236 Conn. 342 | Conn. | 1996
Lead Opinion
The principal issue raised in this appeal is whether the Appellate Court properly concluded that the defendant was not entitled to a jury instruction on the affirmative defense of extreme emotional disturbance because the defendant’s trial testimony had contradicted such a defense.
After a jury trial, the defendant, Michael Person, was convicted of the murder of Leshea Pouncey in violation of General Statutes § 53a-54a (a),
During the trial, defense counsel filed a written request to charge the jury on the defense of extreme emotional disturbance. At the close of the case, the court denied the defendant’s request for two reasons: (1) the defendant on cross-examination had testified that he had not been upset by the events on which he partially relied for the defense; and (2) the defendant had produced insufficient evidence to raise the issue of extreme emotional disturbance. During a colloquy with counsel, out of the presence of the jury, the court stated: “I cannot see extreme emotional disturbance in this case. I don’t see any evidence of it. You are asking in effect for the jury to find the opposite of what the defendant says occurred to support a claim by the defendant that he has offered evidence to support extreme emotional disturbance . . . .” The court further stated: “I assumed from the outset that extreme emotional disturbance would be in this case but I didn’t expect to hear the defendant on the stand denying every question that was asked about him leading to his mental state at various times.” The trial court did instruct the jury on self-defense and on the lesser included offenses of manslaughter in the first degree,
The Appellate Court did not reach the issue of whether there was sufficient evidence to warrant an instruction on extreme emotional disturbance because
Section 53a-54a (a), in defining the crime of murder, excepts, as an affirmative defense, a homicide committed by a defendant who acts “under the influence of extreme emotional disturbance for which there was a reasonable explanation or excuse, the reasonableness of which is to be determined from the viewpoint of a person in the defendant’s situation under the circumstances as the defendant believed them to be . . . .” Under such circumstances, if a defendant intentionally causes the death of an individual, but does so under extreme emotional disturbance, the trier of fact may convict the defendant of manslaughter in the first degree in violation of General Statutes § 53a-55 (a) (2).
The trial court’s denial of the defendant’s request for an instruction on extreme emotional disturbance raises two issues: (1) whether the defendant’s trial testimony
I
The following testimony was presented to the jury. The defendant and Pouncey had been romantically involved and had planned to marry. Pouncey, however, terminated their engagement, after which she commenced a relationship with Donald Moody. The defendant testified that on May 19, 1991, he had forcefully entered Pouncey’s apartment while she was away in order to recover his personal belongings. While the defendant was in the rear bedroom gathering his possessions, Pouncey returned home with her child. The defendant further testified that after speaking on the telephone, Pouncey had confronted him in the bedroom with a can of Mace in one hand and two knives in the other. According to the defendant, Pouncey had instigated a struggle by spraying Mace in his eyes. In the course of the struggle, the defendant stabbed Pouncey. The defendant then fled the apartment and later surrendered himself at the New Haven police station.
On direct examination, the defendant testified, with respect to his state of mind, that he had been “somewhat” upset by the fact that Pouncey had begun dating Moody.
“ ‘A fundamental element of due process is the right of a defendant charged with a crime to establish a defense.’ ” State v. Belle, 215 Conn. 257, 273, 576 A.2d 139 (1990), quoting Washington v. Texas, 388 U.S. 14, 19, 87 S. Ct. 1920, 18 L. Ed. 2d 1019 (1967). The question before us today is whether a defendant forgoes the right to have a jury instructed on a requested defense if the defendant denies having the state of mind required to establish the requested defense.
