28 Conn. App. 833 | Conn. App. Ct. | 1992
Lead Opinion
The defendant appeals from the judgment of conviction, rendered after a jury trial, of one count of the crime of assault in the first degree in violation of General Statutes § 53a-59 (a) (1), and two counts of the crime of carrying a pistol without a permit in violation of General Statutes § 29-35.
The jury reasonably could have found the following facts. In the early morning hours of March 21, 1990, the victim was involved in a craps game with the defendant and another individual, “Cat” Bunkley, at the defendant’s apartment in Hartford. The game ended at approximately 2 a.m. when the victim had won approximately $1100 from the defendant and Bunkley. At that time, there was a discussion between the defendant and the victim about the return of some money to the defendant, which he claimed the victim owed to him for a loan made approximately one year earlier. The victim refused to give the defendant any money, but stated that he would “see what [he could] do.” The victim then decided to return to his apartment, which was directly across the street, to count his winnings.
On his way out of the apartment building, the victim stopped by the apartment of some friends, William and Kenneth Stewart, and told them about his winnings and asked them to escort him across the street to his apartment. The three left the Stewarts’ apartment, and were accompanied across the street by the defendant and Bunkley. While they walked, one of the Stewarts heard the defendant ask the victim, “Do you have anything for me?”
When the group reached the victim’s apartment, the victim and the Stewarts entered through a door that opened into the kitchen. They closed the door behind them, leaving the defendant and Bunkley in the hall. The victim began counting his cash when the defendant knocked on the door. When the victim opened the door, the defendant asked for money from the victim,
At this time, the victim moved toward one side of the kitchen to light a cigarette over the stove, which was near the doorway in which the defendant was then standing. As he did so, the defendant pulled out a pistol and shot the victim in the right shoulder. The defendant then left the scene.
The defendant first claims that the trial court improperly instructed the jury on the law applicable to his self-defense claim. Specifically, he claims that in instructing the jury on self-defense pursuant to General Statutes § 53a-19,
The defendant has not properly preserved this claim for appellate review. He seeks review, however, under the well established principles for reviewability of unpreserved constitutional claims as set forth in State v. Golding, 213 Conn. 232, 239-40, 567 A.2d 823 (1989),
In Williams, the defendant challenged the following language of the trial court’s instruction on self-defense: “ ‘[Reasonable force’ . . . ‘is the amount of force that would be used by an average person of ordinary intelligence, acting under the same circumstances.’ ” Id., 463. As the state concedes in its brief, an instruction on self-defense that fails to instruct the jury to evaluate the defendant’s use of force on a subjective-objective basis, such as the challenged instruction here and that given in Williams, is an incorrect statement of the law under § 53a-19.
As Williams points out, the defendant’s perception of the danger he faced, and his use of force in response to that perceived danger, although two distinct legal concepts for purposes of analyzing the trial court’s instructions, “are so inextricably intertwined that they cannot be analyzed in a vacuum, one separated from the other. The degree of force used by a defendant must
As previously stated, the challenged portion of the jury instruction here is nearly identical to that challenged in Williams. The trial court’s instruction regarding the defendant’s perception of danger is also nearly identical to that given in Williams.
