Document: 432 U.S. 197 97 S.Ct. 2319 53 L.Ed.2d 281 Gordon G. PATTERSON, Jr., Appellant,v.State of NEW YORK. No. 75-1861. Argued March 1, 1977. Decided June 17, Syllabus New York law requiring that the defendant in a prosecution for second-degree murder prove by preponderance evidence affirmative defense extreme emotional disturbance order to reduce crime manslaughter held not violate Due Process Clause Fourteenth Amendment. Mallaney v. Wilbur, 421 684, 95 1881, 44 508, distinguished. Pp. 201-216. (a) Such does serve negative any facts which State must convict, but constitutes separate issue on is required carry burden persuasion. 206-207. (b) The put choice abandoning such an or undertaking disprove its existence convict otherwise within State's constitutional powers sanction substantial punishment. If chooses recognize factor mitigates degree criminality punishment, it may assure itself fact has been established with reasonable certainty, and at all mitigating circumstance require beyond doubt nonexistence each case issue, if judgment this would be too cumbersome, expensive, inaccurate. 207-209. 39 N.Y.2d 288, 383 N.Y.S.2d 573, 347 N.E.2d 898, affirmed. Victor J. Rubino, City, appellant. John M. Finnerty, Steuben County Dist. Atty., Bath, N.Y., appellee. Mr. Justice WHITE delivered opinion Court. 1 question here constitutionality under Amendment's burdening trial proving as defined law. 2 * After brief unstable marriage, appellant, Patterson, became estranged from his wife, Roberta. Roberta resumed association Northrup, neighbor whom she had engaged prior her marriage On December 27, 1970, Patterson borrowed rifle acquaintance went residence father-in-law. There, he observed wife through window state semiundress presence Northrup. He entered house killed Northrup shooting him twice head. 3 was charged murder. In there are two elements crime: (1) "intent cause death another person"; (2) "caus(ing) person third person." N.Y.Penal Law § 125.25 (McKinney 1975).1 Malice aforethought element crime. addition, permits accused raise "acted influence explanation excuse."2 4 also recognizes manslaughter. A guilty intentionally kills "under circumstances do constitute because acts disturbance."3 Appellant confessed before killing raised disturbance.4 5 jury instructed Focusing intent, court charged: 6 "Before you, considering evidence, can any-one murder, you believe decide People have intended, firing gun, kill either victim himself some other human being. . 7 "Always remember expect your satisfaction were done without intent kill. Whatever proof attempted, however far gone effort convince innocence guiltlessness, obliged, obligated anything. It always People's guilt, intended instance doubt." App. A70-A71.5 8 further instructed, consistently law, evidence. told found appellant demonstrated acted disturbance, find instead 9 Judgment verdict, Appellate Division While appeal Court Appeals pending, decided Mullaney 508 (1975), declared Maine's statute unconstitutional. Under Maine statute, could rebut statutory presumption committed offense "malice aforethought" heat passion sudden provocation. scheme improperly shifted persuasion prosecutor therefore violation due process. urged York's functionally equivalent one struck down conviction should reversed.6 10 rejected appellant's argument, holding consistent 898 (1976). distinguished ground involved no shifting essential since bears direct relationship This ensued, we noted probable jurisdiction. 429 813, 52, 50 72 We affirm. II 11 goes saying preventing dealing much more business States than Federal Government, Irvine California, 128, 134, 74 381, 384, 98 L.Ed. 561 (1954) (plurality opinion), lightly construe Constitution so intrude upon administration justice individual States. Among things, normally "within power regulate procedures laws carried out, including producing persuasion," decision regard subject proscription unless "it offends principle rooted traditions conscience our people ranked fundamental." Speiser Randall, 357 513, 523, 78 1332, 1341, 1460 (1958); Leland Oregon, 343 790, 798, 1002, 1007, 96 1302 (1952); Snyder Massachusetts, 291 97, 105, 54 330, 332, 674 (1934). 