It is for the jury to evaluate the credibility of the witnesses and the weight to be accorded the evidence. See State v. Breton, 235 Conn. 206, 234, 663 A.2d 1026 (1995). “The jury is free to juxtapose conflicting versions of events and to determine which is more credible.” State v. Adams, 225 Conn. 270, 278, 623 A.2d 42 (1993). “[T]he [jury] can disbelieve any or all of the evidence . . . and can construe [the] evidence in a manner different from the parties’ assertions. . . .” (Citations omitted.) State v. Steiger, 218 Conn. 349, 381, 590 A.2d 408 (1991). Therefore, because the jury was free to disbelieve the defendant’s testimony, his asser
The Appellate Court’s reliance on State v. Cassino, 188 Conn. 237, 449 A.2d 154 (1982), and State v. Zayas, 3 Conn. App. 289, 489 A.2d 380, cert. denied, 195 Conn. 803, 491 A.2d 1104 (1985), was misplaced. Neither of those cases stands for the proposition that a defendant forfeits a defense theory if he or she testifies to a contradictory fact or conclusion. Our decision in Cassino “was based upon the conclusion that the defendant had failed to introduce sufficient evidence to warrant a self-defense instruction.” State v. Harris, supra, 189 Conn. 274 n.4. Similarly, in Zayas, the defendant requested that the jury be charged on self-defense, but there was insufficient evidence tending to establish that defense. State v. Zayas, supra, 294.
Instructing on a defense for which the defendant has given contradictoiy testimony is particularly appropriate in cases, such as the present one, in which the requested defense involves the defendant’s mental state. The applicability of such a defense theory should not be judged solely upon the defendant’s personal description of his or her own mental status. In fact, we have previously held that “a court may, under certain circumstances, impose a mental status defense [such as extreme emotional disturbance] on an unwilling defendant.” State v. Manfredi, 213 Conn. 500, 516, 569 A.2d 506, cert. denied, 498 U.S. 818, 111 S. Ct. 62, 112 L. Ed. 2d 37 (1990); see State v. Asherman, supra, 193
This analysis is consistent with the rule that a defendant is permitted to present inconsistent defenses to a jury. State v. Harris, supra, 189 Conn. 273. In Harris, the defendant asserted two inconsistent defenses: (1) an alibi defense; and (2) an affirmative defense that the gun used in the alleged crimes was a toy. Id., 271-72. The state argued that “contrived defenses would result [i]f a defendant could deny participation in a robbery, offer evidence of someone else’s involvement using a toy gun, and still avail himself of the affirmative defense under [General Statutes] § 53a-134 (a) (4).”
In Mathews v. United States, 485 U.S. 58, 108 S. Ct. 883, 99 L. Ed. 2d 54 (1988), the United States Supreme Court addressed an issue similar to the one raised in this case. In Mathews, the defendant requested a jury instruction on the affirmative defense of entrapment, despite the fact that he had denied commission of the crime. The court held “that even if the defendant denies one or more elements of the crime [or defense], he is entitled to an [instruction on his requested affirmative defense] whenever there is sufficient evidence from which a reasonable jury could find [the defense].” Id., 62. Noting that a defendant may put forward inconsistent defenses, the court stated that “[w]e do not think that allowing inconsistency necessarily sanctions perjury. . . . Inconsistent testimony by the defendant seriously impairs and potentially destroys his [or her] credibility. While we hold that a defendant may both deny [certain] acts . . . and at the same time claim [a defense inconsistent with his or her testimony], the high risks to him [or her] make it unlikely as a strategic matter that he [or she] will choose to do so.” (Citation omitted; internal quotation marks omitted.) Id., 65-66.
Similarly, we hold that no rule of law prevents a jury from being charged, when requested, on the defense of extreme emotional disturbance simply because the defendant has testified that he or she was not upset.
