State v. Singleton
State v. Singleton
Opinion of the Court
Opinion
The state appeals, on the granting of certification, from the judgment of the Appellate Court reversing the conviction of the defendant, Ronald M. Singleton, of manslaughter in the first degree.
The following facts, which the jury reasonably could have found, are set forth in the opinion of the Appellate Court. “The defendant and the victim . . . had used illegal drugs together. The victim purchased these drugs with the defendant’s money. The defendant was angry that the victim had failed to reimburse him for his share of the drugs. On December 18, 2002, the defendant attempted to find the victim to collect this debt and traveled to both West Haven and New Haven in order to locate him. He eventually found the victim in the Newhall area of West Haven.
“The defendant did not call the police or paramedics immediately but, instead, disposed of the knife blade, which had broken off from the handle, and attempted to clean up the apartment. More than thirty minutes after the altercation had ended, at approximately 7:22 p.m., the defendant called his girlfriend, Victoria Salas. After arriving at the apartment, Salas attempted to revive the victim and called 911. At approximately 8:51
“The defendant raised the issue of self-defense at trial. The defense was premised on the defendant’s version of the fight. The defendant testified that after he had asked the victim to repay him in the apartment, the victim became verbally aggressive and pulled out the screwdriver and threatened him. The victim then stabbed the defendant in the chest, and a struggle ensued. The defendant managed to disarm the victim, and they continued to struggle. Eventually, the victim grabbed the knife. The defendant managed to grab the victim’s wrists, and, at some point, the knife went into the victim’s body, ending the struggle.”
On appeal to the Appellate Court, the defendant claimed that the trial court’s instructions were improper because the trial court had failed to submit to the jury the factual question of whether the defendant had used deadly or nondeadly force during his struggle with the victim prior to the stabbing. State v. Singleton, supra, 97 Conn. App. 687. The Appellate Court agreed, concluding that “[t]he defendant testified that he [had] grabbed the victim’s wrists and that during this physical encounter, the knife ended up wounding the victim. We cannot conclude, as a matter of law, that such actions constituted deadly physical force. The defendant was entitled to have the jury, rather than the court, make that factual determination. . . . Simply put, the jury did not have the opportunity to consider the factual issue of whether the defendant used deadly or nondeadly physical force. ” (Citation omitted.) Id., 696. The Appellate Court further observed that, “[h]ad the jury been instructed to determine whether the defendant used nondeadly force, it could have found that the defendant’s grabbing of the victim’s wrists and the ensuing struggle constituted an appropriate level of force to repel the victim. The option never was afforded to the defendant. . . . [T]he improper instructions [thus] prejudiced the defendant by making it easier for the state to disprove the claim of self-defense.” Id., 697. The Appellate Court also concluded that the evidence was not “so overwhelming as
I
The state claims that the Appellate Court improperly reversed the defendant’s conviction on the ground that the jury should have been instructed to consider the issue of nondeadly force. The state contends that there was no dispute that the defendant inflicted the fatal stab wound with the knife and that, once the jury determined that he had done so intentionally, all that was left to decide regarding his claim of self-defense was whether his actions were justified, thereby rendering irrelevant the issue of whether he had used deadly or nondeadly force during the struggle that preceded the stabbing. The defendant responds that the only intentional force he used was when he fought with the victim over the knife and that the actual stabbing was an unintended consequence of the altercation. Accordingly, he argues that the jury, in considering his claim of self-defense, was required to resolve the factual question of whether he used deadly or nondeadly force during the struggle. The defendant contends that the resolution of this factual question was crucial because it affected the state’s burden of disproving his claim of self-defense by making it easier to refute a claim of self-defense predicated on the use of deadly rather than nondeadly force. We agree with the state.
We begin our analysis with the standard of review. “A fundamental element of due process is the right of a defendant charged with a crime to establish a defense. . . . State v. Adams, 225 Conn. 270, 283, 623 A.2d 42 (1993). An improper instruction on a defense, like an improper instruction on an element of an offense, is of constitutional dimension. . . . [T]he standard of review to be applied to the defendant’s constitutional claim is whether it is reasonably possible that the jury
General Statutes § 53a-19 (a) provides in relevant part: “[A] person is justified in using reasonable physical force upon another person to defend himself . . . 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.”
“Our statutes distinguish between deadly and non-deadly force used in self-defense. See General Statutes § 53a-19. Additionally, [this court] has recognized that when instructing a juiy on self-defense under § 53a-19, there is a distinction between deadly and nondeadly force. See, e.g., State v. Whitford, 260 Conn. 610, 631-32, 799 A.2d 1034 (2002); see also J. Pellegrino, Connecticut Selected Jury Instructions: Criminal (3d Ed. 2001) §§ [2.39 through 2.40], pp. 110-23. The state may defeat a defendant’s claim of self-defense involving deadly physical force by proving, beyond a reasonable doubt, any of the following: (1) the defendant did not reasonably believe that the victim was using or about to use deadly physical force or inflicting or about to inflict great bodily harm; or (2) the defendant knew that he could avoid the necessity of using deadly physical force with complete safety by retreating,
Before addressing the merits, we note that a claim of self-defense is a justification defense. “A justification defense represents a legal acknowledgment that the harm caused by otherwise criminal conduct is, under special justifying circumstances, outweighed by the need to avoid an even greater harm or to further a greater societal interest. 1 P. Robinson, Criminal Law Defenses (1984) § 24 (a), p. 83. [Thus], in the case of self-defense, [s]ociety’s interest in the right to bodily integrity, when combined with the physical harm threatened [by an aggressor], outweighs the normal prohibition against the physical iryury needed to deter such
“Justified conduct is subject to neither condemnation nor punishment because it does not, under the circumstances, violate the prohibition of the law, and indeed may be desired and encouraged. P. Robinson, supra, 82 Colum. L. Rev. 245. Thus, conduct that is found to be justified is, under the circumstances, not criminal. See State v. Yanz, 74 Conn. 177, 186, 50 A. 37 (1901) (Hamersley, J., dissenting) (killing in self-defense is not a crime); State v. Scheele, 57 Conn. 307, 314, 18 A. 256 (1889) (reasonable exercise of the right [of self-defense is] justifiable and not a crime at all); Morris v. Platt, 32 Conn. 75, 83 (1864) (no man is liable in a civil suit or criminal prosecution for an injury lawfully committed in self-defense upon an actual assailant); see also Thomas v. Leeke, 725 F.2d 246, 249-50 n.2 (4th Cir.) (Rooted in the Anglo-American tradition is the belief that a killing in self-defense is not a crime. . . . [I]t is elementary and fundamental to our jurisprudence that killing or wounding in self-defense is simply no crime at all . . . .), cert. denied, 469 U.S. 870, 105 S. Ct. 218, 83 L. Ed. 2d 148 (1984); Conn. Gen. Stat. Ann. § 53a-16 (West 2001), comment of the commission to revise the criminal statutes (self-defense statute state [s] [a rule] of law under which the use of force is justified and thus not criminal).” (Emphasis added; internal quotation marks omitted.) State v. Montanez, 277 Conn. 735, 752-53, 894 A.2d 928 (2006).