The defendant suggests that the instruction given in his case is distinguishable from that given in Williams because he claims that the trial court also improperly instructed the jury regarding his duty to retreat. Section 53a-19 (b) provides that “a person is not justified in using deadly physical force upon another person if he knows that he can avoid the necessity of using such force with complete safety (1) by retreating . . . .” The trial court, however, instructed the jury that the defendant would not be justified in using force if he could have retreated “with safety.” The defendant claims that the trial court’s failure to include the word “complete” in this portion of its charge was improper, and thus, when combined with the other improper portion of the instruction, it is reasonably possible that the jury was misled. We disagree. Although the trial court’s failure to include the express language of the statute in its charge to the jury may be improper; State v. Holloway, 209 Conn. 636, 651, 553 A.2d 166, cert. denied, 490 U.S. 1071, 109 S. Ct. 2078, 104 L. Ed. 2d 643 (1989); State v. Cobb, 199 Conn. 322, 324-25, 507 A.2d 457 (1986); State v. Carpenter, 19 Conn. App. 48, 56-57, 562 A.2d 35, cert. denied, 213 Conn. 804, 567 A.2d 834
The defendant’s second claim is that a combination of improper interrelated rulings had the cumulative effect of depriving the defendant of a fair trial. He claims that the trial court improperly (1) refused to admit into evidence the defendant’s entire written police statement, (2) conducted an offer of proof on the defendant’s self-defense claim, (3) failed to direct a mistrial in the light of prosecutorial misconduct, (4) permitted the state to impeach the defendant with a prior inconsistent statement made during the offer of proof, (5) failed to admit into evidence his written police statement after the state impeached him, and (6) excluded surrebuttal evidence offered by the defendant relating to the prior inconsistent statement. Additional facts must first be set out in order to address these claims.
At the time of the defendant’s arrest, he gave a sworn written statement to the police regarding the incident in question. In it he stated that when he saw the victim move toward an open drawer, “with fear for my life I then defended myself.” During the state’s casein-chief, the state sought an advance ruling, outside of the jury’s presence, regarding the voluntariness of the defendant’s police statement. The state indicated to the court that it did not intend to offer any part of the written statement into evidence, but it sought the ruling because it planned to call Detective Stanley Lukas, who took the defendant’s statement at the police station, to testify that the defendant admitted carrying a pistol.
At the beginning of his case, the defendant called Lukas and attempted to introduce the defendant’s entire written statement through him. The defendant argued that the statement was admissible as an admission and as a declaration against interest. The court refused to permit the introduction of the statement at this time and the defendant took exception to the ruling.
The defendant then took the stand and testified as to his version of the chain of events leading up to the shooting. On direct examination, he testified that the victim was a drug and alcohol abuser and had a reputation for violence. The state objected to this testimony. It claimed that such testimony was not relevant unless the defendant presented a claim of self-defense. It requested that the defendant make an offer of proof regarding his possible self-defense claim, and the defendant did not object to this request.
During the offer of proof, which was outside of the presence of the jury, the defendant stated that he did not intentionally shoot the victim, but that the gun accidentally discharged when he pulled it out of his coat pocket. The state argued, still outside of the presence of the jury, that the defendant did not adequately present a self-defense claim through this offer because self-defense requires an intentional act, which the defendant had stated during his offer of proof did not occur. The court rejected this argument.
On cross-examination, the state questioned the defendant about his inconsistent versions of the incident. The defendant first acknowledged that he stated during his offer of proof that the shooting was accidental. The state then asked the defendant whether his decision to forgo an accident defense in his testimony to the jury was influenced by the state’s argument during the offer of proof that a claim of accident precludes a claim of self-defense. The defendant denied that he heard the particular argument to which the state was referring. Upon further cross-examination, the defendant denied that he stated during the offer of proof that the gun went off accidentally.
During the state’s rebuttal of the defendant’s case, the state moved to admit the portion of the transcript from the offer of proof where the defendant claimed that the shooting was accidental. The state sought to admit the transcript, not for the truth of the matter contained therein, but rather to impeach the defendant by contradicting the defendant’s testimony before the jury in which he denied that he made the accident claim. The trial court, over the defendant’s objection, admitted the transcript. The defendant then moved to present surrebuttal testimony of the defendant to clarify, contradict and explain the prior inconsistent statement. The trial court denied the defendant’s motion, to which the defendant excepted. Then, during final argument, the prosecutor highlighted the inconsistency of the defendant’s claims and suggested that the defendant changed his inconsistent defense to one of simply self-defense after he heard the prosecutor’s argument during the offer of proof.