II
The affirmative defense of extreme emotional disturbance, unknown to the common law, is authorized by § 53a-54a. Proof of this defense by a preponderance of the evidence;
If there is sufficient evidence of a legal defense, the defendant is entitled, as a matter of law, to a requested jury charge on that defense. State v. Lewis, 220 Conn. 602, 618-19, 600 A.2d 1330 (1991); State v. Havican, 213 Conn. 593, 597, 569 A.2d 1089 (1990); State v. Fuller, 199 Conn. 273, 278, 506 A.2d 556 (1986); State v. Rosado, 178 Conn. 704, 707-708, 425 A.2d 108 (1979). It is well established in Connecticut that a defendant is entitled to have the jury instructed on any general defense “for which there is any foundation in the evidence, no matter how weak or incredible.” (Internal quotation marks omitted.) State v. Havican, supra, 597; State v. Fuller, supra, 278. This standard is appropriate when a defendant raises a general defense and the state has the burden of disproving that defense beyond a reasonable doubt. General Statutes § 53a-12 (a).
The “any evidence” standard has been improperly applied, however, to affirmative defenses. See State v. Belle, 215 Conn. 257, 275, 576 A.2d 139 (1990) (license as affirmative defense to criminal trespass); see also
In the present case, despite the defendant’s testimony regarding his state of mind, there was sufficient evi
The following evidence pertaining to the defendant’s emotional disturbance was introduced at trial. In 1990, the defendant and Pouncey had an intimate relationship and planned to marry. During that year, the defendant and Pouncey shared an apartment in New Haven until the defendant relocated to Atlanta, Georgia, in June. In September, 1990, the defendant returned to Connecticut and resumed his cohabitation with Pouncey until February, 1991. In April, 1991, the defendant gave Pouncey an engagement ring, which she initially accepted, but soon thereafter returned. The defendant continued to contact Pouncey in the hope that their relationship could be salvaged. After her engagement to the defendant had terminated, Pouncey commenced a relationship with Moody. On April 16, 1991, Pouncey alleged that she was being harassed by the defendant and obtained a restraining order against the defendant. Despite the restraining order, the defendant continued to contact Pouncey.
During the afternoon of May 19, 1991, the day of the murder, the defendant called a friend, Earl Carthens,
While Pouncey was away from her apartment, the defendant forcibly entered the apartment in order to retrieve his personal belongings. Pouncey returned home with her child while the defendant was in the rear bedroom gathering his possessions. A struggle ensued and, as a result, Pouncey was fatally stabbed. Arkady Katsnelson, an associate medical examiner, testified that in addition to being stabbed in her chest,
From this evidence, the jury could have reasonably concluded that “the defendant committed [Pouncey’s murder] under the influence of extreme emotional disturbance for which there was a reasonable explanation or excuse . . . .” General Statutes § 53a-54a (a). Therefore, we conclude that there was sufficient evidence to warrant an instruction, and that the trial court was required to charge the jury on the defense of extreme emotional disturbance as the defendant had requested.
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to reverse the judgment of the trial court and to remand the case to that court for a new trial.
In this opinion PETERS, C. J., and BORDEN, KATZ and PALMER, Js., concurred.
General Statutes § 53a-54a (a) provides: “A person is guilty of murder when, with intent to cause the death of another person, he causes the death of such person or of a third person or causes a suicide by force, duress or deception; except that in any prosecution under this subsection, it shall be an affirmative defense that the defendant committed the proscribed act or acts under the influence of extreme emotional disturbance for which there was a reasonable explanation or excuse, the reasonableness of which is to be determined from the viewpoint of a person in the defendant’s situation under the circumstances as the defendant believed them to be, provided nothing contained in this subsection shall constitute a defense to a prosecution for, or preclude a conviction of, manslaughter in the first degree or any other crime.”
The defendant was also charged with risk of injury to a child in violation of General Statutes § 53-21, for which charge the trial court granted the defendant’s motion for a judgment of acquittal.
We certified the following issue: “Under the circumstances of this case, did the Appellate Court properly conclude that the defendant was not entitled to an instruction on the defense of extreme emotional disturbance?” State v. Person, 232 Conn. 919, 919-20, 656 A.2d 670 (1995).
The trial court instructed the jury on manslaughter in the first degree pursuant to General Statutes § 53a-55 (a) (1) and (3) and manslaughter in the second degree pursuant to General Statutes § 53a-56, but refused to instruct on manslaughter in the first degree predicated on extreme emotional disturbance pursuant to § 53a-55 (a) (2).