12 determining whether allocation severe process, relevant note considerably expanded version common-law provocation common latter, well defenses indeed, "all justification, excuse alleviation" rested defendant. W. Blackstone, Commentaries *201; Foster, Crown 255 (1762); supra, U.S., 693-694, S.Ct., 1886-1887.7 rule when Fifth Amendment adopted, American ratified. Commonwealth York, Mass. 93 (1845).8 13 1895 view abandoned respect insanity federal prosecutions. Davis United States, 160 469, 16 353, 40 499 (1895). ruling wide impact practice courts various defenses, majority jurisdictions country sooner later came shoulder sanity disproving constituting ruling, however, made clear.9 14 At Oregon proved doubt. Noting "obviously establish(ed) doctrine," 797, refused strike scheme, doubt, premeditation deliberation, placed remained throughout trial. To based going insanity. Only then "to consider separately legal per se. ." Id., 795, 1006. did offend even though among 20 placing defendant, alone 15 "protects against except every necessary charged." re Winship, 397 358, 364, 90 1068, 1073, 25 368 (1970). Five years later, announced homicide, constitutionally occurred Chief Rehnquist, concurring, expressed their understanding call into Subsequently, confirmed dismissed, raising question, specifically challenged continuing validity Oregon. Rivera Delaware, 877, 226, (1976), Delaware which, reliance Leland, affirmed Supreme over claim unconstitutional burdened overruled Winship Mullaney. dismissed presenting question. Cf. Hicks Miranda, 422 344, 2281, 2289, 45 223 (1975). III 17 cannot conclude Patterson's deprived process represents recent revision criminal code, causing so. death, kill, causation convicted No presumed inferred provide manslaughter, section statute. plain enough intentional shown, intends deal murderer demonstrates circumstances. 18 Here, accordance verdict confirms successfully Nothing might offered mental time crime, about guilt murderer; clearly failed out. seems us satisfied mandate "every (Patterson was) 1073. 19 convicting permitted violating Clause. those cases, once defendant's state, refuse sustain follows pattern. defense, described permitting "the show actions caused infirmity arising level insanity, less culpable having them," N.Y.2d, 302, N.Y.S.2d, 582, N.E.2d, 907, persuasion; overturn Rivera, violated Clause, sustained. 21 unwilling reconsider Rivera. But hold necessarily follow fact, willing exculpatory affecting culpability severity revising provided substantially older heat-of-passion concept; only making out sufficient certainty. undertake establish absence perhaps fearing difficult many persons deserving treatment murderers escape punishment need merely state. said new code contains exculpate mitigate operative.10 see it, 22 requirement "bottomed fundamental value determination society worse innocent man let go free." 372, 1077 (Harlan, J., concurring). social cost thus increased risk will free. clear willingly chosen bear protect innocent, equally limits; Harlan's aphorism provides little guidance what limits are. conceivable step taken, whatever cost, eliminate possibility person. Punishment jury, example, forbidden remote instances jail. 23 punish likely distress when, did, adhering traditional rule. very true fewer convictions occur here. present person, act disputed criminalize punish. nevertheless think reasonably inaccurate.11 decline adopt imperative, operative countrywide, related accused. Traditionally, most basic procedural safeguards observed; subtle balancing society's interests left legislative branch. disturb balance previous cases requires included definition charged. Proof never required; perceive reason fashion apply 24 seem permit legislatures reallocate burdens labeling least crimes now statutes. obviously regard. "(I)t province legislature declare presumptively crime." McFarland Sugar Rfg. Co., 241 79, 86, 36 498, 500, 60 899 (1916). "validly command finding indictment, mere identity accused, create guilt." Tot 319 463, 63 1241, 1246, 87 1519 (1943). See 523-525, 1340-1341. Morrison 82, 281, 664 (1934), makes point clarity. Long universal same time, long-accepted permissible lead abuses widespread redefinition reduction prosecution's required.12 problem addressed. Nor assumed reasons mean different Constitution.13 IV 26 Wilbur invalidates conviction. charge murder,14 unlawful being "with malice aforethought, express implied." words important indispensable murder." Malice, indicated implied "any deliberate, cruel suddenly considerable provocation," event shown "in passion, provocation." instructions emphasized " 'malice inconsistent things'; thus, latter negate former." 