“In raising claims of error on appeal, parties are limited to arguing the authority and grounds for objections that were presented at trial. State v. Brice, 186 Conn. 449, 457, 442 A.2d 906 (1982).” In re Christopher G., 20 Conn. App. 101, 107, 564 A.2d 619 (1989), cert. denied, 213 Conn. 814, 569 A.2d 549 (1990). We are not bound to consider claims that are not distinctly raised at trial. Practice Book § 4185. Review of evidentiary rulings is limited to the specific legal ground raised on the objection. State v. Velez, 17 Conn. App. 186, 192, 551 A.2d 421 (1988), cert. denied, 210 Conn. 810, 556 A.2d 610, cert. denied, 491 U.S. 906, 109 S. Ct. 3190, 105 L. Ed. 2d 698 (1989). Because the defendant does not raise the same claim of admissibility of the statement that he did at trial, we will not review this claim.
The defendant’s second challenge is to the trial court’s conducting an offer of proof on the defendant’s claim of self-defense. He claims that it “clearly deprived him of fair proceedings.” This claim was not preserved at trial, but the defendant requests both Golding and plain error review of this claim.
We fail to see how this offer of proof deprived the defendant of a constitutional right. Because the defend
The defendant’s next claim appears to be one of prosecutorial misconduct. The defendant argues that the prosecutor improperly argued that a defendant cannot legally assert inconsistent defenses. During the offer of proof on the defendant’s self-defense claim, the defendant stated that he did not intentionally shoot the victim, but that the gun went off accidentally when the defendant pulled it out of his jacket pocket.
The defendant did not preserve this claim, but argues that it is amenable to Golding review. We first note, however, that the state’s initial argument regarding the inconsistent claims was made outside of the jury’s presence during the defendant’s offer of proof, and therefore did not harm the defendant in any way. When the prosecutor asked the defendant on cross-examination whether he changed his defense after he heard the prosecutor’s argument regarding inconsistent defenses during the offer of proof, the trial court limited the questioning to whether the defendant had heard an argument concerning the law of inconsistent defenses. The prosecutor did not state that the law prohibits inconsistent defenses. Then, when the prosecutor commented on the inconsistent defenses during summation, he did not claim that the law prohibited them, but rather highlighted the defendant’s retreat from his accident defense as bearing on his credibility. Although State v. Harris, 189 Conn. 268, 273, 455 A.2d 342 (1983), permits a defendant to assert inconsistent defenses, it does not prohibit the state from exposing the defendant’s inconsistent positions on cross-examination. Because the defendant has failed to demonstrate a pattern of misconduct repeated throughout the trial or that the prosecutor’s conduct was blatantly egregious, the defendant cannot prevail on his unpreserved prosecutorial misconduct claim.
The defendant also claims that the trial court improperly permitted the state to impeach the defendant with statements he made under oath during the offer of proof. After the defendant testified on direct examination that he shot the victim in self-defense, the state, on cross-examination, asked the defendant whether he remembered saying during the offer of proof that the gun went off by accident. The defendant, at one point in his testimony, responded affirmatively to the state’s questioning. The defendant argues that the impeachment was improper because the defendant admitted that he had made inconsistent statements.
“A trial court has wide discretion in allowing prior inconsistent statements to impeach the testimony of a witness. State v. Torres, 210 Conn. 631, 640, 556 A.2d 1013 (1989). Every reasonable presumption will be made in favor of the trial court’s proper exercise of its discretion. State v. Beckenbach, 198 Conn. 43, 47, 501 A.2d 752 (1985).” State v. Graham, 21 Conn. App. 688, 703, 575 A.2d 1057, cert. denied, 216 Conn. 805, 577 A.2d 1063 (3990).