State v. Cassino, 188 Conn. 237, 449 A.2d 154 (1982).
State v. Zayas, 3 Conn. App. 289, 489 A.2d 380, cert. denied, 195 Conn. 803, 491 A.2d 1104 (1985).
General Statutes § 53a-55 provides in relevant part: “(a) A person is guilty of manslaughter in the first degree when ... (2) with intent to cause the death of another person, he causes the death of such person or of a third person under circumstances which do not constitute murder because he committed the proscribed act or acts under the influence of extreme emotional disturbance, as provided in subsection (a) of section 53a-54a, except that the fact that homicide was committed under the influence of extreme emotional disturbance constitutes a mitigating circumstance reducing murder to manslaughter in the first degree and need not be proved in any prosecution initiated under this subsection . . . .”
At oral argument the state modified its position by conceding that while there is no per se rule that would deny the defendant his requested charge, the defendant had failed to meet his initial burden of producing sufficient evidence to substantiate the charge.
On direct examination, the defendant testified accordingly:
“Q. So that at the end of April you became aware that she was seeing a fellow named Donald Moody.
“A. Yes.
*347 “Q. Did that upset you or concern you?
“A. Somewhat. She said it was a friendship basis.”
The cross-examination of the defendant included the following testimony:
“Q. When you entered that apartment that was indeed your intent to kill Donald Moody and Leshea Pouncey, wasn’t it?
“A. No, sir.
“Q. Because you were upset because you felt that Donald was moving in on your gal.
"A. Not really.
“Q. Not really?
“A. No.
“Q. That didn’t bother you?
“A. No.”
See footnote 8.
General Statutes § 53a-134 (a) provides in relevant part: “A person is guilty of robbery in the first degree when, in the course of the commission of the crime of robbery as defined in section 53a-133 or of immediate flight therefrom, he or another participant in the crime: (1) Causes serious physical injury to any person who is not a participant in the crime; or (2) is armed with a deadly weapon; or (3) uses or threatens the use of a dangerous instrument; or (4) displays or threatens the use of what he represents by his words or conduct to be a pistol, revolver, rifle, shotgun, machine gun or other firearm, except that in any prosecution under this subdivision, it is an affirmative defense that such pistol, revolver, rifle, shotgun, machine gun or other firearm was not a weapon from which a shot could be discharged.”
We note that credibility is fragile. Although inconsistent defenses and contradictory testimony may be proffered by a defendant, common sense instructs us that a consistent defense theory and consistent testimony are most credible.
Expert testimony is not required to establish the defense of extreme emotional disturbance. State v. Fair, 197 Conn. 106, 111, 496 A.2d 461 (1985), cert. denied, 475 U.S. 1096, 106 S. Ct. 1494, 89 L. Ed. 2d 895 (1986). The defendant’s own testimony or the testimony of a lay witness may be offered to prove that the defendant was acting under extreme emotional disturbance.
We have inteipreted “extreme emotional disturbance” to mean that “(a) the emotional disturbance is not a mental disease or defect that rises to the level of insanity as defined by the Penal Code; (b) the defendant was exposed to an extremely unusual and overwhelming state, that is, not mere annoyance or unhappiness; and (c) the defendant had an extreme emotional reaction to it, as a result of which there was a loss of self-control, and reason was overborne by extreme intense feelings . . . .” State v. Elliott, 177 Conn. 1, 9, 411 A.2d 3 (1979); see State v. Forrest, 216 Conn. 139, 148, 578 A.2d 1066 (1990).
General Statutes § 53a-12 (a) provides: “When a defense other than an affirmative defense, is raised at a trial, the state shall have the burden of disproving such defense beyond a reasonable doubt.”
