MASSA, Justice.
Christopher Tiplick faces criminal charges for possessing, selling, and dealing
Synthetic cannabinoids, also known as "spice," are compounds designed to mimic the psychoactive properties of marijuana, first reported in the United States in 2008. See Schedules of Controlled Substances: Temporary Placement of Three Synthetic Cannabinoids Into Schedule I, 78 Fed. Reg. 28,735-39 (May 16, 2013) (to be codified at 21 C.F.R. pt. 1308.11(h)(9)-(11)). Regulation of "spice" is a particularly challenging pursuit, as minor variants in chemical structure can place the substances beyond the reach of criminal statutes without diminishing their psychotropic effects. Id. Our General Assembly made two significant revisions to our criminal code in 2012, in an attempt to match pace with the evolving chemistry. First, Indiana Code section 35-31.5-2-321 ("Section 321") re-defined the term "synthetic drug" to include a broad range of compounds and chemical analogs, including "any compound determined to be a synthetic drug by rule adopted under IC 25-26-13-4.1." 2012 Ind. Acts 1795-99. Second, the Assembly added Indiana Code section 25-26-13-4.1 ("Section 4.1"), which empowered the Indiana Board of Pharmacy to adopt emergency rules declaring additional compounds to be a "synthetic drug," which would become effective thirty days after publication in the Indiana Register and would remain in effect until June of the following year. 2012 Ind. Acts 1134-35.
On August 15, 2012, pursuant to their authority under Section 4.1, the Pharmacy Board filed Emergency Rule 12-493(E) with the Indiana Register (the "Emergency Rule"), classifying thirteen additional compounds as "synthetics," including "XLR11 [(1-(5-fluoropentyl)indol-3-yl)-(2,2,3,3-tetramethylcyclopropyl)methanone]" Ind. Reg. LSA Doc. No. 12-493(E) (August 15, 2015) (see http://www.in.gov/legislative/iac/20120822-IR-856120493ERA.xml.html). The Emergency Rule thus became effective on September 15, 2012.
In October of 2012, Tiplick was charged with eighteen drug-related counts: Counts I through VI and XVI allege dealing and conspiracy to commit dealing in look-alike substances, while Counts VII through XV and XVII through XVIII allege dealing, conspiracy to commit dealing, and possession of synthetic drugs. The charging information alleges several purchases by undercover police officers at Tiplick's stores (all named "Smoke Shop"), "on or about September 20, 2012," "on or about October 9, 2012," and "on or about October 10, 2012." App. at 19-24. The information itself alleged that Tiplick's stores sold a "synthetic drug a/k/a spice" without allegations of the precise compound, but the probable cause affidavit accompanying the information asserted that the packages purchased contained "XLR11 [(1-(5-flouropentyl)indol-3-yl)-(2,2,3,3-tetramethylcyclopropyl)methanone]."
Tiplick filed a motion to dismiss all charges, claiming the information failed to state the alleged offenses with sufficient certainty, the statutory definition of "synthetic drug" and statutes criminalizing "look-alike" substances were void for vagueness, and the General Assembly could not delegate to the Pharmacy Board the power to declare new synthetic drugs illegal via emergency rule. The trial court disagreed on all points and denied the motion, but certified its order for interlocutory appeal.
A divided panel of our Court of Appeals reversed and dismissed the synthetic drug charges. Tiplick v. State, 25 N.E.3d 190, 196 (Ind.Ct.App.2015). The majority concluded that the provision allowing for the creation of the Emergency Rule rendered the statute unconstitutionally vague, necessitating a "Where's Waldo" approach to determining which substances are classified as "synthetic drugs" under Section 321, and that holding a citizen of ordinary intelligence to such a requirement would be "ludicrous." Id. at 195-96. But the dissent found the statutory scheme created a "finite number of locations" to investigate when determining the legality of the sale of XLR11, and was thus constitutionally permissible. Id. at 196-97 (Bailey, J., dissenting).
We granted the State's petition to transfer, vacating the opinion below. Tiplick v. State, 30 N.E.3d 1229 (Ind.2015) (table); Ind. Appellate Rule 58(A).
"It is well established that a trial court's denial of a motion to dismiss is reviewed only for an abuse of discretion." Study v. State, 24 N.E.3d 947, 950 (Ind. 2015). To the extent we consider matters of law, including constitutional questions, our review is de novo, "but all statutes are presumptively constitutional, and the court must resolve all reasonable doubts concerning a statute in favor of constitutionality." Dep't of State Revenue v. Caterpillar, Inc., 15 N.E.3d 579, 587 (Ind.2014) (internal quotations omitted).
"Due process principles advise that a penal statute is void for vagueness if it does not clearly define its prohibitions." Brown v. State, 868 N.E.2d 464, 467 (Ind.2007). To that end, there are two independent causes to invalidate a statute on vagueness grounds: (1) the statute does not provide "notice enabling ordinary people to understand the conduct that it prohibits"; and (2) the statute potentially "authorizes or encourages arbitrary or discriminatory enforcement."