“ Tt is a fundamental rule of appellate review of evidentiary rulings that if error is not of constitutional dimension, an appellant has the burden of establishing that there has been an erroneous ruling which was probably harmful to him.’ State v. Vitale, 197 Conn. 396, 403, 497 A.2d 956 (1985). The question is whether the claimed erroneous action of the trial court is likely to have affected the result of the trial. State v. Brown, 199 Conn. 14, 25, 505 A.2d 690 (1986); State v. Gonzales, 196 Conn. 115, 119, 491 A.2d 1067(1985).” State v. Torrice, 20 Conn. App. 75, 91, 564 A.2d 330, cert. denied, 213 Conn. 809, 568 A.2d 794 (1989). The
The defendant also claims that once the prior inconsistent statement was elicited through the state’s cross-examination of the defendant, his entire written statement to the police should have been admitted to rehabilitate the defendant because in it the defendant had stated that he acted in self-defense. As the state points out and we concur, however, “the defendant ignores the fact that he never moved to admit the written statement following the state’s admission of the transcript excerpt. In essence, he does no more than fault the court for not assuming the role of his advocate.” Further discussion of this claim, therefore, is unwarranted.
Finally, the defendant claims that he should have been able to testify in surrebuttal after the state introduced into evidence certain portions of the transcript from the offer of proof. He claims that the trial court improperly precluded him from rehabilitating his credibility by explaining what he meant when he stated that the gun went off by accident.
“The trial court is vested with considerable discretion in the matter of rebuttal evidence. State v. Simino, 200 Conn. 113, 123, 509 A.2d 1039 (1986); State v. Lisella, 187 Conn. 335, 337, 445 A.2d 922 (1982). ‘Ideally, rebuttal evidence is that which refutes the evidence [already] presented . . . rather than that which merely bolsters’ one’s case. State v. Lisella, supra.” State v. Wood, 208 Conn. 125, 139, 545 A.2d 1026, cert. denied, 488 U.S. 895, 109 S. Ct. 235, 102 L. Ed. 2d 225 (1988).
The state’s rebuttal evidence was not new evidence. Rather, it was simply relevant portions of the transcript of the defendant’s testimony during the offer of proof.
Because none of these issues merits our review or is meritorious upon our review of it, we conclude that the cumulative impact of these rulings did not deny the defendant a fair trial. See State v. Harris, 182 Conn. 220, 230-33, 438 A.2d 38 (1980); State v. Hudson, 14 Conn. App. 463, 472, 541 A.2d 534, cert. denied, 209 Conn. 803, 548 A.2d 439 (1988).
The judgment is affirmed.
In this opinion Daly, J., concurred.
The jury acquitted the defendant of two additional charges, attempted murder, and attempted robbery in the first degree.
General Statutes § 53a-19 provides: “(a) Except as provided in subsections (b) and (c) a person is justified in using reasonable physical force upon another person to defend himself or a third person from what he reasonably believes to be the use or imminent use of physical force, and he may use such degree of force which he reasonably believes to be necessary for such purpose; except that deadly physical force may not be used unless the actor reasonably believes that such other person is (1) using or about to use deadly physical force, or (2) inflicting or about to inflict great bodily harm.
“(b) Notwithstanding the provisions of subsection (a), a person is not justified in using deadly physical force upon another person if he knows that he can avoid the necessity of using such force with complete safety (1) by retreating, except that the actor shall not be required to retreat if he is in his dwelling, as defined in section 53a-100, or place of work and was not the initial aggressor, or if he is a peace officer or a private person assisting such peace officer at his direction, and acting pursuant to section 53a-22, or (2) by surrendering possession of property to a person asserting a claim of right thereto, or (3) by complying with a demand that he abstain from performing an act which he is not obliged to perform.
“(c) Notwithstanding the provisions of subsection (a), a person is not justified in using physical force when (1) with intent to cause physical injury or death to another person, he provokes the use of physical force by such
The trial court also instructed the jury as follows: “A defendant claiming justification of self-defense may use — may only use reasonable force to defend himself. Reasonable force is the amount of force that would be used by an average person of ordinary intelligence acting under the same circumstances.”
Under State v. Golding, 213 Conn. 233, 239-40, 567 A.2d 823 (1989), the defendant can prevail on his unpreserved constitutionally based claims only if the following four conditions are met: “(1) the record is adequate to review the alleged claim of error; (2) the claim is of constitutional magnitude alleging the violation of a fundamental right; (3) the alleged constitutional violation clearly exists and clearly deprived the defendant of a fair trial; and (4) if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt.”