In Bryan, citing State v. Havican, supra, 213 Conn. 597, the Appellate Court improperly stated that the defendant was entitled to an instruction of extreme emotional disturbance “for which there is any foundation in the evidence, no matter how weak or incredible.” (Internal quotation marks omitted.) State v. Bryan, supra, 34 Conn. App. 324. In Havican, however, the “any evidence” standard was properly applied because the defense in question was self-defense, which is not an affirmative defense. As the Havican court stated: “When the legislature has created a legally recognized defense, the defendant is entitled to a proper jury instruction on the elements of the defense so that the jury may ascertain whether the state has sustained its burden of disproving the defense beyond a reasonable doubt.” State v. Havican, supra, 598. Nevertheless, we do not want to imply that in Bryan the evidence was insufficient to require the trial court to instruct on the affirmative defense of extreme emotional disturbance.
General Statutes § 53a-12 (b) provides: “When a defense declared to be an affirmative defense is raised at a trial, the defendant shall have the burden of establishing such defense by a preponderance of the evidence.”
Unlike a general defense, such as self-defense, an affirmative defense must be proven by the party seeking the defense by a preponderance of the evidence. To apply the lower standard of “any evidence” would create the possibility of instructing a jury on an affirmative defense that a juror could not reasonably conclude had been established by a preponderance of the evidence.
Moody testified as follows to the substance of that conversation: “At that time when I answered the phone I said to Michael, I said, Michael, this is Donald. I said, what is going on. The next thing I know he is, I am going to kill both of you, like that. And at that time I said to him, I said, wait a minute, hold up, hold up, you know, and he is going on and on like, well, I didn’t come back from Atlanta to go out like this. He was all upset. He said he was going to kill us and all kinds of crazy other things. I said, Michael, calm down, calm down, this is me, I have known you for a long time. I said — I was trying to talk to him like a man and he was telling me I was — he was going to step into his past and whatever and, he said him and Leshea, should be getting back together and, I was stopping all that, and I said to him, you know, she didn’t tell me none of this, you know, but, you know, I am trying to talk to you as a man and you know, I don’t, you know, you threatened us, and he said, I’m sorry and let me speak to Leshea. At that time I said, she won’t speak to you. If she wants to, that is up to her.” (Emphasis added.)
Katsnelson, as a result of an autopsy performed on Pouncey’s body, testified that she was stabbed in three locations: her chest; the top of her back; and her buttocks. Katsnelson could not determine the order in which the stab wounds had been inflicted, but he did testify that the one to Pouncey’s chest pierced her aorta, and was fatal within one minute of infliction.
Concurrence Opinion
concurring. I agree with and join the majority opinion because
I agree that our law has traditionally permitted the presentation of inconsistent defenses in a criminal case. See, e.g., State v. Harris, 189 Conn. 268, 273, 455 A.2d 342 (1983). This is consistent with the general rule throughout the states; see 22 C.J.S., Criminal Law § 54 (1989); and the federal system. See Mathews v. United States, 485 U.S. 58, 63, 108 S. Ct. 883, 99 L. Ed. 2d 54 (1988). Thus, we have decided that, if the defendant seeks to have inconsistent theories of defense that the evidence supports presented to the jury, he is entitled thereto. See State v. Harris, supra, 273.
Although in Harris we implicitly decided the issue in this case, we have never explicitly discussed that issue, namely, whether the defendant is entitled to a jury instruction on a theory of defense that his own testimony squarely contradicts,
Answering this question in the affirmative injects an element of anomaly into our criminal law. It would require the court, for example, to give a jury instruction on both alibi and self-defense as theories of defense, in an assault case in which the defendant had testified that he was in Chicago at the time of the crime, and yet witnesses testifying that he was involved in the physical altercation indicated that he was defending himself. Thus, in order for the jury to acquit the defendant on the self-defense theory, it would have to disbelieve his own testimony that he was in Chicago. One cannot deny that there is something irrational about such an application of the principle permitting the presentation of inconsistent defenses.