Tiplick makes two overlapping contentions in support of his vagueness claim. First, he asserts that the sheer complexity of Section 321 is beyond the grasp of an ordinary person, and thus is impermissibly vague. We do not agree. Our General Assembly is attempting to regulate a field of advanced chemistry that creates synthetic cousins of naturally occurring illegal substances like marijuana. "Article 4, Section 20 instructs the General Assembly to avoid the use of technical terms to the extent that it is practicable. The novelty, complexity, and rapidly-evolving nature of synthetic drugs necessitates some scientific terminology in the law." Elvers v. State, 22 N.E.3d 824, 830 (Ind.Ct.App. 2014) (emphasis in original). Moreover, Tiplick may only challenge the chemical description of XLR11 on these grounds, not the entire text of Section 321. See Maynard v. Cartwright, 486 U.S. 356, 361, 108 S.Ct. 1853, 100 L.Ed.2d 372 (1988) ("Vagueness challenges to statutes not threatening First Amendment interests are examined in light of the facts of the case at hand; the statute is judged on an as-applied basis."). Thus, it may be that a person with ordinary experience and knowledge does not know what [(1-(5-fluoropentyl)indol-3-yl)-(2,2,3,3-tetrame-thylcyclopropyl)methanone] is made of, but that is not the test; rather, it is whether a person of ordinary intelligence would understand his conduct was proscribed. Here, an ordinary Hoosier, armed with this chemical formula for XLR11, could determine through appropriate testing whether he was attempting to sell any products containing it. That is what we demand of our penal statutes.
Second, Tiplick asserts that the cross-referencing of Section 321 and Section 4.1 presents a "statutory maze" that prevents a person of ordinary intelligence from being able to discover which conduct is proscribed. Appellant's Br. at 28. In support, Tiplick relies upon Healthscript Inc. v. State, 770 N.E.2d 810 (Ind.2002), which is distinguishable. In Healthscript we found that Indiana Code section 35-43-5-7.1(a)(1) was not sufficiently definite to survive a vagueness challenge. Id. at 816. Specifically, the statute's "general reference to Ind.Code § 12-15" led the reader to "an entire article of the Indiana Code, covering 50 pages of the 1993 Code and comprising 280 sections organized in 37 chapters," from which the reader was required to discern that all relevant administrative rules were applicable as well,
Tiplick also asserts a vagueness challenge to Indiana Code sections 35-48-4-4.5, 35-48-4-4.6 and 35-48-4-5 (2008), collectively referred to as the "Look-Alike Statutes," which prohibit conduct related to substances "represented to be a controlled substance" and "counterfeit substances."
First, Tiplick asserts that the text of the statute itself is impermissibly vague, pointing out that terms such as "substance," "dosage unit," "consistency," "control," and "nature" are undefined. Appellant's Br. at 32-33. Tiplick primarily relies upon Record Head Corp. v. Sachen, which invalidated a local ordinance banning the sale of drug paraphernalia. 682 F.2d 672, 679 (7th Cir.1982). We, however, find that Sachen demonstrates that the language of the Look-Alike Statutes is adequate. The ordinance at issue in Sachen prohibited the sale of drug-related "instruments," defined as "devices designed for use or intended for use in ingesting, smoking, administering, or preparing any controlled substance," and went on to list a number of factual considerations to be used in making that determination, such as expert testimony and business registrations. Id. at 677. The Seventh Circuit determined, "In place of the scienter requirement, the West Allis ordinance enumerates various factors to be considered in deciding what is an instrument.... Far from curing vagueness, these factors seem to us to exacerbate it. None of the factors helps to define the intent of the noncommercial purveyor...." Id. (emphasis added). This is consistent with long-standing precedent of the United States Supreme Court, holding that a proper scienter element defeats a vagueness challenge to a criminal statute:
Screws v. United States, 325 U.S. 91, 102, 65 S.Ct. 1031, 89 L.Ed. 1495 (1945).
Unlike the ordinance at issue in Sachen all three of the Look-Alike Statutes have a sufficient scienter requirement — "knowingly or intentionally" dealing in a look-alike substance, Ind.Code § 35-48-4-4.5, "knowingly or intentionally" manufacturing a look-alike substance, Ind.Code § 35-48-4-4.6, and either "knowingly or intentionally" dealing in or "possess[ing], with intent to" deal in a counterfeit substance, Ind.Code § 35-48-4-5. Furthermore, the enumerated factors in Indiana Code section 35-48-4-4.5(b) are designed to help determine the accused's intent, based on the representations of the parties and the attendant circumstances of the sale.
