Case Information
*1 The summaries of the Colorado Court of Appeals published opinions constitute no part of the opinion of the division but have been prepared by the division for the convenience of the reader. The summaries may not be cited or relied upon as they are not the official language of the division.
Any discrepancy between the language in the summary and in the opinion
should be resolved in favor of the language in the opinion.
SUMMARY
February 7, 2019
No. 14CA1958, People v. Ramirez — Criminal Law — Jury Instructions — Instructional Errors; Criminal Procedure — Plain Error
On remand from the supreme court, a division of the court of
appeals reconsiders a prior division’s opinion in this case in light of
the decision in
People v. Rediger
,
Because the trial court’s failure to properly instruct the jury on “deadly physical force” amounted to prejudicial plain error, the division reverses the conviction of first degree assault and remands for a new trial solely as to that charge. In all other respects, the judgment is affirmed.
The dissent would affirm the judgment in its entirety because
the lawyer made a knowing and intentional waiver of any error in
the court’s self-defense instruction.
*3
COLORADO COURT OF APPEALS Court of Appeals No. 14CA1958
Weld County District Court Nos. 13CR875, 13CR890, 13CR1222 & 13CR1681 Honorable Timothy G. Kerns, Judge
The People of the State of Colorado,
Plaintiff-Appellee,
v.
Joe Anthony Ramirez,
Defendant-Appellant. JUDGMENT AFFIRMED IN PART, REVERSED IN PART, AND CASE REMANDED WITH DIRECTIONS Division III
Opinion by JUDGE TERRY Martinez*, J., concurs Webb, J., dissents
Announced February 7, 2019 Philip J. Weiser, Attorney General, Majid Yazdi, Assistant Attorney General, Denver, Colorado, for Plaintiff-Appellee
Megan A. Ring, Colorado State Public Defender, Dayna Vise, Deputy State Public Defender, Denver, Colorado, for Defendant-Appellant *Sitting by assignment of the Chief Justice under provisions of Colo. Const. art. VI, § 5(3), and § 24-51-1105, C.R.S. 2018. *4
This case has been remanded from the supreme court. People
v. Ramirez
, (Colo. No. 18SC281, Dec. 3, 2018) (unpublished order).
That court has instructed us to reconsider the prior division’s
opinion in this case,
People v. Ramirez
(Colo. App. No. 14CA1958,
Mar. 8, 2018) (not published pursuant to C.A.R. 35(e)) (
Ramirez I
),
in light of the decision in
People v. Rediger
,
charges stemming from four consolidated criminal cases. He was found guilty of attempted first degree murder, attempted reckless manslaughter, first degree assault with a deadly weapon, engaging in a riot, illegal discharge of a firearm, theft by receiving, vehicular eluding, and possession with intent to distribute a schedule II controlled substance. The court imposed a combination of consecutive and concurrent sentences totaling eighty-eight years. In Ramirez I , the division affirmed his conviction of all charges. After receiving the supreme court’s order of remand, we requested supplemental briefing from the parties as to the application of . That supreme court decision has potential effect only on our disposition of the conviction for first degree assault. Thus, *5 none of the other convictions entered against Ramirez are affected by the supreme court’s remand. With respect to the first degree assault conviction, we now
conclude that defense counsel’s error in declining to object to an inapplicable jury instruction amounted to a forfeiture, as described in , ¶¶ 39-47, and not a waiver, as described in the prior division’s opinion. Because we conclude that the error amounted to prejudicial plain error, we reverse the conviction of first degree assault and remand for a new trial solely as to that charge.
I. The Erroneous Instruction Ramirez argues that the trial court improperly instructed the jury as to “deadly physical force” in Instruction Number 29, which related to the charges of first degree assault, second degree assault, and third degree assault. (The jury found him guilty only of first degree assault.) The prior division concluded that Ramirez had waived his
contention of instructional error and therefore declined to consider it. In accordance with the supreme court’s remand, we now re-examine that ruling. *6 During the jury instruction conference, defense counsel said
that a scintilla of evidence was presented at trial that would support the defense of self-defense. The following colloquy then occurred:
[Prosecutor]: I know that the standard [of proof] is incredibly low of it being a scintilla of evidence, and so I don’t think the People can in good faith dispute that there’s contradictory testimony including the defendant’s statements. . . .
[COURT]: Counsel, any objection to the self-defense instruction [that was tendered by the prosecution] and its applicability to . . .
first, second and third degree assault?
[PROSECUTOR]: No, Your Honor.
[COURT]: [Defense counsel?]
[DEFENSE COUNSEL]: Your Honor, I believe this to be a correct statement of the law, so I don’t have any objection.