The defendant’s argument on appeal is consistent with his testimony at trial that he did not know that the victim had been wounded by the knife, even when the victim suddenly stopped struggling and staggered over to the bed. In fact, the defendant testified that he thought that the victim “was kidding” after he ceased fighting and sat down on the bed, and that it was only after the victim rolled off the bed and onto the floor that the defendant saw a bloodstain on the front of the victim’s sweater and discovered the stab wound. The defendant also makes no claim that, even if the jury found that he intentionally had stabbed the victim, he acted in self-defense. Indeed, he contends that his claim differs from that of an accused claiming self-defense who acknowledges intentionally firing a gun or intentionally stabbing the victim but who maintains that it was necessary to do so in self-defense. Instead, the defendant repeatedly emphasizes that the stabbing in this case was “unintended,” or that it “happened unintentionally” during his “intentional and justified self-defense struggle with [the victim] over the knife” and, thus, did not involve any criminal conduct. Consequently, his claim is more properly viewed as a claim of accident, or failure of proof, which raises the entirely different question of whether he intended to commit the crime, not whether he was justified in committing it.
A claim of accident, pursuant to which the defendant asserts that the state failed to prove the intent element of a criminal offense, does not require a separate jury instruction because the court’s instruction on the intent required to commit the underlying crime is sufficient in such circumstances. See State v. Schultz, 100 Conn. App. 709, 716, 921 A.2d 595 (trial court’s denial of defendant’s request to charge on accident or unintended consequences not improper because court instructed jury on element of intent), cert. denied, 282 Conn. 926, 926 A.2d 668 (2007). We nevertheless consider whether the trial court improperly failed to instruct the jury to decide whether the defendant used deadly or nondeadly force when the state agreed with the defendant that he presented sufficient evidence to warrant a self-defense instruction and the trial court concluded that he was entitled to have one. See, e.g., State v. Miller, 55 Conn. App. 298, 300-301, 739 A.2d 1264 (1999) (defendant
The state claims that the trial court’s instructions on self-defense were proper because, once the jury found that the defendant had the requisite intent to commit the charged offense, it necessarily would have rejected his claim of accident, or unintended consequences, thus, completely removing from the jury’s consideration the issue of whether the defendant used deadly or non-deadly force during the preceding struggle. We agree.
The defendant’s and the Appellate Court’s focus on the struggle preceding the stabbing is improper in this case. Once the jury found that the state had met its burden of proving beyond a reasonable doubt that the defendant intended to cause the victim serious physical injury and had caused his death by stabbing him with the knife, there was no disputed factual issue that required the juiy to determine whether the defendant had used deadly or nondeadly physical force during the struggle. The defendant’s intentional use of force during the straggle had no bearing on the ultimate question of whether he was guilty of murder or manslaughter in the first degree because both offenses were predicated on the fact that the defendant intentionally had stabbed the victim.
The trial court’s failure to instruct the jury on non-deadly force otherwise was not improper. As we previously explained, the court repeatedly instructed the jury that it must decide whether the defendant was justified in using deadly physical force to defend himself. See footnote 10 of this opinion. “Deadly physical force” is defined in General Statutes § 53a-3 (5) as “physical force which can be reasonably expected to cause death or serious physical injury . . . .’’In using the term “deadly physical force,” the trial court was describing what the jury would have found as to the second element of the crime of murder or first degree manslaughter prior to considering the defendant’s claim of self-defense, namely, that he had caused the death of the victim by stabbing him with the knife, an instrument that clearly can cause the harm contemplated by the statutory definition of “deadly physical force.” Thus, an instruction directing the jury to decide whether the defendant had used nondeadly physical force in committing the crime more than likely would have been confusing because it would have suggested, incorrectly, that the victim’s death might have been caused by something other than the knife or the stabbing. Accordingly, we conclude that the trial court’s instructions on deadly physical force, when read in conjunction with its instructions on causation, were not improper.
The defendant essentially concedes this point in arguing, with respect to his first alternative ground for affirmance, that the victim’s alleged attack on him with a screwdriver and a knife constituted the use of deadly force because “there is no question that intentionally stabbing someone with a screwdriver is the use of deadly physical force, as is then coming at that person
II
The defendant also claims that the Appellate Court’s judgment may be affirmed on the alternative ground that the trial court improperly had instructed the jury on the initial aggressor exception to the law of self-defense. He specifically claims that the instructions failed to make clear that (1) a person cannot be considered an initial aggressor on the basis of words alone, and (2) a person who uses nondeadly force as the initial aggressor may be justified in using deadly force in response to an unjustified escalation from nondeadly to deadly force by the victim of the attack. The state responds that the court’s instructions, when considered in the context of the testimony at trial, “did not have the effect of directing the jury to conclude” that the defendant was the initial aggressor or that he unlawfully escalated the level of violence from nondeadly to deadly force.