686-687, 1883 (citation omitted). 27 Wilbur's conviction, followed, Judicial varying degrees felonious homicide policy operating cast rather allocated mid-1800's. 28 First Circuit ordered writ habeas corpus unconstitutionally interpretation Lafferty, 309 A.2d 647 (1973), declaring sense premeditation, erroneously equated premeditation. 29 "Maine rely 'premeditation' (as assumed) punishable 30 aforethought' (in 'premeditation') (T)he failure context fatal because, becomes 'murder' 'any act, another, any, provocation.' Neal, 37 Me. 468, 470 (1854). Neal frequently cited approval Court." 664-665. (Emphasis added; footnote omitted.) 31 When vacated reconsideration light reaffirmed Court, accepting court's unanimously agreed rights invaded casting 32 Mullaney's holding, argued, blameworthiness authorized commission depend identified assuming be, doubt.15 view, broadly read. concurrence Justices contrary reading; understand want 33 surely ingredient shift presuming offense. practice, Maine, traditionally contrary. deems impermissible 34 unnecessary mentioned factual meaning insofar concerned. Even so, resulted "suddenly 665. Premeditation murder; malice, provocation, part Yet i. e., lack rebutted mode proceeding been, construed Winship. 35 As explained, nothing Patterson; invalid cases. Affirmed. REHNQUIST took consideration case. 38 POWELL, BRENNAN MARSHALL join, dissenting. name preserving flexibility, today drains (1970), vitality. Legislatures broad discretion drafting laws, surrenders branch significant responsibility innocence. An import today's comparison statutes practices unanimous just ago A. 41 embodied distinctions along colorful language. Murder Manslaughter aforethought." 686, n. 3, 1883. Although "express malice" own independent meaning, Perkins, Re-Examination Aforethought, 43 Yale L.J. 537, 546-552 come simply absent. Indeed, expressly things." And concerning premeditation) unnecessary. inquiry deciding amounted 647, 664-665 (Me.1973). 4, 42 Our defect these provisions. Rather, lay crucial distinguishing juries both unlawful, considered reduced genesis lingering dissatisfaction certain aspects framework confronted Critics archaic language tended obscure factors real importance jury's decision. Also, limited range aggravations mitigation formula, usually resulting himself. thought actors whose emotions stirred forms outrageous conduct, conduct someone ultimate victim, punished manslaughterers murderers. Moreover, formula generally applied strict objectivity. provocations hypothetical lose control considered. sort inadequate passed man's passions cool, regardless actor's thermometer registered decline. LaFave & Scott, Criminal 528-530, 539-540, 571-582 (1972); Wechsler, Codification States: Model Penal Code, 68 Colum.L.Rev. 1425, 1446 (1968); ALI, Code 201.3, Comment (Tent. Draft 9, 1959); supra. B. Cardozo, Literature Other Essays 99-101 (1931). Institute moving remedy difficulties. commendable prepare endeavored bring modern insights homicide. result proposal replace "heat passion" moderately broader concept "extreme disturbance." first appeared tentative draft published 1959, accepted 210.3 1962 Proposed Official Draft. Legislature undertook preparation Revised 1967 result. adopted virtually word ALI §§ 125.20(2), 125.25(1)(a) current law,2 who open defendant: excuse," supposed defects formulation like removed. Some rigid objectivity relieved, reasonableness determined "from viewpoint situation believed them be." 125.25(1)(a). results situations victim. last traces confusing There mention attempt give mind exists present. framed lean prose modeled after approach, giving descriptions attempting attach classical labels. 46 Despite changes, major distinguishes disturbance" undeniably passion." drafters abundantly clear. They rejecting notion outburst deserve lesser punishment; they refining relieve problems formulation. Comment, pp. 46-48 1959). work. 300-301, 580-581, 906 Both dissenters "a formulation" passion. 301, 581, 906; id., 312, 588, 913-914 (Cooke, dissenting). 47 chose parallel precisely, departing markedly recommendation. properly raised. 