Bowen v. State
Bowen v. State
Opinion of the Court
OPINION
delivered the opinion of the Court in which
joined.
Upon the close of evidence at her resisting arrest trial, Lydia Bowen sought a jury instruction on the defense of necessity. The trial judge refused this request. Affirming the trial judge’s refusal, the Court of Appeals held that the self-defense statute, Penal Code section 9.31, demonstrated a legislative purpose to exclude the necessity defense under section 9.22(3). We disagree. Therefore, we reverse and remand.
Factual and Procedural History
Responding to a disturbance call with an advisory of possible weapons present, Deputy Hamilton arrived at Lydia Bowen’s rural home finding Bowen outside and becoming increasingly agitated and belligerent. Hamilton testified that Bowen’s aggression became focused on him. After performing a field-sobriety test on Bowen, he informed both Bowen and her husband that he was arresting them for disorderly conduct and public intoxication. Hamilton further testified at trial that Bowen attempted to pull her arm away and head toward her house when Hamilton was placing the handcuffs on her. With the assis
Bowen’s factual account differs. Bowen testified at trial that Hamilton kicked out her legs in executing the takedown, causing her terrible pain. According to Bowen, with the help of other officers, Hamilton forced her face into the ground and pinned her with his knees. Bowen admitted to struggling because she could not breathe. She also stated she screamed for help and that she was hurt. After restraining her, Bowen further testified that the officers lifted her directly from the ground to her feet using only the handcuffs and her forearms. Bowen felt that her “arm had popped out of the socket” as a result of being raised in that manner. Although admitting to kicking the officer, Bowen contested that it occurred while she was being lifted from the ground, not when being placed in the patrol car. She also contested that the kicking was intended to prevent Hamilton from taking her into custody. She alleged that the kicking was in response to the pain of being lifted in this manner and attempting to regain her balance.
Bowen was charged with resisting arrest, search, or transportation by using force against a peace officer. At the close of evidence, Bowen sought a jury instruction on self-defense and the justification defense of necessity. The trial judge refused to submit the necessity instruction, but did submit the instruction on self-defense. After a jury found Bowen guilty as charged, she was sentenced to pay a fine of $500.
Court of Appeals
The Court of Appeals first found that Bowen had sufficiently admitted the commission of the alleged offense to entitle her to the justification defense instruction.
Analysis
Penal Code section 9.22 states:
Conduct is justified if:
(1) the actor reasonably believed the conduct is necessary to avoid imminent harm;
(2) the desirability and urgency of avoiding the harm clearly outweigh, according to ordinary standards of reasonableness, the harm sought to be prevent*228 ed by the law proscribing the conduct; and
(3) a legislative purpose to exclude the justification claimed for the conduct does not otherwise plainly appear.3
The State argues that the Court of Appeals properly restricted the necessity defense’s application and invites this Court to restrict the availability of the necessity defense according to the circumstances presented in each case. The State suggests the proper analysis begins with the underlying charged offense of resisting arrest defined by section 38.03. The argument continues that the use of force in resisting an arrest is limited by section 9.31, which provides in part:
The use of force to resist an arrest or search is not justified:
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(2) to resist an arrest or search that the actor knows is being made by a peace officer ... even though the arrest or search is unlawful, unless the resistance is lawful under Subsection (c);
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(c) The use of force to resist an arrest or search is justified:
(1) if, before the actor offers any resistance, the peace officer ... uses or attempts to use greater force than necessary to make the arrest or search; and
(2) when and to the degree the actor reasonably believes the force is immediately necessary to protect himself against the peace officer’s ... use or attempted use of greater force than necessary.4
The State contends that “since § 9.31(c) restricts resisting arrest to an officer’s abuse of force then it must restrict resisting arrest, as a whole. And since the underlying offense in this case is resisting arrest then § 9.22 is restricted by § 9.31 as well.” However, precedent and proper statutory construction prevent us from taking such a restrictive view of the necessity justification. This Court has had several opportunities to interpret section 9.22(3) since its enactment in 1973. In each case, we looked to the language of the charged offense to determine whether a legislative purpose plainly excludes the necessity justification.