The defendant acknowledges that his claims are unpreserved because he did not file a request to charge on the initial aggressor exception and did not object to the jury instructions on self-defense when they were given. He therefore seeks review under State v. Golding, 213 Conn. 233, 239-40, 567 A.2d 823 (1989). “Under Golding, a defendant can prevail on an unpreserved
We conclude that the defendant’s claims are reviewable under Golding because the record is adequate and the claim of an improper jury instruction is of constitutional magnitude. See part I of this opinion. We further conclude, however, that the defendant cannot prevail on his claims because there was no possibility that the jury was misled by the trial court’s instructions, and, therefore, no constitutional violation clearly existed that deprived him of a fair trial. We address each claim in turn.
A
The defendant first claims that the Appellate Court’s judgment should be affirmed on the ground that the trial court improperly failed to instruct that a person cannot be deemed the initial aggressor as a matter of law on the basis of words alone and that the qualifying act must be physical rather than verbal. He claims that such an instruction was necessary because the court’s instructions suggested that a person could be deemed
The following additional facts are relevant to our resolution of this claim. During closing argument, the prosecutor told the jury that “[t]he initial aggressor is the person who first acts in such a manner . . . that creates a reasonable belief in another person’s mind that physical force is about to be used upon that other person.” The prosecutor then argued: “Do we have a situation like that? Do we have an initial action that caused — that was threatening [and] that caused fear in [the victim]? You owe me money, I’ve got you in my apartment. You’ve seen the [diagram depicting the respective positions of the victim and the defendant in the defendant’s apartment at the time of the altercation] .... [The defendant is] blocking [the victim’s] way out of the apartment, isn’t he? And [the defendant] says, ‘I’m going to fuck you up,’ and he starts moving toward [the victim].”
Thereafter, defense counsel argued: “Initial aggressor? [The defendant] says, ‘I’m going to fuck you up,’ and he goes toward [the victim], the [victim] pulls a screwdriver, and [the defendant] immediately backs up and puts his hands up. Now, [the victim is] the aggressor and he gets stabbed. And they grapple, and [the defen
The trial court subsequently instructed the jury in relevant part: “The initial aggressor is the person who first acts in such a manner that creates a reasonable belief in another person’s mind that physical force is about to be used upon that other person. The first person to use physical force is not necessarily the initial aggressor.”
General Statutes § 53a-19 (c) provides in relevant part: “[A] person is not justified in using physical force when ... (2) he is the initial aggressor . . . .’’In State v. Jimenez, supra, 228 Conn. 340-41, we stated that “[i]t is not the law . . . that the person who first uses physical force is necessarily the initial aggressor under § 53a-19 (c) (2). ... To attach such a meaning to § 53a-19 (c) (2) would run counter to the plain language of § 53a-19 (a), which states in [relevant] part that ‘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.’ ” (Citations omitted; emphasis in original.)
“Read according to its plain language, and as a whole, doubtlessly § 53a-19 contemplates that a person may respond with physical force to a reasonably perceived threat of physical force without becoming the initial aggressor and forfeiting the defense of self-defense. Otherwise, in order to avoid being labeled the aggressor,
During closing argument, the prosecutor did not argue that the defendant should be considered the initial aggressor on the basis of words alone, as the defendant contends. In discussing whether the defendant was the initial aggressor, the prosecutor referred to a diagram of the defendant’s apartment and reminded the jurors that the defendant had threatened the victim by blocking his egress, by telling him, “I’ll fuck you up,” and by advancing toward him. The prosecutor thus argued that the defendant was the initial aggressor not simply because of what he had said to the victim but also because of his physical conduct. Accordingly, we conclude that, to the extent that the defendant claims that the trial court improperly instructed the jury because the court failed to clarify or correct the mistaken impression conveyed by the prosecutor’s closing argument that the defendant was the initial aggressor on the basis of his words alone, his claim must fail because the prosecutor made no such argument, and, accordingly, there was no misunderstanding to correct.
We also conclude that the trial court’s instructions that “[t]he initial aggressor is the person who first acts in such a manner that creates a reasonable belief in another person’s mind that physical force is about to be used upon that other person” and that “[t]he first person to use physical force is not necessarily the initial aggressor” were entirely consistent with the law and thus were proper. The instructions did not advise or imply that a person could be considered the initial aggressor on the basis of words alone. In addition, nei
B
The defendant also claims that the trial court’s instructions were improper because they failed to make clear that the initial aggressor using nondeadly force who is met with deadly force by the victim may be justified in using deadly force to repel the victim.
General Statutes § 53a-19 (c) provides in relevant part: “[A] person is not justified in using physical force when ... (2) he is the initial aggressor, except that his use of physical force upon another person under such circumstances is justifiable if he withdraws from the encounter and effectively communicates to such other person his intent to do so, but such other person notwithstanding continues or threatens the use of physical force . . . .”
The language of the statute is plain and unambiguous, and provides that the initial aggressor is justified in using physical force only if he withdraws from the encounter and certain other conditions are satisfied. It does not provide, or suggest, that an initial aggressor who uses nondeadly force is justified in using deadly force to repel the victim’s unlawful escalation of force to the deadly level.
It is well established that “we cannot accomplish a result that is contrary to the intent of the legislature as expressed in the [statute’s] plain language. ... As we
Examining the trial court’s instructions in light of the statutory language, we conclude that the court followed the law and properly advised the jury on the initial aggressor exception and the circumstances under which an initial aggressor is justified in using physical force against the victim. Accordingly, we reject the defendant’s first alternative ground for affirmance.
Ill
The defendant next argues that the Appellate Court’s judgment may be affirmed on the alternative ground that the trial court improperly instructed the jury on manslaughter in the first degree by stating that it could find the defendant not guilty on that charge only if the state had failed to prove “each” element of the offense rather than “any” element of the offense. The state replies that, although the instruction did not follow the statutory language precisely, the defendant’s claim should be rejected because the instruction as a whole regarding the state’s burden of proof did not mislead the jury. We agree with the state.
The following additional facts are relevant to our resolution of this claim. The trial court instructed on manslaughter in the first degree as follows: “A person is guilty of intentional manslaughter in the first degree when, with intent to cause serious physical injury to another person, he causes the death of such person.