Nonetheless, I agree that this is the way in which this case should be decided. I am unable to find any court that has departed from the traditional rule, simply because the defendant’s testimony is inconsistent with one of his theories of defense.
Significantly, as the majority aptly notes, the United States Supreme Court, as a matter of federal criminal law, has recently and specifically held that the traditional rule applies, even when the defendant’s own testimony contradicts one of his theories of defense. See Mathews v. United States, supra, 485 U.S. 62 (defendant who testified that he had not committed crime entitled to jury instruction on inconsistent theory of entrapment into commission of crime). Moreover, the majority of the United States Supreme Court took this position notwithstanding a dissent specifically arguing that it invites perjury, turns a criminal trial into sport rather than a search for truth, and results in increased jury confusion. Id., 70-73. (White, J., dissenting). Thus, although this decision was based on federal criminal law, and not the constitution and, therefore, we are not bound by it in deciding what our law should be, it is nonetheless persuasive. Finally, I am persuaded also by the concurring comment in Mathews that, when a defendant takes truly inconsistent positions, it will be “self-penalizing”; id., 68 (Scalia, J., concurring); because it will invite prosecutorial argument pointing out the inconsistency, and will encourage jury skepticism about his entire defense.
In State v. Harris, supra, 189 Conn. 268-69, the defendant was charged with robbery in the first degree. He sought a lesser included offense instruction on the basis of his testimony. He testified that he had been merely a witness to, rather than a participant in, the armed robberies at issue, and that the weapon used by the actual robber was merely a toy. Id., 270-71. Thus, in order for the jury to consider his claimed inconsistent theories of defense — namely, an alibi defense, in that he was only a witness to the crimes, and an affirmative defense, in that the weapon was not one from which a shot could be discharged — and thereby convict him of the lesser included offense of robbery in the second degree, the jury would have been required to reject his testimony that he was only a witness to the crimes.
The record is clear that the defendant’s testimony was squarely inconsistent with the affirmative defense of extreme emotional disturbance. The record indicates that the defendant consistently testified not only that he had no intent to Mil the victim, but that he never even intended to stab her. The defendant testified that the penetration of the victim’s body by two knives was wholly accidental, occurring in the course of what he described as a defensive struggle with her. In brief, he testified repeatedly that when
Some jurisdictions recognize at least two exceptions to the general rule allowing inconsistent defenses. Specifically, in homicide cases, some jurisdictions will not allow instruction on both accident and self-defense. See, e.g., Bradford v. State, 512 So. 2d 134, 137 (Ala. Crim. App. 1987); People
Concurrence Opinion
concurring. I agree with part II of the majority opinion and concur in the result reached in part I of the majority opinion. With regard to the first
Dissenting Opinion
dissenting. I cannot believe that the legislature in enacting General Statutes § 53a-54a, establishing extreme emotional disturbance as an affirmative defense, intended that a defendant would be entitled to a jury instruction on that defense when he explicitly disavowed the necessary state of mind. If, as the majority believes, there is case law that mandates a jury instruction under such circumstances, we should take the opportunity provided by this case to change it. Otherwise, the legislative mandate placing the burden of proof of extreme emotional disturbance upon the defendant is nullified. Certainly a defendant who testi
Moreover, although there was evidence adduced at trial of circumstances that possibly could have caused a theoretical defendant to be extremely emotionally disturbed and even evidence that this defendant was upset at various times, there was no testimony that at the time that he killed the victim the defendant was extremely emotionally disturbed. The only testimony elicited as to that time frame was, in fact, to the contrary. I believe that the majority confuses evidence of conditions that could have caused the defendant to be extremely emotionally disturbed with evidence that he
I would affirm the judgment of the Appellate Court.
By so doing, the majority essentially establishes a per se rule that anyone who lolls a former girlfriend or boyfriend is entitled to a jury instruction on extreme emotional disturbance.
The intent to cause death is itself a prerequisite to the defense of extreme emotional disturbance. See General Statutes § 53a-54a.