In Vasquez v. State, we looked to the charged offense’s statutory language.
Most recently, in Spakes v. State, we again utilized a plain-language interpretation of section 9.22 and the statute defining
We begin by noting section 9.22’s plain language indicates that the defense of necessity may be applicable in every case unless specifically excluded by the legislature.
(a)A person commits an offense if he intentionally prevents or obstructs a person he knows is a peace officer or a person acting in a peace officer’s presence and at his direction from effecting an arrest, search, or transportation of the actor or another by using force against the peace officer or another.
(b) It is no defense to prosecution under this section that the arrest or search was unlawful.
(c) Except as provided in Subsection (d), an offense under this section is a Class A misdemeanor.
(d) An offense under this section is a felony of the third degree if the actor uses a deadly weapon to resist the arrest or search.14
Section 38.03 does not limit the necessity defense’s application because a legislative purpose to exclude the defense does not plainly appear in its text. On its face, we cannot glean any clear legislative purpose indicating that the necessity defense is not available.
The State’s argument that the necessity defense’s availability must be viewed in light of section 9.31 must also fail because it ignores that necessity and self-defense are separate defenses.
The Court of Appeals and the State seize upon the issue of whether Bowen knew she was being placed under arrest as a dispositive factor in assessing necessity’s availability. But this reasoning assumes that the necessity defense is controlled by the self-defense statute’s provisions addressing the use of force. Because we have held otherwise, Bowen’s knowledge that she was being placed under arrest is irrelevant to determine whether she was entitled to a necessity instruction as a matter of law.
Conclusion
Because the Court of Appeals held that Bowen sufficiently admitted to committing the offense and raised a necessity issue at trial, Bowen has satisfied the judicially imposed prerequisite to request a necessity instruction.
. Bowen v. State, 117 S.W.3d 291, 297 (Tex.App.-Fort Worth 2003).
. Id. at 298.
. Tex. Pen.Code Ann. § 9.22 (Vernon 2004).
. Tex. Pen.Code Ann. § 9.31(b) — (c) (Vernon 2004).
. 830 S.W.2d 948 (Tex.Crim.App. 1992).
. Vasquez, 830 S.W.2d at 950 (citing Texas Penal Code § 46.05).
. Johnson v. State, 650 S.W.2d 414, 416 (Tex.Crim.App. 1983), overruled on other grounds, Boget v. State, 74 S.W.3d 23 (Tex.Crim.App. 2002).
. 552 S.W.2d 827 (Tex.Crim.App. 1977).
. Johnson, 650 S.W.2d at 416.
. Spakes v. State, 913 S.W.2d 597 (Tex.Crim.App. 1996).
. Id. at 598.
. Id.
. Id.
. Tex. Pen.Code Ann. § 38.03 (Vernon 2004).
. See Boget, 74 S.W.3d at 31; see also Johnson v. State, 650 S.W.2d 414, 416 (Tex.Crim.App. 1983).
. Hamel v. State, 916 S.W.2d 491, 493 (Tex.Crim.App. 1996); Thomas v. State, 678 S.W.2d 82, 84 (Tex.Crim.App. 1984).
. See Young v. State, 991 S.W.2d 835, 838 (Tex.Crim.App. 1999).
Dissenting Opinion
dissenting.
By its nature, the “necessity” defense is a catch-all provision designed to afford a defense in situations where a defense is clearly warranted but is not afforded by any other statutory provision. I would hold that a necessity defense is not raised if the evidence presented merely raises an issue under another statutory defense. Otherwise, entitlement to an instruction for certain defenses such as self-defense and defense of a third person would always also entail entitlement to an instruction on the defense of necessity. Submitting wholly redundant defenses would not aid the truth-finding function of the trial and risks confusing the jury.
A corollary of excluding the defense of necessity when it is wholly redundant of another defense is that the defense of necessity should be excluded when it is based solely upon less evidence than required for raising another defense. One of the elements of the defense of necessity is that “a legislative purpose to exclude the justification claimed for the conduct does not otherwise plainly appear.”