[COURT]: Thank you. The court instructed the jury:
It is an affirmative defense to the crime of Assault in the First Degree . . . that the defendant used deadly physical force upon [the victim]:
l. In order to defend himself or a third person from what he reasonably believed to be the use or imminent use of unlawful physical force by the other person,
2. He used a degree of force which he reasonably believed to be necessary for that purpose, and
3. He reasonably believed a lesser degree of force was inadequate, and
4. Had reasonable grounds to believe, and did believe that he or another person was in imminent danger of being killed or of receiving great bodily injury.
(Emphasis added.) Further, the elemental instruction for first degree assault
referenced the “deadly physical force” instruction by saying, “without the affirmative defense [specified] in instruction number 29.” The jury was not instructed on the definition of “deadly physical force.” “‘Deadly physical force’ means force, the intended, natural,
and probable consequence of which is to produce death,
and which
does, in fact, produce death
.” § 18-1-901(3)(d), C.R.S. 2018
(emphasis added);
see also People v. Ferguson
,
on deadly physical force because defendant was not accused of causing death. By giving an inapplicable instruction, and incorporating it into the elemental instruction for first, second, and third degree assault, the court would have caused the jury to have an incorrect understanding of the elements of those charges.
II. Waiver or Forfeiture In Ramirez I , the division concluded that Ramirez, through his
counsel, had waived this instructional error. That conclusion
focused on defense counsel’s statement, “I believe this to be a
correct statement of the law, so I don’t have any objection.”
Applying
Rediger
and the supreme court’s recent decision in
People
v. Smith
,
“the
intentional
relinquishment of a
known
right or privilege.”
, ¶ 39 (quoting
Dep’t of Health v. Donahue
,
recognized the error in application of the deadly force jury instruction. There would be no rational, strategic reason for the defense to want such an erroneous instruction to be given. Indeed, counsel’s expression that he believed the instruction to be “a correct statement of the law” shows that he failed to notice that it was an incorrect statement of the law as applied to the first, second, and third degree assault charges in this case. Cf. People v. Stewart , 55 P.3d 107, 119 (Colo. 2002) (stating that a nontactical instructional omission is reviewable for plain error). And as we have discussed, the error would have caused the
jury to misunderstand the elemental jury instruction for first degree assault, which referenced the “affirmative defense [specified in erroneously phrased] instruction number 29.” Given that we are to indulge every reasonable presumption
against waiver, we conclude that counsel did not waive the instructional error. See id. ; see also Smith , ¶ 18 (finding no waiver *10 of instructional error where “the record before us reveals no evidence that [the defendant], by stating that the instructions generally were ‘acceptable’ to him, intended to relinquish a known variance claim”). “Forfeiture” is “the failure to make the timely assertion of a
right.”
Rediger
, ¶ 40.
Rediger
cited
United States v. Carrasco-
Salazar
,
the instruction was patently attributable to neglect, and we therefore conclude that the instructional error was not waived, but merely forfeited. See , ¶ 44 (“In these circumstances, we conclude that neglect, not intent, explains Rediger’s lack of an objection . . . . Accordingly, in our view, Rediger’s acquiescence amounts to a forfeiture, not a waiver.”). In contrast with the dissent, we are not convinced that Rediger
is distinguishable on the basis that defense counsel there stated
that the instructions as a group were acceptable, whereas defense
counsel here accepted a specific instruction. By accepting all the
*11
instructions, defense counsel in
Rediger
had accepted the included
elemental instruction. Nevertheless, our supreme court said, “[t]he
record before us reveals no evidence, either express or implied, that
Rediger intended to relinquish his right to be tried in conformity
with the charges . . . .”
Id.
at ¶ 42.
People v. Kessler
,
There, the division acknowledged
Rediger
, but distinguished it
because, in
Kessler
, “defense counsel did more than generally
acquiesce or fail to object. Defense counsel explicitly agreed that
the specific evidence at issue was admissible.”
Id.
at ¶ 37. The
circumstances of
Kessler
are unlike those here, where Ramirez’s
counsel showed no understanding that the jury instruction was
inapplicable. And as the division acknowledged in
Kessler
, that
case did not involve an elemental jury instruction.
Id.
But this
case does.
The division in
People v. Tee
,
distinguished , explaining that “the record before us shows that the trial court and defense counsel were involved in an ongoing, interactive exchange.” See also People v. Murray , 2018 *12 COA 102, ¶ 44 (“Defense counsel therefore clearly affirmatively acquiesced in the admissibility of the Montana judgment.”). There is no such indication in the record here. Instead, the entire jury instruction conference — which dealt with thirty-seven jury instructions for charges that were originally brought in four separate cases — takes up only five pages of the trial transcript. Defense counsel’s statement that he thought the instruction correctly stated the law was made in one brief sentence. The record shows defense counsel’s apparent lack of
awareness of the error that was baked into the instruction.