“In order to prove the defendant guilty of intentional manslaughter in the first degree, the state has the burden to prove beyond a reasonable doubt [that], one, the defendant had the specific intent to cause serious physical injury to a person, and, two, acting with that specific intent, the defendant caused the death of [the victim] by stabbing him with a knife, and, three, the defendant was not justified in using deadly physical force.”
The court then gave specific instructions on the meaning of “intent” and “serious physical injury,” and asked the jury to recall the court’s prior instructions on justification for using deadly physical force. The court then continued: “Bearing in mind the instructions [that] I have given you regarding intent, the elements of the crime of intentional manslaughter in the first degree and justification, in order to prove the defendant guilty of the crime of intentional manslaughter in the first degree, the state must prove beyond a reasonable
“If you find [that] the state has proven beyond a reasonable doubt each of these three elements of intentional manslaughter in the first degree, you shall find the defendant guilty of intentional manslaughter in the first degree. In that event, you will deliberate no more, and your deliberations are completed.
“If you find [that] the state has failed to prove beyond a reasonable doubt each of these three elements of intentional manslaughter in the first degree, you shall find the defendant not guilty of intentional manslaughter in the first degree. In that event, you will deliberate no more, and your deliberations are completed.” (Emphasis added.)
After the court gave its instructions, the prosecutor noted that the court should have referred to “any” element of the offense in the last part of the instruction on finding the defendant not guilty, but the court replied that it believed the instruction was sufficient as given. Defense counsel did not submit a request to charge on manslaughter in the first degree, raised no objection to the instructions that were given, and referred to the instructions as “[s]hort and sweet, just like I like it.” Thereafter, the court reinstructed the jury in the same manner in response to the jury’s request for complete reinstructions, at which time defense counsel again raised no objection.
It is well established that a defendant “is entitled to have the jury correctly and adequately instructed on the pertinent principles of substantive law.” (Internal quotation marks omitted.) States. Ortiz, 252 Conn. 533,
We conclude that, although the court improperly instructed that the jury should find the defendant not guilty if the state failed to prove “each,” instead of “any,” element of manslaughter in the first degree, the instructions as a whole were not misleading. The court first named the three elements that the state was required to prove for the jury to find the defendant guilty in light of his claim of self-defense, namely, intent, causation and the unjustified use of deadly physical force. The court next described each of the elements in detail. It then summarized the three elements and
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to affirm the judgment of the trial court.
In this opinion NORCOTT and VERTEFEUILLE, Js., concurred.
The defendant was charged with murder under General Statutes § 53a-54 (a), but the trial court also instructed the jury on the lesser included offense of manslaughter in the first degree under General Statutes § 53a-55 (a), of which the defendant was found guilty.
General Statutes § 53a-54a provides in relevant part: “(a) A person is guilty of murder when, with intent to cause the death of another person, he causes the death of such person . . .
General Statutes § 53a-55 provides in relevant part: “(a) A person is guilty of manslaughter in the first degree when: (1) With intent to cause serious physical injury to another person, he causes the death of such person . . . .”
Practice Book § 84-11 provides in relevant part: “(a) Upon the granting of certification, the appellee may present for review alternative grounds upon which the judgment may be affirmed provided those grounds were raised and briefed in the appellate court. . . .” In this case, the defendant briefed the relevant issues in the Appellate Court. Accordingly, they are properly before this court.
“The victim had three puncture wounds on the back of his head that appeared to have been caused by the screwdriver. The victim also had a nonfatal stab wound on his back.” State v. Singleton, supra, 97 Conn. App. 681 n.3.
“[The] state medical examiner . . . testified that the victim could not have survived more than ten minutes after receiving this wound.” State v. Singleton, supra, 97 Conn. App. 681 n.4.
“The state argued that the wound was self-inflicted to support a claim of self-defense. In the alternative, the state contended that even if the victim had stabbed the defendant with the screwdriver, the forensic evidence indicated that this had occurred after the defendant had stabbed the victim.” State v. Singleton, supra, 97 Conn. App. 682 n.5.
In his testimony at trial, the defendant denied any intent to stab the victim and claimed that he was uncertain how and exactly at what point the wound was inflicted.
General Statutes § 53a-19 (a) provides in relevant part: “[A] person is justified in using reasonable physical force upon another person to defend himself. . . 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.”
The state proposed the following instructions based on General Statutes § 53a-19: “The defendant claims that his use of deadly physical force was justified as self-defense. Now, that requires that I explain to you the applicable rules of law on the use of force in self-defense. Self-defense is a legal defense to the use of force which otherwise would be criminal.
“A person is justified in using reasonable physical force upon another person to defend himself from what he reasonably believes to be the use or imminent use of physical force [by another]. He may use such degree of force which he reasonably believes to be necessary for such purpose. He may only use deadly physical force if he reasonably believes that the other person is (1) using or about to use deadly physical force, or (2) inflicting or about to inflict great bodily harm.
“A person is not justified in using physical force, however, when (1) with intent to cause physical injury or death to another person, he provokes the use of physical force by the other person, or (2) he is the initial aggressor . . . [unless] he has withdrawn from the initial encounter and communicated that withdrawal to the other person, who then continues or threatens the further use of physical force.” (Internal quotation marks omitted.)
The state also proposed instructions on self-defense that included the subjective-objective test for determining whether the defendant had a reasonable belief that he had to use deadly force to repel the victim’s attack, and the state’s burden of proof with respect to the defendant’s theory of self-defense.
The defendant’s request to charge included the following proposed instructions: “A person is justified in the use of reasonable physical force upon someone when he reasonably believes that such force is necessary to [protect] another from use, or impending use, of physical force by another. . . .
“You must find the [defendant not guilty on the grounds of justification unless you find that the state has proven to you, beyond [a] reasonable doubt, any one of the following elements: [f]irst, that the [defendant did not believe that he was in imminent danger of injury by another, and that the use of force was not necessary to protect himself; or that the [defendant did not have reasonable grounds for that kind of a belief; or that the force he used was unreasonable; or . . . that he was the initial aggressor. If the state has proven any one or more of those elements beyond a reasonable doubt, then the [defendant was not justified. Otherwise, he was justified.