Turning to the present case, we see that appellant received an instruction on self-defense. In the resisting arrest context, the self-defense statute requires among other things a showing that, before the actor offered any resistance, the officer used or attempted to use “greater force than necessary to make the arrest” and the actor reasonably believed her response was immediately necessary to protect her
. Tex. Pen.Code § 9.22(3).
. Tex. Pen.Code § 9.31(c):
The use of force to resist an arrest or search is justified:
(1) if, before the actor offers any resistance, the peace officer (or person acting at his direction) uses or attempts to use greater force than necessary to make the arrest or search; and
(2) when and to the degree the actor reasonably believes the force is immediately necessary to protect himself against the peace officer’s (or other person’s) use or attempted use of greater force than necessary.
Dissenting Opinion
dissenting.
I agree with the majority that the statutory defenses of self-defense under Texas Penal Code, section 9.31, and necessity under section 9.22 are not mutually exclusive in the context of a resisting arrest prosecution. However, I do not think that the court of appeals said that they were.
In this case, the evidence concerning precisely how Officer Hamilton arrested appellant was hotly contested. In deciding whether the trial court erred in submitting instructions on a statutory defense, courts look to whether there is any evidence that raises all of the elements of that defense.
Appellant testified that she knew Officer Hamilton was attempting to arrest her, but she also testified that
* Officer Hamilton, in doing so, “kicked out her legs” when he executed a “takedown”; then he pushed her face into the dirt;
* She had not used any force against him before he kicked her legs out from under her;
* His kicking her legs and forcing her into the dirt caused her great pain;
* She struggled because she could not breathe with her face in the dirt;
* Officer Hamilton (and another officer) then lifted her up from the ground holding only the handcuffs and her forearms;
* The officers’ use of force in lifting her up in this manner made her arm pop out of the socket;
*232 ⅜ She kicked at Officer Hamilton to make him stop lifting her up and holding her in this painful manner.
The thrust of all of appellant’s testimony was that she did not use any force against Officer Hamilton until he used unnecessary, excessive, and very painful force against her. He started it by using unreasonable physical force to effect her arrest and she reacted only to protect herself. This testimony clearly raises an issue of self-defense under subsection 9.31(c).
The use of force against another is not justified ... to resist an arrest or search that the actor knows is being made by a police officer, ... unless the resistance is justified under Subsection (c).
Thus, the legislature has, in no uncertain terms, stated that one is not justified in using force to resist an arrest unless the “resistance” is justified under subsection (c). Subsection (c) is the section appellant invoked with her testimony and that is the section under which the able trial judge instructed the jury.
Both the trial judge and the court of appeals were very careful to limit their denial of a necessity instruction because of appellant’s specific testimony. The court of appeals noted that
the trial court stated that [it] did not feel that the facts of the case raised the defense of necessity and that self-defense was the appropriate defensive submission under the evidence involving force against a police officer.4
The court of appeals upheld the trial court’s assessment of the evidence and stated that it did “not believe that this admission [that she kicked the officer without intent to resist arrest] entitles her to submission of the necessity defense under the facts of this case.”
Appellant’s position — with which the majority agrees — is that “I used force against Officer Hamilton’s use of excessive force not to resist arrest, but simply to stop the pain. Therefore, I am entitled to an instruction on necessity.” This argument proves too much. “Stopping the pain” or “preventing the injury” from the officer’s use of excessive force is the very purpose of the statutory justification of self-defense to resisting arrest.
*233 Accepting Appellant’s argument would allow any person to obtain submission of a necessity defense based upon a struggle involving use of force against a police officer when that person knows they are being placed under arrest, by later claiming he or she was only trying to avoid being hurt.7
That is precisely the practical, though perhaps unintended, effect of the majority’s holding in this case. And it is precisely for that reason that I cannot agree with the majority. The Legislature explicitly rejected this position by enacting subsection 9.31(b) which specifically precludes any justification for the use of force in resisting arrest except that justification set out in subsection 9.31(c).