Under the subjective-objective test, the jury must first determine whether the defendant believed that the use of reasonable force was necessary, and then it must determine whether that belief was reasonable under the circumstances. State v. Williams, 25 Conn. App. 456, 464, 595 A.2d 895 (1991).
In State v. Williams, 25 Conn. App. 456, 466 n.5, 595 A.2d 895 (1991), the trial court instructed the jury as follows regarding the defendant’s perception of the danger he faced: “The danger or apparent danger claimed by the defendant is to be determined from his standpoint at the time of the attack, and under all the existing circumstances. The action leading to the defendant’s claim of self-defense need not be an actual threat or assault. The test is not what the other person actually intended, but what the aggressor’s act caused the defendant reasonably to believe was his intention. In other words, the danger need not have'been actual, if the defendant reasonably believed that the danger was actual, real, imminent or unavoidable.
“In judging the danger to himself, however, the defendant is not required to act with infallible judgment. On the other hand, one exercising the right of self-defense is required to act instantly, and without time to deliberate and investigate. Under such circumstances it is often possible to mistake an actual threat when none, in fact, existed, but the law does not require the same coolness in judgment in estimating his danger that you can exercise in reviewing the facts of this case.” (Internal quotation marks omitted.)
The trial court charged the jury as follows: “The danger or apparent danger claimed by the defendant is to be determined from his standpoint at the time of the attack and under all the circumstances. The act leading to the defendant’s claim of self-defense need not be an actual threat or assault. The test is not what the other person actually intended but what
The following dialogue between the defendant and his attorney appears in the transcript:
“Defense Attorney: When you pulled out your handgun, what were you going to do?
“Defendant: Well, initially, I was going to let him know not to make that move because something, you know, might happen if you threaten me about, you know, about killing me.
“Defense Attorney: All right. And then what happened?
“Defendant: Well, the gun went off.
“Defense Attorney: Did you aim it at him?
“Defendant: Well, not intentionally aimed at him because if I aimed at him and was going to use it in that respect, I would have shot him in the head or something if I was trying to kill him.
“Defense Attorney: Did you intentionally shoot the gun?
“Defendant: No.
“Defense Attorney: What happened?
“Defendant: It went off when I pulled it out. It was such a fast act with him telling me he’s going to show me and—
“Defense Attorney: Well, how was it he was shot in the — in his right shoulder? What happened when—
“Defendant: I don’t understand.
“Defense Attorney: — you pulled the gun out?
“Defendant: Would you like me to go through the motions?
“Defense Attorney: Yes.”
Dissenting Opinion
dissenting. Because I cannot agree with the majority’s conclusion that the trial court’s jury instruction, misstating the law on self-defense in two critical respects, was harmless beyond a reasonable doubt, I respectfully dissent.
I
It is the law in Connecticut that, “ ‘[i]f the defendant asserts a recognized legal defense and the evidence indicates the availability of that defense, such a charge is obligatory and the defendant is entitled, as a matter of law, to a theory of defense instruction. [State v. Rosado, 178 Conn. 704, 707-708, 425 A.2d 108 (1979)]. “[A] defendant is ‘entitled to have instructions presented relating to any theory of defense for which there
In State v. Miller, supra, 660-61, our Supreme Court stated that this fundamental constitutional right to establish a defense includes properjury instructions on the elements of self-defense “so that the jury may ascertain whether the state has met its burden of proving beyond a reasonable doubt that the assault was not justified.”
