Lead Opinion
delivered the Opinion of the Court.
The petitioner Ezamika Brown appeals his conviction for attempted first degree murder, arguing that the trial court reversibly erred when it denied his request for jury instructions on a lesser included offense and a related partial defense. The trial court ruled that a eriminal defendant who maintains his innocence at trial is automatically barred from seeking instructions inconsistent with that theory of defense. The court of appeals rejected the lower court's reasoning, determining that section 18-1-408(6), CRS. (2009), enables a criminal defendant to seek an inconsistent jury instruction for which there is a rational basis in the evidence. Because the court of аppeals found that there was no rational basis for either instruction, it held that the trial court's error was harmless. We affirm.
I. Facts and Proceedings Below
Brown and the victim, Jeanette Gabaldon, were engaged in a romantic relationship when Brown allegedly shot her three times at close range. Although the parties dispute many of the particulars regarding their relationship and the shooting that ended it, they agree that they lived together in Gabaldon's apartment in Denver for approximately one year. During that time, Brown supported himself by selling cocaine and crack cocaine. Gabaldon knew of Brown's occupation and allowed him to store the toоls of his trade-cocaine, various drug paraphernalia, a hand gun, and ammunition-in her apartment.
Gabaldon testified that on the night of October 8, 2005, she discovered condoms and a set of hotel keys in Brown's jacket pocket, leading to a heated exchange, during which Brown and Gabaldon accused one another of infidelity. Once this initial romantic turbulence subsided, Brown and Gabaldon decided to take a pill of ecstasy and drive Gabaldon's car to a pool hall in downtown Denver. En route, the couple stopped at a liquor store and purchased a bottle of vodka, which Brown left unopened in the car when they arrivеd at the pool hall. Brown, Gabaldon, and several acquaintances began drinking and shooting pool. After several drinks,
Gabaldon further testified that, on the morning of October 9, 2005, Brown-lacking keys or other means of entering Gabaldon's locked apartment-climbed onto a third-story balcony and entered through an unlocked sliding glass door. Gabaldon awoke to the sound of the door opening and soon found Brown in her bedroom. He stated, "[slo you thought you would be safe here by yourself," smashed her cell phone, and hurled the broken remains off the balcony. Brown then walked into the adjacent living room and began rummaging through the couch and entertainment center-places where, Gabal-don knew, he routinely stored drugs, money, and his hand gun. Brown soon returned, brandishing the weаpon. Gabaldon told him, "I did nothing to you, Ezamika, I said nothing to you." Brown responded by firing a shot inches away from her ear before shooting her in the hand, arm, and abdomen. Afterward, he fled.
Brown maintains that he never went to Gabaldon's apartment the morning of October 9, 2005. At trial, he testified that he left the pool hall and took a bus to a second bar, where he sold cocaine to a regular customer. Brown then took a cab to a motel near Gabaldon's apartment, where, as he had on several prior occasions, he checked in using a false name. Once in his room, he consumed most of the bottle of vodka, became sick from excessive drinking, and passed out.
Brown testified that he woke up at the motel the next morning and took a taxi to the Denver bus station. Shortly after 9:00 a.m., he purchased a one-way bus ticket to New York under a false name. After spending the day drinking and watching football, Brown boarded his bus at 6:00 p.m.
Brown was charged with attempted first degree murder. Throughout the ensuing trial, Brown steadfastly maintained his innocence:
Q: Did you ever go to [Gabaldon's apartment] on October 9th, 2005?
A: No, not at all.
Q: Did you ever climb up that balcony?
A: No, not at all.
Q: Did you shoot Jeanette Gabaldon?
A: No, not at all.
But prior to jury deliberation, Brown, via defense counsel, requested a jury instruction on the lessеr included offense of attempted second degree murder as well as a related instruction on voluntary intoxication. Because Brown testified that he was innocent of all charges, the trial court ruled that he was automatically barred from seeking instructions inconsistent with that theory of defense. The jury convicted Brown as charged.