Necessity, on the other hand, is a “choice of evils” defense.
That said, when might a necessity defense apply to a prosecution for resisting arrest? When the defendant intentionally and knowingly resists arrest because he has a higher public duty to perform which cannot be performed if he is arrested: the defendant must stop the passenger-laden train ¡from crashing into the rock on the track; he must save the children from drowning on a raft that is floating down the swollen river; he must get his wife to the hospital before she has their first child in the backseat of the car; and so forth.
As Professor LaFave points out
The defenses of self-defense and defense of others are also related to the defense of necessity, justifying intentional homicide or the intentional infliction of bodily injury in cases where it is necessary to save the life of, or to prevent injury to, the defendant or another. It has been said that self-defense and defense of oth*234 ers constitute a part of the law of necessity which has attained relatively fixed rules.13
That is, the statutory defense of self-defense is a codification of a subset of the necessity defense and permits the use of force against another under whatever specific circumstances are set out by the legislature. The Texas Legislature has specified the circumstances under which one may intentionally use force to resist arrest in subsection 9.31(c). And, in subsection 9.31(b), it has explicitly limited the intentional use of force to resist an arrest to only those circumstances set out in subsection (c).
Given these statutory provisions and the evidence in this case, I must agree with the trial court and court of appeals which both held that appellant was not entitled to a separate instruction on the defense of necessity. I, therefore, respectfully dissent.
. See Bowen v. State, 117 S.W.3d 291, 295 (Tex.App.-Fort Worth 2003).
. Thomas v. State, 678 S.W.2d 82, 85 (Tex.Crim.App. 1984) (trial court erred in failing to submit requested charge on defense of necessity). In Thomas, this Court set out the general statement of the law:
It is axiomatic that a defendant is entitled to an affirmative defensive instruction on every issue raised by the evidence regardless of whether it is strong, feeble, unim-peached, or contradicted, and even if the trial court is of the opinion that the testimony is not entitled to belief.
. Subsection 9.31(c) of the Texas Penal Code provides
The use of force to resist an arrest or search is justified:
(1) if, before the actor offers any resistance, the peace officer (or person acting at his direction) uses or attempts to use greater force than necessary to make the arrest or search; and
(2) when and to the degree the actor reasonably believes that force is immediately necessary to protect himself against the peace officer's (or other person’s) use or attempted use of greater force than necessary.
. Id. at 297.
. Appellant also makes a compelling argument concerning the "eggshell” defendant who resists the use of perfectly reasonable, non-excessive force by the police officer because this reasonable force causes this particular defendant great pain although it would not cause a person of ordinary physical fitness pain. She claims that the defense of necessity exists for this situation. It does not. In that situation, the defendant is simply not guilty of a crime because she is not "intentionally” preventing a peace officer from effecting an arrest by using force against the officer. For example, appellant might have testified that Officer Hamilton was using perfectly reasonable force in pulling her arms behind her back to handcuff her. She, however, has horrible bursitis and the mere touching of her arm sent her into paroxysms of pain. She reacted instinctively against this excruciating pain by pulling away, kicking out, thrashing about, spitting, or whatever.
. See generally, Wayne R. LaFave, Substantive Criminal Law § 10.1 (2d ed. 2003).
. Id., § 10.1(a), at 117.
. Id. at 118.
. Professor LaFave sets out numerous examples of the appropriate invocation of the "choice of evils” necessity defense. LaFave, § 10.1(c), at 121-24.
. Tex. Pen.Code § 9.22(2).
. Id., § 10.1(c) at 121. Professor LaFave notes that “when the provision in the criminal code 'deals specifically and comprehensively with the use of force in defense of self, third persons, and premises,' a defendant ‘who is unable to present an effective defense under these specific provisions is precluded from justifying his use of force under the general provision for competing harms.’ ” Id. n. 24 (quoting State v. Crocker, 506 A.2d 209 (Me. 1986)).
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