1.12, (Proposed 1962); 1.13, 108-118 1955). simple defense. Consequently production issue; well. N.Y. 25.00 1975). B 48 today, disavowing Mullaney, approves disturbance. manages run boundary line barely visible space separates York's. basis formalistic substantive. 49 achieved narrowly literal parsing Winship: "(T)he protects "facts" appear face crime.3 invalid, reasons, "defined (murder) 'with implied.' Ante, 212. "(M)alice," reiterates, 216. "fact" "presumed" persuaded showing passion.4 form Patterson,5 blessed drafted leaner 20th century, escapes scrutiny unscathed effect placement exactly Maine's. 312-313, 588-589, resemblance rationale decision.6 greatest concern. test establishes allows shift, will, case, long careful defines sole references confined sections defense.7 51 Perhaps Court's letter spirit survives. scarcely distinguish closing eyes values stands. Harlan standard instruct factfinder confidence thinks correctness conclusions particular type adjudication." 370, 1076 (concurring opinion). 525-526, 1322, 1341-1342, (1958). Explaining says effect, demands full determines missing demand insistent invoked enforce State. tolerate precisely functional issue. One ask possibly explain difference societal demands. According happened whereas refrained 313, 589, 914 52 With respect, adjudication indefensibly formalistic. check possible exercise arid formalities. What sought teach free places safeguard liberty citizens simplistic lesson draftsmanship. prevents applying learning punishes.8 preferable, reject straightforwardly overrule precedents. understandably manifests uneasiness approach latitude issues warning "there regard." 210. thereby concedes curbed judicial conform formulas articulated anything "obvious." leaves conceptual legitimate adjustments cases.9 retreat Careful attention reveals principles 'the charged.' 363, 1073 quoting 493, 360, concluded is, 704, 1892. reached inquiries. First, offender stigma associated 697-701, 1888. Second, reviewed history, England country, 692-696, 1886-1888. Central conclusion "has almost inception single attaching homicide." 696, 55 Implicit inquiries govern stigma. course applies fortiori between enough. Anglo-American tradition10 historically importance.11 met, retains authority matters proof. branches invite undermining innocence, "that bedrock 'axiomatic elementary' 'enforcement lies foundation law.' 1072, Coffin 156 432, 453, 394, 402, 481 Cool 409 100, 104, 354, 357, 335 Ivan V. City 407 203, 204, 92 1951, 1952, 659 Lego Twomey, 404 477, 486-487, 619, 625, 618 Morissette 342 246, 275, 240, 255, 288 Bailey Alabama, 219 219, 236, 145, 191 (1911); rests empty form, "Winship concerned substance formalism." 699, 1890. 56 I hardly add provisions allocating judged standards. "Extreme recognized, descendant length recognize, course, differences unimportant defendant; somewhat opportunity mitigation. none critical stigma, history resolution although terms, *190-193, 198-201. 57 beats apparently concern judiciary substantive choices content law.12 legitimate, Powell Texas, 392 514, 533-534, 88 2145, 2154, 1254 (1968) opinion); 803, 1009, (1952) (Frankfurter, dissenting), misplaced. purport be: decisions addressing requirements meet comply outposts policing boundaries 58 Winship/Mullaney identifies importance, historically, forbids specify procedure elects use say elect it. For where retain distinction remain factor, decisive historical importance. precludes abolishing treating unjustifiable murder.13 neither nor eliminates flexibility hands. 59 unlikely few ones seriously holding. exceptions, then, punishment" issue." 209. ameliorative defenses,14 expresses concern, undisturbed holdings disturbed sound reversing conviction.15 Furthermore, 701-702, 28, 1890-1891, persuasion, device avoid confusion prevent unduly hampered. production,16 forward justify (a reasonable) issue."17 p. 110 cross threshold, self-defense, submitted jury.18 Sansone 380 343, 349, 85 1004, 882 (1965); Stevenson 162 314-316, 839, 840, 980 (1896). Ever (1895), prosecutors borne production. See, e. g., Blake F.2d 908, 910-911 (CA5 1969) (en banc) (insanity); Frank 623, 629 (CA9 1930) (self-defense); Alexander, 152 U.S.App.D.C. 371, 389-395, 471 923, 941-947, cert. denied sub nom. Murdock 1044, 541, 494 (1972) (provocation). know indication proven noticeable handicap effective enforcement.19 61 sure, formula. Where discriminating review finds brightline quick glance facile invites tinkering invitation disregard extend. References herein "murder" section. 