After distinguishing our opinion in People v. Garcia,
A trial court's failure to provide a jury instruction after a defendant requests such instruction will be reviewed under the harmless error standard. See Mata-Medina v. People,
III - Formulation of the Rule
A. The Statutory Test
As a preliminary manner, we must determine whether attempted second degree murder is a lesser included offense of attempted first degree murder. In so doing, we apply the statutory test, which mandates that "the greater offense must establish every essential element of the lesser included offense." People v. Rivera,
B. Lesser Included Offense
Next, we consider whether, and under what cireumstances, a trial court may order a jury instruction on a lesser included offense where the instruction is inconsistent with a defendant's claim of innocence. In so deciding, we are mindful of the general principle that "a theory of the case instruction which permits the jury to find a defendant innocent of the principal charge and guilty of a lesser charge should be given when warranted by the evidence." Rivera,
In Garcia, the defendant was charged with first degree murder of the victim, his live-in girlfriend.
Our holding was informed by a similarly situated case decided by the Oklahoma Court of Criminal Appeals. Id. (citing Spuehler v. State,
The People argue that Garceiq, like Spuch-ler, stands for the proposition that a trial court is automatically barred from issuing a jury instruction on a lesser included offense that is inconsistent with a defendant's claim of innocence. We disagree. Our holding in Garcia turned not on the inconsistency of the requested instruction, but on the inconsistеncy of the defendant's sworn testimony. Gar-cig,
Further distinguishing Garcia and Spuch-ler is the fact that both cases considered an inconsistent jury instruction on a lеsser non-included offense. Because the legal question in Garcia had not been considered previously by the General Assembly, we fashioned an appropriate judicial remedy. Here, on the other hand, the General Assembly has made its intentions plain: "The court shall not be obligated to charge the jury with respect to an included offense unless there is a rational basis for a verdict acquitting the defendant of the offense charged and convicting him of the included offense." § 18-1-408(6).
Moreover, the prevailing policy concerns which helped shape our opinion in Garcia are absent in the present case.
[When a party testifies to facts in regard to which he has special knowledge ... the possibility that he may be honestly mistaken disappears. His testimony must be either true or deliberately false. To allow him to contradict his own testimony under these cireumstances would not be "consistent with honesty and good faith." Whether his statements be true or false, he will be bоund by them.... He will not be allowed to obtain a judgment based on a finding that he has perjured himself.
Garcia,
While our holding here allows a trial court to issue an inconsistent jury instruction on a lesser included offense, it does not compel it to do so. Rather, a trial court must determine whether a rational basis for the requested instruction exists in the evidentiary record before granting or denying such instruction. See Apodaca v. People,
For thе foregoing reasons, we hold that a criminal defendant who maintains his innocence throughout a trial may nevertheless receive an inconsistent jury instruction on a lesser included offense provided there is a rational basis for the instruction in the evidentiary record.
C. - Voluntary Intoxication
Finally, we consider whether a defendant is entitled to a voluntary intoxication instruction where the instruction is inconsistent with the defendant's claim of innocence. Again, we begin with the general proposition that "[where the evidence supports an intoxication defense, it is appropriate for a trial court to instruct on that defense." People v. Mattas,
Under Colorado law,
[intoxication of the accused is not a defense to a criminal charge, ... but in any prosecution for an offense, evidence of intoxication of the defendant may be offered by the defendant when it is relevant to negative the existence of a specific intent if such intent is an element of the crime charged.