“A [defendant claiming justification of self-defense of others is permitted to use a dangerous instrumentality in two broad circumstances. He may justifiably use a dangerous instrumentality only if he reasonably believed that the other person was either using, or about to use, a dangerous instrumentality, or inflicting, or about to inflict, great bodily harm. Our statutes define dangerous instrumentality force as physical force that can be reasonably anticipated or expected to cause serious physical injury. Great bodily harm has been defined as physical damage to the body, which is remarkable in magnitude or in degree.
“The degree of force used must be reasonable, but dangerous instrumentality may be used to counter a perceived dangerous instrumentality.” (Citation omitted.)
The trial court instructed the jury as follows: “Justification is the legal term for self-defense. Whenever I use the words justified or justification, I am referring to the concept of self-defense.
“Self-defense is a means by which the law justifies the use of force that would otherwise be illegal. Once self-defense is raised, the state must disprove the [defense] beyond a reasonable doubt.
“The defendant claims [that] he acted in self-defense. In claiming that he acted in self-defense, the defendant is claiming that his use of deadly physical force was justified.
“ ‘Deadly physical force’ means physical force which can be reasonably expected to cause death or serious physical injury. ‘Physical injury’ means impairment of physical condition or pain. ‘Serious physical injury’ means
“Although the defendant raised the defense of justification, the state has the burden to prove beyond a reasonable doubt that the defendant was not justified in using deadly physical force.
“There are two circumstances under which a person is not justified in using deadly physical force. If the state proves beyond a reasonable doubt any one of these circumstances, you shall find that the defendant was not justified in using deadly physical force.
“Under the first circumstance, a person is not justified in using deadly physical force when, at the time he uses deadly physical force, he does not reasonably believe [that] the other person is about to use deadly physical force against him or about to inflict great bodily harm to him.
“In deciding whether or not the state has proved beyond a reasonable doubt that the defendant was not justified in using deadly physical force, you will first focus on the defendant. You first focus on what he, in fact, believed at the time he used deadly physical force. Then you focus on whether the defendant’s belief was reasonable under all the circumstances that existed when he used deadly physical force.
“Self-defense requires the jury to measure the justifiability of the defendant’s actions based on what the defendant reasonably believed under the circumstances presented in this case and on the basis of what the defendant reasonably perceived the circumstances to be.
“The defendant’s belief must have been reasonable and not irrational or unreasonable under the circumstances; that is, would a reasonable person in the defendant’s circumstances have reached that belief? It is both a question of what his belief was and whether or not it was reasonable.
“The act of [the victim] leading to the defendant’s use of deadly physical force need not be an actual threat or assault. The test is not what the other person actually intended but whether the other person’s act caused the defendant to reasonably believe was his intention. In other words, the danger need not have been actual or real.
“In judging the danger to himself, however, the defendant is not required to act with infallible judgment. Ordinarily, 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 impossible to make an actual threat when none, in fact, existed. However, the defendant’s belief of danger must be reasonable, honest and sincere. Apparent danger with the knowledge that no real danger exists is not an excuse for using any force.
“If you find [that] the state has proved beyond a reasonable doubt that the defendant did not, in fact, believe [that the victim] was using or about to use deadly physical force against him or was inflicting or about to inflict grave bodily harm to him, the defendant’s self-defense claim must fail. If, however, you find that the defendant, in fact, believed that [the victim] was
“If you find that the defendant’s belief was reasonable from the perspective of a reasonable person in the defendant’s circumstances, you must then decide whether the defendant reasonably believed that deadly physical force as opposed to a lesser degree of force was necessary to repel such attack.
“Determining the defendant’s belief regarding the necessary degree of force requires that you, again, make two determinations. First, you must decide whether, on the basis of all the evidence presented . . . the defendant, in fact, believed that he needed to use deadly physical force as opposed to some lesser degree of force in order to repel the attack. If you decide [that] the defendant did not, in fact, believe [that] he needed to use deadly physical force to repel the attack, your inquiry ends, and the defendant’s self-defense claim must fail. If, however, you find [that] the defendant, in fact, did believe that the use of deadly physical force was necessary, you must then decide whether that belief was reasonable under the circumstances; that is, would a reasonable person in the defendant’s circumstances have reached that belief?
“Under the second circumstance, a person is not justified in using deadly physical force if he is the initial aggressor and does not withdraw from the encounter. The initial aggressor is the person who first acts in such a manner that creates a reasonable belief in another person’s mind that physical force is about to be used upon that other person. The first person to use physical force is not necessarily the initial aggressor.
“Before an initial aggressor can use any physical force, the initial aggressor must withdraw or abandon the conflict in such a way that the fact of withdrawal is perceived by his opponent so that opponent is aware that there is no longer any danger from the original aggression.
“If you find [that] the state has proved beyond a reasonable doubt that the defendant was the initial aggressor and [that] the defendant did not effectively withdraw from the encounter or abandon it in such a way that [the victim] knew he was no longer in any danger from the defendant, you shall then find [that] the defendant was not justified in using deadly physical force.
“Bearing in mind the instructions [that] I have given you regarding justification, the state has the burden to prove beyond a reasonable doubt under the first circumstance [that], one, the defendant did not, in fact, believe that he was in imminent danger of death or great bodily harm; or, two, the defendant did not have a reasonable basis for his belief; or, three, the defendant did not, in fact, believe he needed to use deadly physical force to repel the attack; or, four, the defendant did not have a reasonable basis for his belief that he needed to use deadly physical force to repel the attack.
“Retreat is not required if the defendant is in his or her dwelling, or in his or her place of work, and was not the initial aggressor, or is a peace officer or assisting a peace officer in the performance of the officer’s duties.