125.27 1975) (murder degree). Section part: "A second when: "1. causes person; subdivision, that: "(a) excuse, be. contained paragraph shall for, preclude of, 1975), provides: "2. subdivision 125.25. reducing initiated subdivision." contended accidental undisputed, intentional. focused emphatically repeatedly "The times prosecution. obliged guilty, convinced reliable credible A48-A49. Hankerson North Carolina, 233, 2339, 306, hold, retroactively. tried insulate F. Wharton, Treatise Evidence Issues 240-269 (9th ed. 1884); H. Kelley, Practice 124-128, 131 (1876); Fletcher, Two Kinds Legal Rules: Comparative Study Burden-of-Persuasion Practices Cases, 77 880, 882-884 Note, Affirmative Defenses : Extreme Emotional Disturbance, Brooklyn L.Rev. 171, 190 relied authorities dating back early 1800's, prevailing governed half century burden-of-proof self-defense n.7, 903-904. Meanwhile, explained invalidate fact. illegal alien ineligible citizenship possess land. Initially, summary dismissal 591, 401, 970 (1933), place defense," 88, 284, possessed land member race barred citizenship. reiterated approved drastic earlier curiam "was novel": manifold fairness lifted prosecutions these, make repel explanation, convenience opportunities knowledge aid accuser subjecting hardship oppression. Wigmore, Evidence, Vol. 5, 2486, 2512 cited. Special hand change vel non determined. Citizenship privilege right. lays his, justification illegal, fairly called title good." 88-89, 284. far, said: "For transfer burden, experience inculpatory sinister significance (Yee Hem (268 178, 470, 69 904 (1925)); Casey (276 413, 373, 632 (1928))), lacking, manifest disparity knowledge, as, instance, general prohibition applicable unable exception. Greenleaf, 79." 90-91, 285. added that, variable depended crowd sharper await specific Of understood approving coexist result: "Since completed 1962, states codified reformed laws. used 'affirmative defense' phrase Additionally, six proposed codes four successive versions revised device. Finally, employ issues." Low Jeffries, DICTA: Constitutionalizing ?, Va.Law Weekly, 18, (1977) (footnotes trend appears 8, C. McCormick, 341, 800-802 (2d 1972). split varies given Thus, while Constitutional Limitations Allocating Burden Insanity Defendant B.U.L.Rev. 499, 503-505 would, matter policy, "some exceptional situations," "Characteristically obtain existing seeks introduce Resistance mitigation, difficulty obtaining ought lowered imposed genuine something allowing all, defensible way." 113 writers recognized enhance potential liberal reforms. 10; Christie Pye, Presumptions Assumptions Law: Another View, 1970 Duke 919, 933-938. Allen, Substantive Examination Limits Legitimate Intervention, Texas 269 (1977). Whenever guarantees dependent branches, abused detriment individual. 698-699, 1889. applicability reasonable-doubt standard, how case; yet great rush offenses Judge Breitel cogently stated concurring below: preliminary caveat indicated. abuse presumptions purpose unhinge shields by-product undermine self-incrimination forcing action testify behalf. "Nevertheless, guard abuses, misguided, excess caution, forestall discourage greater impulse legislators, especially periods rise define unqualifiedly leave sentence adjustment degree. retrogressive legislation restrain mandatory sentences, evil compounded. intelligently used, gradation stages certainly trial, offers allege prove, can, ameliorate kind instant good example. Absent legislatively unaffected spontaneity formed provocative legally morally lower grade fair access 'element' unfair, product definitional circular reasoning, easily avoided earlier. "In sum, appropriate enlarges way around primitive mechanical classifications bare antisocial consequences, nature conditions produce mark advanced criminology." 