In this case the trial court twice incorrectly instructed the jury that it was to evaluate reasonable force under a strictly objective standard, that reasonable force is “that force which an average person of ordinary intelligence in like circumstances would judge to be necessary to prevent injury and no more.” The majority concedes that this is an incorrect statement of law; State v. Hall, 213 Conn. 579, 586, 569 A.2d 534 (1990); but concludes that the incorrect instruction on reasonable force was harmless beyond a reasonable doubt in
In Williams, an instruction identical to the one at issue here was found to be improper. Id., 464. In that case, the defendant was convicted of manslaughter committed under the influence of extreme emotional disturbance. Id., 457. In addition to self-defense, the jury had to decide the effect of intoxication on the defendant’s intent, as well as whether he was influenced by extreme emotional disturbance. Id., 458-60. This court found that the “average person of ordinary intelligence” instruction was clearly improper, but that within the context of that case the improper instruction was harmless error. Id., 464-66. In the present case, where self-defense was the only contested issue, the error is harmful.
The law is clear that a jury is not to use a purely objective standard in evaluating self-defense. Indeed, the statute focuses on the person claiming self-defense. State v. Corchado, 188 Conn. 653, 663, 453 A.2d 427 (1982). “The starting point of the jury’s inquiry into whether ‘reasonable force’ was used by a defendant is whether the defendant believed that deadly force was necessary to repel the attack. State v. DeJesus, [194 Conn. 376, 389 n.13, 481 A.2d 1277 (1984)].” (Emphasis in original.) State v. Williams, supra, 464.
The defendant’s beliefs were central to his claim that he acted in self-defense. Both he and his fiancee testified that the victim was known to be arroed and had a reputation for violence. The victim was a convicted felon, drug user, drinker, and gambler. Of paramount importance was that the victim had been armed with a gun and threatened the defendant in the past, and that the defendant believed him to be a bully and was afraid of him.
The “Connecticut test for the degree of force in self-defense is a subjective-objective one. The jury must view the situation from the perspective of the defendant. [General Statutes § 53a-19 (a)] requires, however, that the defendant’s belief ultimately must be found to be reasonable.” State v. DeJesus, supra; State v. Williams, supra, 464. Only after the jury has focused on the situation from the defendant’s perspective, may it decide whether his belief was reasonable. “ ‘This statutory emphasis on the defendant . . . demonstrates the function of the jury in their evaluation of the self-defense claim.’ State v. Corchado, supra.” State v. Williams, supra. The jury must evaluate the danger a defendant claims to have faced, and the reasonableness of his response to that danger.
Another difference between this case and Williams is that the trial court’s instruction in Williams was incorrect only as to the reasonable force portion of the self-defense instruction. State v. Williams, supra,
II
The trial court instructed the jury that before using deadly physical force the defendant had a duty to retreat if he could have done so with safety. Section § 53a-19 (b) (1), however, provides that a person need only retreat if he can do so “with complete safety.” In reaching its conclusion that the incorrect instruction on the duty to retreat was harmless beyond a reasonable doubt, the majority decided that the word safety necessarily encompassed “complete safety.” Such a conclusion is not in accord with our well established rules of statutory construction.
“When the words of a statute are clear and unambiguous, we assume that the words themselves express the legislature’s intent and there is no need to look further for interpretive guidance. . . . Similarly, we presume that the legislature had a purpose for each sentence, clause or phrase in a legislative enactment, that it did not intend to enact meaningless provisions . . . .” (Citations omitted; internal quotation marks omitted.) Leo Fedus & Sons Construction Co. v. Zoning Board of Appeals, 27 Conn. App. 412, 420, 606 A.2d 725, cert. granted on other grounds, 222 Conn. 911, 608 A.2d 694 (1992). “Our conclusion is also supported by the principle that ‘ “[n]o word in a statute should be treated as superfluous, void or insignificant
Complete safety is a higher standard than mere safety, and the language of the statute calls for that standard to be applied. If the majority’s conclusion is correct, however, the word complete serves no meaningful purpose in the statute and is nothing more than mere surplusage.
Self-defense was the only defense presented by the defendant in this case. Because the charge on self-defense was patently incorrect in two critical respects, I cannot agree that the errors were harmless beyond a reasonable doubt. I would reverse and remand for a new trial.
Accordingly, I respectfully dissent.