The dissent disagrees with our conclusion that the defendant does not seek justification for otherwise criminal conduct and asserts that “the defendant’s theory of defense is predicated, in part, on the claim that he did, in fact, engage in conduct that otherwise would have been criminal, namely, grabbing the victim’s wrist in an effort to take the knife away from him” because “seizing the victim’s wrist would have constituted a criminal assault against the victim if the defendant had not reasonably believed that it was necessary to engage in that conduct to defend himself against the victim’s attack.” Footnote 6 of the dissenting opinion. The dissent, however, misses the crucial point that the term “criminal conduct” in the phrase “justification for otherwise criminal conduct”; State v. Montanez, supra, 277 Conn. 752; means charged conduct. Neither assault nor reckless manslaughter was charged in this case. Accordingly, a jury instruction that the defendant was justified in using nondeadly force against the victim based on such a theory would have been improper.
In State v. Solomon, 103 Conn. App. 530, 535 n.1, 930 A.2d 716 (2007), the Appellate Court made a similar observation with respect to a claim of sell-defense by the defendant in that case: “Contrary to the defendant’s
The state correctly notes that Connecticut considers accident and self-defense separate and inherently inconsistent claims, although a defendant may raise them as alternative theories. Shabazz v. State, 259 Conn. 811, 816, 792 A.2d 797 (2002) (defendant raised separate theories of self-defense and accident when he testified that he stabbed victim in sell-defense and that he stabbed victim accidentally as they tussled on ground); State v. Shabazz, 246 Conn. 746, 763, 719 A.2d 440 (1998) (same), cert. denied, 525 U.S. 1179, 119 S. Ct. 1116, 143 L. Ed. 2d 111 (1999); State v. Schultz, supra, 100 Conn. App. 717 (defendant raised separate claims of self-defense and accident); State v. Miller, supra, 55 Conn. App. 301 (defendant allowed to raise “inconsistent” claims of “sell-defense” and “unintentional or accidental shooting” when he and victim allegedly struggled over gun pulled out by victim); see also Mathews v. United States, 485 U.S. 58, 64, 108 S. Ct. 883, 99 L. Ed. 2d 54 (1988) (“state cases support the proposition that a homicide defendant may be entitled to an instruction on . . . [inconsistent claims of] accident and self-defense”). The defendant, however, disregards both legal concepts. On the one hand, he refers to his claim as one of self-defense but disavows the element of intent normally associated with a justification defense. On the other hand, he argues that the victim’s death was an accident, or an unintended consequence of their struggle, but asks the jury to consider the degree of force that he used in the struggle instead of focusing squarely on the issue of intent. As we indicated in our discussion in part I of this opinion, we reject both approaches because neither is legally correct.
For similar reasons, the dissent’s assertion that the trial court should have instructed the jury that it could consider whether the stabbing was accidental under a theory of self-defense reflects a misunderstanding of the theory of self-defense, the charges against the defendant and the defendant’s requested jury instructions. Because a theory of accident implicates the element of intent, it needs no special instruction in addition to one on the concept of intent. See State v. Schultz, supra, 100 Conn. App. 716. Moreover, the defendant characterized his requested instruction on self-defense as a justification instruction, which, unlike an instruction on intent, permits the jury to con
“What a man’s intention has been is, very largely, a matter of inference. No witness can be expected to come here and testify that he looked into another person’s mind and saw therein contained a certain intention. A jury can determine what a person’s intention was at any given time by determining what that person’s conduct was, what the circumstances were surrounding that conduct, and any statements made by that person and, from those, infer what his intention was.
“An intent may be inferred from circumstantial evidence provided such inference is reasonable and is warranted from the facts you find proven.
“Motive is not an element of the crime charged. The state is not required to prove what motive, if any, was behind the commission of a crime. Even if motive is shown, the state must still prove beyond a reasonable doubt each of the elements of a crime charged. Proof of motive or lack of proof of motive may be relevant if you find it to be so through your determination of whether the state has proven the guilt of the defendant.
“You may consider the presence or absence of motive together with all the other evidence in reaching your verdict and give it such weight which you decide is reasonable.” (Emphasis added.)
In advising the jury to consider the defendant’s conduct, the circumstances surrounding his conduct, any statements that he may have made concerning the incident and his possible motive, or lack thereof, for stabbing the victim, the trial court was, in effect, directing the jury to weigh the defendant’s testimony that the stabbing was the unintended consequence of his struggle with the victim, which did not require consideration of whether the defendant had used deadly or nondeadly force.
The instructions on the elements of causation and self-defense were identical for both murder and manslaughter in the first degree.
For this reason, we also find inapposite the cases that the Appellate Court cited; see State v. Singleton, supra, 97 Conn. App. 692-95; in concluding that the trial court improperly instructed the jury on the use of deadly physical force during the struggle. See State v. Whitford, supra, 260 Conn. 631-34; State v. Wayne, 60 Conn. App. 761, 764-66, 760 A.2d 1265 (2000);
The defendant argues, and the dissent agrees, that “the [trial] court flatly told the jurors that the defendant had used deadly physical force . . . even before telling them that they had to decide something about the defendant’s intention when he used such deadly force. By so doing, the trial court not only improperly took from the jurors the disputed factual issue of whether the defendant used nondeadly or deadly force, but also improperly influenced the jurors’ consideration of the defendant’s intention by telling them as a matter of law that the defendant had used deadly force and then [by] improperly allowing them to infer [that] he intended to use that degree of force . . . .” We disagree.
As we previously explained, the trial court’s failure to instruct the jury on nondeadly force was not improper. With respect to the instructions on justification and intent, we note that, before the court instructed the jury on justification, it referred to the elements of the crimes charged, stating as follows: “Almost every crime is made up of several essential elements. What the essential elements of the crimes here are, I’ll explain to you in a moment. For the present, it is enough for me to say that, before a jury can return a verdict of guilty of a crime, the state must have proved every essential element of that crime beyond a reasonable doubt.” The court then proceeded to give lengthy instructions on the credibility of witnesses, consciousness of guilt, and justification. Thereafter, in instructing on the elements of the relevant crimes, the court stated several times that the jury must decide, with respect to the charge of murder and the lesser offense of manslaughter in the first degree, first, that the defendant had the requisite intent, second, that, acting with the requisite intent, he caused the victim’s death, and, third, that he was not justified in acting as he did. See part HI of this opinion. Accordingly, there is no merit to the claim that the court’s instructions on justification improperly influenced the jury’s consideration of intent because the trial court’s repeated instructions regarding the order in which the jury was to decide the elements of the crimes ensured that it would not consider justification prior to considering the elements of intent and causation. See State v. Wallace, 290 Conn. 261, 276, 962 A.2d 781 (2009)
Defense counsel asked the court to give the following instruction on the use of force by the initial aggressor, which omitted the language that the defendant now requests: “A person is not justified in using physical force when, with the intent to cause physical injury to another person, he provokes the use of physical force by that person. However, if the [defendant was the initial aggressor, his use of physical force upon another is justifiable under such circumstances, if he withdraws from the encounter and effectively communicates to the other person his intent to withdraw, but the other person, notwithstanding, continues the struggle, or threatens the use of physical force. The degree of force used must be reasonable, but [a] dangerous instrumentality may be used to counter a perceived dangerous instrumentality. And when actual or apparent . . . danger from harm has ended, then the right to use that force also ends.”