Tiplick also asserts that the Look-Alike Statutes permit arbitrary or discriminatory enforcement, because the factors and statutory terms used in examining the defendant's intent "are fuzzy, contradictory and dangerously open to erratic and after-the-fact interpretation." Appellant's Br. at 35 (quoting Sachen, 682 F.2d at 678). In particular, Tiplick argues that the charges against him under the Look-Alike Statutes were based on the sale of "chocolate chip cookies," and thus even an ordinary grocery store could be subjected to search and seizure in the police's sole discretion. But Tiplick overlooks two important pieces of context contained in the probable cause affidavit: (1) these cookies were being sold at a store named "Smoke Shop" that did not otherwise sell food products; and (2) these cookies were represented by the store staff as being "Hippie Chips," not garden-variety cookies. App. at 29, 34. Moreover, the statutory factors Tiplick complains of in Indiana Code section 35-48-4-4.5 are to be used by the trier of fact to determine if an objectively "reasonable person" would believe the substance is a controlled substance,
Tiplick also asserts that Section 4.1 is in derogation of the Distribution of Powers Clause of the Indiana Constitution,
The creation of criminal statutes is an inherently legislative function. State v. Moss-Dwyer, 686 N.E.2d 109, 111 (Ind. 1997) ("Indiana courts have consistently supported the proposition that the nature and extent of penal sanctions are primarily legislative considerations." (internal quotations omitted)). Tiplick asserts that all delegation is prohibited if violation of the administrative rules would result in criminal penalties, relying on our statement in Ensign v. State that "the legislature cannot delegate its express authority defining criminal responsibility to anyone." 250 Ind. 119, 124, 235 N.E.2d 162, 165 (1968). Our decision in Ensign, however, does not stand for Tiplick's broad proposition. Richard Ensign was convicted of manslaughter in connection with the Coliseum tragedy at the State Fair Grounds in 1963, when three propane tanks he had left in the building exploded.
Accordingly, it appears to be a matter of first impression whether our General Assembly may delegate rule-making power to an administrative agency if violation of such rules would result in penal sanctions.
We can discern no guidance from the Indiana Constitutional Convention of 1850-51 with respect to whether the Distribution of Powers Clause prevents delegation where criminal penalties could result.
In particular, the Supreme Court has considered such a delegation under the Federal Constitution, and examined facts very similar to those at issue here. In Touby v. United States, the Court considered the constitutionality of a 1984 amendment to the Federal Controlled Substances Act, which permitted the Attorney
One Indiana case also provides interesting guidance. In Burk v. State, Debra Burk was charged with the use of LSD under the Indiana Uniform Narcotic Drug Act, but LSD was only prohibited under the Indiana Dangerous Drug Act. 257 Ind. 407, 409-10, 275 N.E.2d 1, 2-3 (1971). The State's theory was that because the Pharmacy Board was empowered to enact regulations stating additional substances met the statutory definition of "narcotic drugs" under the NDA, the Pharmacy Board could also redefine the NDA to include the definition of "dangerous drugs" in the DDA (which the State alleged had occurred), and thus the NDA now covered all substances included in the DDA. Id. We rejected this contention, finding that since the Pharmacy Board's power was limited to "determining, after reasonable notice and opportunity for hearing, whether a certain drug falls within the definition of a `narcotic drug' as that term is used in the Narcotic Drug Act," the Pharmacy Board could not redefine the NDA. Id. at 410-11, 275 N.E.2d at 3. However, our discussion strongly implied that the Pharmacy Board's actual authority — to determine whether additional substances met the definition of a "narcotic drug" under the NDA — was appropriate, even though criminal penalties would result. Id. at 411, 275 N.E.2d at 3.
Based on the weight and consistency of this authority, we find that the Distribution of Powers Clause of the Indiana Constitution does not prohibit our General Assembly from delegating rule-making authority to administrative agencies where violation of such rules may result in criminal penalties by statute, and moreover,
In Indiana, "although the legislature cannot delegate the power to make a law, it can make a law delegating power to an agency to determine the existence of some fact or situation upon which the law is intended to operate." City of Carmel v. Martin Marietta Materials, Inc., 883 N.E.2d 781, 788 (Ind.2008) (internal quotations omitted). Such delegations are valid when "accompanied by sufficient standards to guide the agency in the exercise of its statutory authority." Healthscript, 770 N.E.2d at 814. These standards "need to be as specific as the circumstances permit, considering the purpose to be accomplished by the statute." Barco Beverage Corp. v. Ind. Alcoholic Beverage Comm'n, 595 N.E.2d 250, 254 (Ind.1992).
