absence of consent and ineffective consent as elements of separate crimes. Moreover, as previously stated, the Commentary to HRS § 702-235 provides that the ineffective consent statute deprives the defendant of a defense based on consent in those situations where the complainant's apparent consent is meaningless. The commentary thus supports treating ineffective consent and the absence of consent as giving rise to the same criminal culpability. Hawai`i case law further supports the conclusion that, in the context of this case, absence of consent and ineffective consent reflect equivalent notions of blameworthiness. In State v. Oshiro, 5 Haw.App. 404, 696 P.2d 846 (1985), the defendant, a dentist, raised the defense of consent to a charge of rape in the third degree based upon his assault upon his dental assistant while she was mentally incapacitated due to the defendant's administration of nitrous oxide. With the intent of engaging in sexual intercourse with his newly hired dental assistant, the defendant induced her to try nitrous oxide by telling her that she would be able to explain to patients what it felt like to be under nitrous oxide. At the time the offense occurred, HRS § 707-732(1) defined rape in the third degree as follows: A male commits the offense of rape in the third degree if he intentionally engages in sexual intercourse with a female who is mentally defective, mentally incapacitated, or physically helpless. Oshiro, 5 Haw.App. at 405 n. 1, 696 P.2d at 848 n. 1. The defendant argued that the trial court's finding of mental incapacitation was erroneous because his deception did not vitiate the complainant's consent to the gas. Id. at 407, 696 P.2d at 849-50. Rejecting the defendant's argument, the ICA reasoned as follows: The term mentally incapacitated is defined in HRS § 707-700(13) as the state of a person who is temporarily incapable of appraising or controlling his conduct due to a substance administered to him without his consent. Under HRS § 702-235(4) (1976)[, the ineffective consent statute,] consent will not constitute a defense if . . . [i]t is induced by . . . deception. Defendant argues that the trial court incorrectly applied the consent statute to the mentally incapacitated statute, as the factor of consent in HRS § 707-700(13) is not a defense, but an element. Therefore, he contends, the trial court's finding that his deception negated the victim's consent is erroneous. . . . It is true that consent here is an element so HRS § 702-235(4) is not directly applicable. However, both common law and common sense impel the logical conclusion that the denomination of consent as an element or a defense should not affect its basic nature. Extrinsic factors such as the burden of proof may change, but the essence of what constitutes consent does not. No other term in the legal lexicon is subject to such a dichotomy. Thus, if consent as a defense is subject to the ten qualifications of HRS § 702-235, then consent as an element is similarly restricted. We therefore agree with the trial court and hold that the deception did vitiate the victim's consent. Id. at 407-08, 696 P.2d at 849-50 (footnote omitted) (some emphases added and some omitted). Therefore, in practice, this jurisdiction has treated the absence of consent and ineffective consent as giving rise to the same culpability. The history and practice in other jurisdictions also supports the conclusion that treating absence of consent and ineffective consent as alternative means of proving the element of lack of consent is rational and fair. For example, in State v. Ice, 27 Kan. App.2d 1, 997 P.2d 737 (2000), the jury was presented with the following alternative theories, based on statutory alternatives, of establishing that sexual intercourse was committed without the consent of the complainant under circumstances when: (1) she was overcome by force or fear; or (2) she was physically powerless; or (3) she was incapable of giving valid consent because of mental deficiency or disease; or (4) she was incapable of giving valid consent because of the effect of alcoholic liquor. Id. at 739. Although the Kansas Court of Appeals reversed the defendant's rape conviction because one of the alternative theories was not supported by sufficient evidence, see discussion infra, the court treated the alternatives as alternative means by which the jury could have determined lack of consent rather than as separate crimes. Id. Although the Kansas statute at issue in Ice is substantially different than the statutes at issue in this case, the Kansas court's analysis supports the conclusion that it is rational and fair to treat the alternative theories in this case as alternative means rather than separate crimes. Id.; see also State v. Ortega-Martinez, 124 Wash.2d 702, 881 P.2d 231, 234-35 (1994) (holding that jury unanimity as to alternative means of committing rape was not required where there was sufficient evidence of either alternative: (1) by forcible compulsion; or (2) with someone incapable of consent by reason of mental incapacity). Cf. State v. Timley, 255 Kan. 286, 875 P.2d 242, 245-46 (1994) (holding that unanimity not required where there was sufficient evidence of both of the alternative means of perpetrating sexual act presented to the jury: by the use of force or by the use of fear). With respect to whether the statutory alternatives in this case may be treated as alternative means, it is not significant that the jury may have reached different conclusions regarding whether Complainant did not consent or any apparent consent was ineffective, i.e., meaningless, because such differences do not reflect disagreement as to the specific incident charged. Cf. Arceo, 84 Hawai`i at 32-33, 928 P.2d at 875-75 (requiring juror agreement as to the specific criminal act committed by the defendant); Valentine, 93 Hawai`i at 208, 998 P.2d at 488 (unanimity instruction was necessary [in Arceo ] to ensure that each juror convicted the defendant on the basis of the same incident of culpable conduct.). Although we recognize that the absence of consent and the giving of consent that is legally ineffective are mutually exclusive circumstances, such mutual exclusivity does not preclude a determination that they may be treated as alternative means in this case because the jury's verdict as to each count was based on the same incident of culpable conduct. Cf. Rice v. State, 311 Md. 116, 532 A.2d 1357 (1987) (where relevant statute provided, by means of different subsections, that theft could be committed by either taking the property of another or by merely possessing it with the knowledge or belief that it had been stolen, the court concluded that statutory alternatives could be treated as alternative means of committing one crime even though alternatives were mutually exclusive). The sole issue is whether Complainant legally consented. Cf. Oshiro, 5 Haw.App. at 408, 696 P.2d at 850 (stating that the denomination of consent as an element or a defense should not affect its basic nature). [19] Based on the foregoing, we hold that the absence of consent and the relevant grounds of proving ineffective consent may be treated as alternative means of establishing that Complainant did not legally consent to the sexual conduct alleged in this case. We acknowledge that the jury should be instructed on only those grounds of ineffective consent that have a basis in the evidence. If more than one ground is relevant, they may be treated as alternative means of proving ineffective consent. We turn next to the question whether sufficient evidence of each alternative means submitted to the jury is required to uphold the verdict.