The trial court gave a similar instruction: “[A] person is not justified in using deadly physical force if he is the initial aggressor and does not withdraw from the encounter. The initial aggressor is the person who first acts in such a manner that creates a reasonable belief in another person’s mind that physical force is about to be used upon that other person. The first person to use physical force is not necessarily the initial aggressor.
“Before an initial aggressor can use any physical force, the initial aggressor must withdraw or abandon the conflict in such a way that the fact of
“If you find [that] the state has proved beyond a reasonable doubt that the defendant was the initial aggressor and [that] the defendant did not effectively withdraw from the encounter or abandon it in such a way that [the victim] knew he was no longer in any danger from the defendant, you shall then find [that] the defendant was not justified in using deadly physical force.
“Bearing in mind the instructions [that] I have given you regarding justification, the state has the burden to prove beyond a reasonable doubt . . . [that] the defendant was the initial aggressor and [that] the defendant did not effectively withdraw from the encounter or effectively abandon it so that [the victim] was aware that there was no longer any danger to him.”
Dissenting Opinion
joins, dissenting. I agree with the defendant, Ronald M. Singleton, that the Appellate Court correctly concluded that the trial court had violated his constitutional right to present a defense by failing to instruct the jury on the defendant’s primary theory of defense. See State v. Singleton, 97 Conn. App. 679, 680, 696-97, 905 A.2d 725 (2006). I also agree with the defendant and the Appellate Court that the instructional impropriety constituted harmful error requiring a new trial. Id., 697-98. Accordingly, I respectfully dissent.
The defendant raised a claim of self-defense predicated on his version of how the victim was killed. In particular, the defendant sought an instruction on the
Upon the granting of certification to appeal, the state contends that the Appellate Court improperly concluded that the trial court was required to instruct the jury, in accordance with the defendant’s request, on his claimed use of nondeadly force in self-defense. The majority agrees with the state, concluding that “the trial court correctly instructed that the defendant had used deadly physical force in defending himself against the victim because his claim of self-defense required a jury determination as to whether he was justified in killing the victim with a knife, thus making his theoretical use of nondeadly force during the preceding struggle irrelevant.” I disagree with the conclusion of the majority, including its characterization of the defendant’s claimed use of nondeadly force as “theoretical . . . .”
Before explaining my disagreement with the majority, I note that certain well established principles govern this court’s analysis of the issue presented by this appeal. “A fundamental element of due process is the right of a defendant charged with a crime to establish a defense.” (Internal quotation marks omitted.) State v. Davis, 261 Conn. 553, 573, 804 A.2d 781 (2002); see
With respect to the adequacy of the instructions, “[t]he test of a court’s charge is not whether it is as accurate upon legal principles as the opinions of a court of last resort but whether it fairly presents the case to the jury in such a way that injustice is not done to either party under the established rules of law. . . . Thus, we must determine whether the charge as a whole presents the case to the jury so that no injustice will be done. . . . [The] [j]ury instructions need not be exhaustive, perfect, or technically accurate. . . . Nevertheless, the trial court must correctly adapt the law to the case in question and must provide the jury with sufficient guidance in reaching a correct verdict. ... In determining whether the trial court’s instructions meet this standard, we review the jury charge in the context of the factual issues raised [in each case].” (Citations omitted; internal quotation marks omitted.) Daley v. Aetna Life & Casualty Co., 249 Conn. 766, 786, 734 A.2d 112 (1999). It therefore has been stated that, “[t]o pass constitutional muster, jury instructions must be correct in law, adapted to the issues in the case and
I now turn to the reason for my disagreement with the majority, which stems primarily from the fact that the trial court, in instructing the jury, repeatedly explained, in clear and unequivocal language, that the defendant’s sole claim was that he had, in fact, used deadly physical force against the victim, that is, he had intentionally stabbed the victim, but that he was justified in doing so. As I have indicated, however, that was not the defendant’s primary claim. Indeed, it was not the claim that the defendant raised in his trial testimony. At trial, the defendant steadfastly maintained that he had used nondeadly force in attempting to wrest the knife away from the victim, that he was justified in using such force, and that the victim accidentally was stabbed to death during the ensuing altercation. The trial court, however, never instructed the jury on this primary theory of defense, that is, that the victim was killed accidentally when the defendant justifiably used nondeadly force in defending himself against what he reasonably believed was the victim’s imminent knife attack against him. Instead, the trial court repeatedly asserted in its jury instructions that the defendant’s claim was predicated on his contention that his use of deadly force was justified. By instructing the jury in this maimer, the trial court effectively removed the defendant’s principal defense from the jury’s consideration.
“ ‘Deadly physical force’ means physical force which can be reasonably expected to cause death or serious physical injury. . . . ‘Serious physical injury’ means physical injury which creates a substantial risk of death, or which causes serious disfigurement, serious impairment of health or serious loss or impairment of any bodily organ.” (Emphasis added.) The court further explained that, “[although the defendant raised the defense of justification, the state has the burden to prove beyond a reasonable doubt that the defendant was not justified in using deadly physical force.” (Emphasis added.)