Cf. People v. Allgier
,
¶ 24 result, we must proceed to review the error for plain error. Rediger , ¶ 44; Smith , ¶¶ 18, 22.
III. Plain Error Review ¶ 25 We conclude that the court committed plain error, and that we
must reverse his first degree assault conviction as a result. Plain error is obvious and substantial error that so
undermined the fundamental fairness of the trial itself as to cast
serious doubt on the reliability of the judgment of conviction.
Hagos v. People
,
deadly force instruction where the alleged victim did not die
contravened the applicable statute, § 18-1-901(3)(d); case law,
Ferguson
,
failure to instruct on the non-deadly, ordinary use of force
“permitted [the jury] to hold [the] defendant to a higher standard in
establishing self-defense than is required by law.”
degree assault.
IV. Incorporation of Ramirez I as to Other Issues The resolution of this appeal on all other issues discussed in Ramirez I is unaffected by the supreme court’s remand order. As a result, that opinion stands as to those other issues, and we incorporate herein those parts of Ramirez I addressing the other issues.
V. Conclusion The judgment of conviction of first degree assault is reversed,
and the case is remanded for a new trial as to that charge. In all other respects, the judgment is affirmed.
JUSTICE MARTINEZ concurs.
JUDGE WEBB dissents.
JUDGE WEBB, dissenting.
In law, as in life, “[o]n the question you ask depends the
answer you get.”
Bay Ridge Operating Co. v. Aaron
,
32, the majority asks whether defense counsel thought about the deadly physical force language in the self-defense instruction before endorsing that instruction. The majority then sees “no indication in the record that defense counsel recognized the error in application of the deadly force jury instruction,” supra ¶ 14, and on that basis “cannot conclude that counsel intentionally relinquished a known right on defendant’s behalf,” supra ¶ 23. But does not, in my view, mandate a subjective inquiry into whether counsel thought about the reason why an instruction might be flawed, so long as the record shows that counsel specifically agreed that the particular instruction challenged on appeal should have been given. So, I ask whether defense counsel knowingly and intentionally assented to the self-defense instruction being given. After the trial court asked the lawyers if they wanted to make a “record regarding the self-defense instructions or self-defense issues,” defense counsel *16 said of the self-defense instruction, “Your Honor, I believe this to be a correct statement of the law , so I don’t have any objection.” (Emphasis added.) Because this statement — far from a mere rote response — constitutes a knowing and intentional waiver of any error in giving the self-defense instruction, I would affirm. Therefore, and with respect, I dissent.
I. Instructional Error According to the majority, under cases such as People v.
Ferguson
,
II. Waiver After Rediger and Smith In Rediger , ¶¶ 3, 10, our supreme court held that a
defendant’s attorney had not waived a challenge to an elemental
instruction by responding, “Yes. Defense is satisfied,” when the
trial court asked whether counsel was “satisfied with the
instructions,” all of which the prosecutor had prepared. The court
reasoned that such “mere acquiescence” to the instructions as a
group was not enough to show “an intentional relinquishment of a
known right.”
Id.
at ¶¶ 3, 39-44. Similarly, in
People v. Smith
,
ways. First, in both cases, the trial court did not solicit defense
counsel’s position on the specific instruction belatedly challenged
on appeal.
See United States v. Hamilton
,
Perez-Rodriguez
,
“satisfied” and “acceptable” — response, equally applicable to all of
the tendered instructions. This response could well have been
merely a “rote statement that [counsel] is not objecting . . . .”
United States v. Zubia-Torres
,
doubt whether defense counsel had specifically assented to the particular instructions challenged on appeal. Not so here.
III. Application Because questions of waiver “are necessarily fact-specific,”
People v. Harlan
,
distinguished
Rediger
because “defense counsel did more than
generally acquiesce or fail to object. Defense counsel explicitly
agreed that the specific evidence at issue was admissible.” The
division in
People v. Tee
,
warrant a closer look. In Tee , the trial court, the prosecutor, and defense counsel had specifically discussed the predeliberation issue raised on appeal. But here, whether anyone said anything about the deadly physical force language before defense counsel endorsed the self-defense instruction is unknown. Neither Kessler nor Murray describes any similar colloquy.