305-307, 583-585, 909-910 Me.Rev.Stat.Ann., Tit. 2651 (1964), provided: "Whoever unlawfully implied, imprisonment life." construing culpability." Wilbur: 171 (1976); Ohio St.L.J. 828 (1975); Unburdening Defendant: Reasonable Doubt Standard, Harv.Civ.Rights-Civ.Lib.L.Rev. 390 deprive whatsoever proof, practical reform system. Part II, supra; 10. Carried logical extreme, reading also, Congress enacting pending felony-murder foreseeable consequence underlying felony. Senate bill S. 94th Cong., 1st Sess., 118 intend far-reaching effect. set forth recommendations. Those implicated marked departure defining 694, 1887, grounds developed distinct paths country. Prior handful jurisdictions, 1959), pursued path: (and hence murder) bore design death." 299, 580, 905 (1976) (case below); Stokes People, 164 (1873). contrast, followed path, prominently Shaw's (1845): old below. entirely weight concluding inapplicable. Law, 1967, broke aligned extensive pre-1967 deficient holds 210 (emphasis added). explains: "Such Clause." 215. faithful Circuit, insisted appearing connote terms customarily used: "As read (First Circuit) impression includes, addition killing, aforethought.' not, Maine. (State Rollins, 295 914, 920 ): '(T)he "malice" (said "presumed") designation subjective Similarly, "presumption" (of "malice") probative "intention" relating .' (1973) original). 672 689, 1884, (New York) ". (The) disturbance) 205-206; "limited 699 n.24, explicitly, standards designed application face, construes explaining persistently (murder)," ante, 216, ruled squarely n.4, usual authoritative construction highest "puts (appropriate) definitely amended legislature." Winters 333 507, 665, 669, 840 (1948). 690-691, 1885; Hebert Louisiana, 272 316-317, 103, 71 270 (1926); Memphis, Wall. 590, 635, (1875). Why apparent exception engrafted doctrine unexplained. result, defendants effectuate until right verbal book. pass muster solid physical contact leading victim's up leaving mens rea. State, words, relieved altogether regarding mind, meets formulas. rewrite form. likelihood restraint limiting largely examination. 211. completely foreign limit scope expectation bodies restraint. formalistically correct egregious hypothesized n.8, 250-263, 243-249, (1952). suggests principled falls outside "obvious" invokes. Brinegar 338 160, 174, 1302, 1310, 1879 (1949): "Guilt tradition, extent Constitution, crystallized rules standard. These grounded system, men dubious unjust convictions, forfeitures life, property." acknowledges, 207-208, n.10, defenses. (1972). Law?, Va. (1977); Tushnet, Limitation Meaning 775 jurisprudence, matter, refrain recognizing (1911) (holding criminal-law procedurally Thirteenth Anti-Peonage Act). homicides murders still plays role. awareness mask shifts 894 ("The subtle, low-visibility tool adjusting competing classes litigants"). political potentially harsh operate. 472, 1247, (1943); Romano, 382 136, 86 279, (1965). Romano challenge infer possession, custody, site. Government sustained Congress' broadening presence. serving notice work magnitude disguised 144, 283. Ashford Risinger, Presumptions, Assumptions, Cases: Theoretical Overview, 79 165, 177-178 (1969); Osenbaugh, Constitutionality Charges, Ark.L.Rev. 429, 461 Numerous examples available: subjects armed robber receive proves gun unloaded inoperative. 160.15 number ameliorated operation punishing rape, shows partner age. E. Ky.Rev.Stat.Ann. 500.070, 510.030 Wash.Rev.Code Ann. 9.79.160(2) (Supp.1975). Formerly age minor strict-liability employs corporation responsible supervising officer exercised diligence 2.07(5) 1962). commentators suggested compromise, factors. 11, 49; National Commission Reform Laws, Working Papers 18-19 (1970); 1955) (quoted, 209 11); Wash. 953, 964 13, 459-467. 928-929. outer passing presumptions. Most "rational connection" Mobile, K. R. Co. Turnipseed, 35, 43, 138, (1910), 238-239, 150, "comparative convenience" criterion 467-468, 1244; 523-524, 1340-1341, Leary 395 6, 33-34, 89 1532, 1546, 123 Barnes 412 837, 843, 2357, 2361, (1973). Caution appropriate, generalizing device, term covers mechanisms significantly consequences 802-806; Evans Md.App. 640, 675-678, 349 300, 324-325 contain support position generate occasions refusal submit Sparf 51, 63-64, 273, 277-278, (1895); Andersen 170 481, 510-511, 1116 (1898); Battle 36, 38, 422, 423, 670 (1908). Galloway 395, 1077, 1089, 1458 Dean McCormick mechanism trial." "this final outcome become technique wording juries." 307, 638-639, (1st 1954). 930.

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