Thereafter, and before instructing the jury on what the state was required to prove to establish the elements of the crime of intentional first degree manslaughter, the trial court repeatedly underscored for the jury that the defendant affirmatively was asserting that he had used deadly physical force against the victim in self-
Following these instructions on the defendant’s use of deadly physical force in self-defense — instructions that comprised six full pages of transcript — the trial court finally explained the elements of the crime of intentional manslaughter. In doing so, however, the court again expressly repeated the state’s burden of disproving the defendant’s claim that he justifiably had used deadly force against the victim. Thus, the court instructed the jury that, “[i]n order to prove the defendant guilty of intentional manslaughter in the first degree, the state has the burden to prove beyond a reasonable doubt [that], one, the defendant had the specific intent to cause serious physical injury to a person, and, two, acting with that specific intent, the defendant caused the death of [the victim] by stabbing him with a knife, and, three, the defendant was not justified in using deadly physical force.” By this point in the instructions, the jury already had been instructed repeatedly that the defendant himself was claiming that he had used deadly force against the victim by stabbing him with the knife, but that his use of such force was justified. In other words, the court effectively had
The majority contends that the defendant’s real claim is one of accident, and that such a claim does not warrant a special instruction. According to the majority, a defense theory of accident is adequately covered by the court’s instructions on intent. It may be true that it is not always necessary for a court to instruct the jury expressly on a defendant’s claim of accident because such a theory generally will be explained adequately by the court’s instructions on intent. That certainly is not the case here, however, because, as I previously explained in detail, by the time the trial court instructed the jury on the element of intent, the jury already had been apprised, on numerous occasions, of the defendant’s own contention that he did indeed engage in conduct intended to cause the defendant to suffer serious physical injury, but that he was justified in doing so. Consequently, for purposes of the present case, it is manifestly unreasonable to presume that the trial court’s instructions on intent were sufficient to provide the jury with a fair and understandable explanation of
It therefore is unfair for the majority to assert that the defendant’s primary theory of defense was adequately addressed by the trial court’s instructions on the element of intent. Without question, the trial court’s repeated instructions concerning the defendant’s claim that he intentionally had used deadly physical force against the victim made it clear to the jury that the defendant was conceding the elements of intentional manslaughter, but that his use of deadly force was justified. In light of these instructions — and in light of the court’s complete failure to instruct the jury on the theory of defense raised by the defendant’s testimony at trial — it cannot reasonably be maintained that the court’s charge on intent was sufficient to guide the jury as to the defendant’s claim concerning the manner in which the victim had been killed.
Although the defendant’s request to charge contained a proposed instruction on the use of deadly physical force, it is not clear why the defendant sought such a charge in light of his testimony explaining that he had used only nondeadly force in attempting to disarm the victim. In any event, because the defendant sought such an instruction, and defense counsel did not object to the instruction when given, the trial court cannot be faulted for charging the jury on the use of deadly force. As I explain more fully hereinafter, the issue presented by this case is not whether the trial court improperly instructed the jury on deadly force but, rather, whether the court improperly failed to instruct the jury on the use of nondeadly force and, if so, whether the court’s instructions on the defendant’s claimed use of deadly force compounded the harm resulting from that impropriety.
The trial court’s charge on self-defense, in which the court explains when the use of deadly force may be justified but does not explain the use of nondeadly force, is set forth at footnote 10 of the majority opinion.
General Statutes § 53a-55 provides in relevant part: “(a) A person is guilty of manslaughter in the first degree when: (1) With intent to cause serious physical injury to another person, he causes the death of such person . . . .”
To reiterate, that was not the defendant’s sole claim, or even his principal claim. Most importantly, it was not the claim that the defendant raised on the basis of his own trial testimony. As I previously discussed, the defendant testified that he was justified in engaging the victim physically — that is, he was justified in using nondeadly force against the victim — in an effort to take the knife away from the victim as the victim approached him. The court’s failure to instruct the jury on the defendant’s primary theory of defense, as the defendant had requested, was improper, and undoubtedly was confusing to the jury in light of the defendant’s testimony that his use of force was limited to nondeadly force.
The majority asserts that there is no merit to the defendant’s claim that the trial court’s instructions on the justified use of deadly force, without more, “improperly influenced the jury’s consideration of intent because the trial court’s repeated instructions regarding the order in which the jury was to decide the elements of the crimes ensured that it would not consider justification prior to considering the elements of intent and causation.” Footnote 17 of the majority opinion. I disagree that the court’s enumeration of the three elements that the state was required to prove, namely, intent, causation and lack of justification, was sufficient to inform the jury that it could not predicate a finding of intent on the defendant’s own acknowledgement that he had used deadly physical force against the victim. In the absence of such an instruction, the jury was free to conclude that the defendant had formed the intent necessary to commit the crime of intentional
The majority asserts that the defendant’s contention that he was justified in using nondeadly force is not a legitimate claim of self-defense because,
I note that the majority views claims of justification and accident as inconsistent. As the Appellate Court correctly observed; see State v. Singleton, supra, 97 Conn. App. 697 n.17; those claims are not necessarily inconsistent, and they do not conflict in the present case. On the contrary, they are fully compatible with one another. Under the defendant’s theory, he
In addition to asserting that the trial court’s instructions on intent were adequate to inform the jury of the defendant’s principal theory of defense, the majority contends that the defendant’s testimony provided a satisfactory basis on which the jury could find that the victim was killed accidentally after the defendant had used nondeadly force in attempting to disarm the victim. I disagree with the majority that the defendant’s testimony excuses the trial court’s failure to instruct the jury on the defendant’s theory of accident because a defendant is constitutionally entitled both to present his or her defense and to have the court instruct the jury as to the legal basis on which that defense is founded. See, e.g., State v. Lynch, supra, 287 Conn. 470 (defendant is constitutionally entitled to “a theory of defense instruction”). As I have explained, in the present case, the court failed to provide the jury with such an instruction.
Because I would uphold the Appellate Court’s reversal of the defendant’s conviction, I need not address the defendant’s alternative grounds for affirming the Appellate Court’s judgment. See, e.g., Sterns & Wheeler, LLC v. Kowalsky Bros., Inc., 289 Conn. 1, 7 n.9, 955 A.2d 538 (2008).
Reference
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