Instead, when presented with the evidence, defense counsel responded that it was admissible. The divisions did not shy away from finding waivers by pondering whether counsel had considered the reasons raised on appeal as to why the evidence should not have been admitted. Rather, as here, defense counsel faced a binary choice: either object or acquiesce. And as here, because counsel chose the latter, giving the instruction cannot be challenged on appeal. I discern no principled difference between admitting evidence
and giving an instruction. In both circumstances, multiple reasons
may be worth considering before counsel acts. Still, regardless of
*21
what counsel subjectively contemplates, if counsel objectively
acquiesces, the evidence comes in or the instruction is given. And
asking whether counsel subjectively considered
all
such reasons
disregards the principle that “[s]ociety has an interest in the finality
of court determinations that should not be lightly put aside.”
Stroup v. People
,
People
,
his position on the self-defense instruction as well as on “self-defense issues.” In response, counsel did not just renounce “any objection,” as in Kessler and Murray . Counsel went further and explained his rationale — that the instruction was a “correct statement of the law.” Whether counsel was wrong is the province of an ineffective assistance claim under Crim. P. 35(c). Despite all of this, is waiver precluded because what was on
defense counsel’s mind when he unambiguously acquiesced is
unknown? The majority says “yes” because waiver must be “the
intentional
relinquishment of a
known
right or privilege.” ,
¶ 39 (quoting
Dep’t of Health v. Donahue
,
defense counsel differs from the “voluntary, knowing, and
intelligent” test for waiver by a defendant.
See, e.g.
,
Sanchez v.
People
,
to the trial court that the evidence met the low standard for giving a self-defense instruction, he knew that he was entitled to such an instruction. And because, after having successfully argued for a self-defense instruction, he acknowledged that the particular instruction proposed was a correct statement of the law, he also knew that he was entitled to a self-defense instruction that was *24 appropriate for the case being tried. See Black’s Law Dictionary 1737 (9th ed. 2009) (defining “knowing” as “showing awareness or understanding”). Third, I look at intent. Counsel could have objected to giving
the instruction, asked for different language, or acquiesced in giving
it. He unambiguously acquiesced. How much or how little thought
counsel gave to possible flaws in the instruction does not defeat
intentionality.
See
Black’s Law Dictionary 883 (defining
“intentional” as “[d]one with the aim of carrying out the act”).
Despite defense counsel’s clear choice, the majority parses his
acquiescence in giving the instruction as opposed to his
acquiescence in the deadly force language. But appellate courts “do
not require the defendant to expressly state on the record his intent
to waive a challenge before we will consider it waived . . . and such
an express statement is rare.”
United States v. Garcia
, 580 F.3d
528, 542 (7th Cir. 2009). I have not found any authority
conditioning waiver on the outcome of an inquiry into whether
defense counsel recognized every reason why an instruction might
be inappropriate, at least where, as here, counsel affirmatively
*25
endorses a particular instruction in response to a trial court’s
specific question about counsel’s position on that instruction.
Closest to such an inquiry is a line of First Circuit cases
summarized in
United States v. Corbett
,
instruction and the wording of that instruction were “on the table.” See id. (citations omitted). Defense counsel persuaded the trial court to give such an instruction and then acquiesced in the language to be used. In my view, the inquiry should end there. Going further to ponder whether defense counsel considered potential reasons why the instruction might be flawed demands too much. Suppose an instruction was flawed for two independent reasons, one of which was discussed among counsel and the trial court before defense counsel agreed that the instruction be given. Could appellate counsel avoid waiver by arguing that the other *26 reason warrants reversal and the record did not show that trial counsel had considered it? Still, the majority points out that “[t]here would be no rational,
strategic reason for the defense to want such an erroneous instruction to be given.” Supra ¶ 14. But this observation conflates waiver with invited error by assuming that inquiry into counsel’s strategic purpose plays the same role in ignoring an affirmative waiver that it does in declining to apply invited error. See , ¶ 34 (“Invited error is a narrow doctrine and applies to errors in trial strategy but not to errors that result from oversight.”). I am unaware of any Colorado authority tempering the effect of an affirmative waiver based on possible or even apparent lack of a strategic purpose. Finally, everyone would agree that reversing a conviction and
retrying the case carry “substantial social costs.”
United States v.
Mechanik
,
inviting defense counsel to address the instruction and related issues. With equal breadth, counsel replied, “I don’t have any objection.” Neither due process nor common sense could require greater effort by the trial court. Yet, if the integrity of a verdict depends not on what defense counsel says but on what counsel is thinking at the time, such efforts can always be thwarted by imaginative appellate counsel with the luxury of time to develop arguments that trial counsel may not have considered. If so, then in the end reversal leaves the trial court wondering, “what more could I have done?”
IV. Conclusion I would affirm the judgment.