§ 18-1-804, CRS. (2009). We have held that voluntary intoxication is not an affirmative defense completely absolving a defendant of criminal Hability; rather, it is a partial defense that, under appropriate circumstances, negates the specific intent necessary to carry out certain offenses. People v. Harlan,
Here, defense counsel sought a voluntary intoxication instruction which, while legally distinct from a lesser included offense instruction, serves substantially the same purpose undеr the law and facts of this case. If accepted by a jury, a voluntary intoxication defense would relieve Brown of liability for the specific intent crime of attempted first degree murder and result in conviction for the general intent erime-and lesser included offense-of attempted second degree murder. What is more, our prior decisions are not insensitive to section 18-1-408(6)'s requirement that a jury instruction possess a rational basis in the evidence. Indeed, the standard we apply to voluntary intoxication instructions-that they be issued whenever "the evidence supports an intoxication defense"-closely mirrors that for lesser included оffenses. Mattas,
IV. Examination of the Record
Under the rules set forth in Section III, supra, we need only consider two possibilities: (1) whether, as the court of appeals concluded, the record cannot but support the conclusion that Brown shot Gabaldon in a deliberate and premeditated fashion; or (2) whether the record could rationally support a conclusion that Brown acted in a less culpable manner.
A. Lesser Included Offense
Defense counsel аrgues that suffi-client evidence exists that Brown's actions were neither deliberate nor premeditated. To wit: Brown deliberately fired the first shot past Gabaldon's ear and, although he did strike her body with subsequent shots, never aimed a bullet directly at her head. We cannot accept an explanation that strains cere-dulity to this degree.
It is undisputed that Brown and Gabaldon quarreled on two occasions the night before the shooting, resulting in Gabaldon's decision to end their romantic relationship and kick Brown out of her apartment. Several hours later, Brown broke into Gabaldon's apartment, smashed her cell phone, and collected the рossessions he left there-including a hand gun. A ballistics report showed that Brown's gun was fired once next to Gabal-don's head and three times into her body at close range. Afterward, Gabaldon was critically wounded and bleeding profusely. Brown did not attempt to call for help or even to exit through the front door. Rather, he left the apartment the way he came, climbing down from the third-story balcony.
Because there is insufficient evidence in the record to provide a rational basis for acquitting Brown of attempted first degree murder and convicting him of attempted see-ond degree murder, we hold that the trial court did not err by refusing to issue a lesser inсluded offense jury instruction.
B. Voluntary Intoxication
We find the record equally devoid of eredi-ble evidence supporting a voluntary intoxication instruction.
It is undisputed that, the evening before the shooting, Brown took one pill of ecstasy and later consumed several drinks at the pool hall. Brown further testified that he consumed an entire bottle of vodka the night before the shooting, causing him to become so intoxicated that he became sick and passed out. In support of this testimony, Brown stated that his brother, who Brown allegedly telephoned from the motel, and the employee who checked him into the motel were aware that he was extremely intoxiсated. However, neither his brother nor any motel employee who was physically present that night testified.
Because there was ample time for Brown to recover from the ecstasy and pool hall drinks he consumed earlier in the evening and because the only evidence demonstrating that he continued to drink from the bottle of vodka is Brown's own uncorroborated testimony, we hold that there is insufficient evidence for a voluntary intoxication instruction to issue.
V. Conclusion
We hold that a criminal defendant who maintains his innocence at trial is not automatically barred from seeking jury instructions on a lesser included offense or on a related, vоluntary intoxication - defense. Rather, these jury instructions remain available provided that there is a rational basis for them in the evidence. Because the evidence on record here cannot support either of the requested instructions, we affirm the court of appeals' judgment.
Notes
. Brown testified that, were he trying to escape capture, he would have taken an earlier bus, which departed at 11:00 a.m.
. In this respect, Colorado law is consistent with federal practice, see, eg., Fed.R.Crim.P. 31(c)(1) ("A defendant may be found guilty of any of the following ... an offense nеcessarily included in the offense charged...."); Fed.R.Civ.P. 8(d)(3) ("A party may state as many separate claims or defenses as it has, regardless of consistency."), and the majority of federal precedent, see, eg., Mathews,
. The U.S. Supreme Court reached the same conclusion in Mathews:
We do not think that allowing inconsistency necessarily sanctions perjury. Here petitioner wished to testify that he had no intent to commit the crime, and have his attorney argue io the jury that if it concluded otherwise, then it should consider whether that intent was the result of Government inducement. The jury would have considered inconsistent defenses, but petitioner would not havе necessarily testified untruthfully.