Here, the Pharmacy Board has not been empowered to legislate with respect to dealing, conspiracy to commit dealing, or possession of synthetic drugs; that power has already been exercised by the General Assembly, as contained in relevant part at Indiana Code sections 35-48-4-10(a)(1) and -11 (Supp.2012). The Pharmacy Board has merely been given the power to determine, via emergency rule, whether additional substances should qualify as "synthetic drugs" under Section 321 — in other words, "to determine the existence of some fact or situation upon which the law is intended to operate." City of Carmel, 883 N.E.2d at 788. Since these rules are expressly incorporated into Section 321, as we said 75 years ago, "disobedience [is] in violation of the statute, and not of a rule of the ministerial board." Town of Kirklin v. Everman, 217 Ind. 683, 693, 29 N.E.2d 206, 207 (1940). Moreover, the Pharmacy Board could only exercise that power if the substance "(1) has been scheduled or emergency scheduled by the United States Drug Enforcement Administration; or (2) has been scheduled, emergency scheduled, or criminalized by another state." Ind.Code § 25-26-13-4.1(b) (Supp.2012).
In sum, we find Section 4.1 does not constitute an impermissible delegation of legislative authority to the Pharmacy Board under the Distribution of Powers Clause.
Tiplick asserts two challenges to the charging information with respect to the synthetic drug charges. First, Tiplick claims the information is fatally flawed because it fails to name a specific synthetic drug within its four corners, even though the supporting probable cause affidavit does allege that the products sold contained XLR11. It has long been the rule in Indiana that the State may meet its burden of providing sufficient notice of the charges the defendant faces through the combination of an information and a probable cause affidavit. See Patterson v. State, 495 N.E.2d 714, 719 (Ind.1986); Woods v. State, 980 N.E.2d 439, 443 (Ind.Ct.App. 2012) ("Since the charging information and probable-cause affidavit are filed together,
Second, Tiplick claims the information was required to reference the Emergency Rule rather than just the criminal statute, because without it, there is nothing to indicate with specificity the criminality of XLR11. On this technical point, we find Tiplick to be correct. In State v. Jennings, the defendant was charged with possession of a "dangerous drug," (namely, marijuana) under Indiana Code section 16-6-8-2(j), which included "any substance which the state board of pharmacy, after reasonable notice and hearing, shall by promulgated rule determine has qualities similar to that of any dangerous drug." 262 Ind. 443, 444-45, 317 N.E.2d 446, 447-48 (1974) (Givan, J., dissenting). The possession occurred on August 3, 1973, during a narrow gap between effective statutes where marijuana was only defined as a "dangerous drug" pursuant to such a Pharmacy Board rule. Id. at 445, 317 N.E.2d at 447-48. We upheld the dismissal of the information, finding:
Id. at 444, 317 N.E.2d at 447. The same circumstances — almost to the letter — have occurred here: Tiplick was charged under Indiana statutes with dealing, conspiracy to commit dealing, and possession of synthetic drugs. Yet, the only synthetic drug listed in the information or the probable cause affidavit is XLR11. XLR11 was only illegal at that time pursuant to the Emergency Rule, and neither the charging information nor the probable cause affidavit reference that Rule. We thus find the charging information inadequate under Jennings.
The State urges us to disavow Jennings, arguing that subsequent Indiana precedent has imposed a lesser standard on the allegations in the charging information: "An information that enables an accused, the court and the jury to determine the crime for which conviction is sought satisfies due process." State's Br. at 13 (quoting Dickenson v. State, 835 N.E.2d 542, 550 (Ind. Ct.App.2005) and Lampitok v. State, 817 N.E.2d 630, 636 (Ind.Ct.App.2004)). We have no quarrel with the standard used in Dickenson and Lampitok for determining the adequacy of an information in general, and we agree with the State that fairness does not mandate dismissal under these circumstances, as Tiplick is at this point fully informed that the underlying statutory basis for the charges is the Emergency Rule, even if the information was not completely explicit in that regard. However, we believe we remain duty-bound to follow Jennings under the highly specific factual circumstances presented, given the extreme parity of the two cases. We are therefore obliged to dismiss counts VII through XV and counts XVII through XVIII of the information.
XLR11 became a criminal substance in Indiana on September 15, 2012, and Christopher Tiplick is alleged to have violated that rule a mere five days later. While he may have the dubious honor of being the first person in Indiana history so charged, being first does not entitle him to a free pass. As Justice Joseph Story opined more than 180 years ago:
Barlow v. United States, 32 U.S. 404, 411, 7 Pet. 404, 8 L.Ed. 728 (1833). For the foregoing reasons, we affirm the trial court's denial of Tiplick's motion to dismiss the charges against him under the Look-Alike Statutes (counts I through VI and XVI), we dismiss the XLR11-related charges (counts VII through XV and counts XVII through XVIII) only for insufficiency of the charging information, and remand to the trial court for all other proceedings consistent with this opinion.
RUSH, C.J., and DICKSON, RUCKER, and DAVID, JJ., concur.
217 Ind. 683, 693, 29 N.E.2d 206, 206-07 (1940) (internal citations omitted).