Concurrence Opinion
concurring in the judgment only.
Although I too would affirm the judgment of the court of appeals, I agree with neither
Initially, I believe the majority conflates several different types of instructions to which a defendant may be entitled, and as a result of that imprecision, at least in part, it evaluates the defendant's requests according to аn overly burdensome standard. Depending upon their nature and purpose, we have categorized instructions to which a criminal defendant can become entitled differently, using somewhat different formulae to de-seribe their evidentiary prerequisites.
We have, for example, made abundantly clear that a defendant is entitled to have the jury apprised of his theory of the case as long as there is any evidence to support it, even if that theory is highly improbable and finds support only in the testimony of the defendant himself. People v. Nunez,
While a defendant's theory of the case may be that he has committed nothing more than some lesser offense and therefore must be acquitted of the charges actually brought against him, any entitlement he may have to present the jury with an option to convict him of an offense less serious than the one actually charged is governed by different considerations. Charging decisions are generally reserved to the discretion of the prosecuting authority. People v. District Court,
Although lesser offenses, all the elements of which are not included in a charged offense, may also find support in the evidence at trial, they cannot be similarly said to have been the object of the prosecutor's proof. Largely for this reason, criminal defendants in many jurisdictions are not entitled to in
As a special case of (or perhaps exception to) this rational basis formula, we have expressed a particular preference for jury determinations of the appropriate "grade of criminal homicide" by entitling defendants to lesser offense instructions in homicide prosecutions whenever there is "some evidence, however slight," People v. Shaw,
Similarly, a defendant has adequately raised and is entitled to an instruction defining an affirmative defense as long as there is some credible evidence to support it. See § 18-1-407(1), C.R.S. (2009); Cassels v. People,
In this case the victim herself testified that the defendant stored crack cocaine at her apartment and on the night of the shooting took ecstasy, had several drinks in her presence, and demanded that she hand over an unopened bottle of vodka as they parted. Although he denied ever coming back to the victim's apartment or shooting her, the defendant further testified that he went to another bar before returning to his motel room, where he drank most of the bottle of vodka. The jury therefore heard uncontradicted testimony that the defendant had been drinking and taking illegal, mind-altering substances earlier that night and that he insisted on taking with him a bottle of vodka, which the
I believe, as did the triаl court, that the defendant's requested instructions were nevertheless properly denied because a criminal defendant is not entitled to an instruction based on a theory requiring the jury to reject a binding judicial admission, made under oath at trial by the defendant himself. Garcia,
On its face, the statute in question specifies a cireumstance in which courts "shall not be obligated to charge the jury with respect to an included offense," as distinguished from the cireumstances in which it shall be obligated do so. Id. In any event, however, the legislature's extension of rights to criminal defendants cannot reasonably be understood, without more, to suggest that these defendants cannot, by their own conduct, forfeit, waive, or be estopped from asserting those rights. Section 18-1-408(6) notwithstanding, it is manifest that a trial court is not obliged to charge a jury with respect to аn included offense in the absence of a timely and proper request to do so. I understand the majority's expansive interpretation of this peripherally relevant statute as having the effect of substantially limiting our holding in Garcia without having to justify its rejection.
Although I believe it strains credulity to deny that the record as a whole contains evidence supporting the defendant's requested instructions, I would nevertheless continue to hold that a defendant is not entitled to solicit through jury instructions his convietion of a less serious offense in direct contravention of his testimony at trial. I therefore concur only in the court's judgment affirming the court of appeals.
I am authorized to state that Justice EID joins in this concurrence in the judgment only.
