Case Title: State v. Stewart

Citation: 276 N.W.2d 51

Docket Number: 

State: minnesota

Court: Minnesota Supreme Court

Date: 1979-02-09T00:00:00Z

Document:
276 N.W.2d 51 (1979) STATE of Minnesota, Respondent, v. James Dean STEWART, Appellant. No. 47072. Supreme Court of Minnesota. February 9, 1979. *54 C. Paul Jones, Public Defender, Phebe S. Haugen and Jim Morrow, Spec. Asst. Public Defenders, Minneapolis, for appellant. Warren Spannaus, Atty. Gen., Thomas L. Fabel, Deputy Atty. Gen., Jane Prohaska, Sp. Asst. Atty. Gen., St. Paul, John M. Lundblad, County Atty., Jackson, for respondent. Heard before ROGOSHESKE, KELLY, and TODD, JJ., and considered and decided by the court en banc. TODD, Justice. James Stewart was convicted of first-degree murder. He challenges the sufficiency of the evidence to establish premeditation and intent, the failure of the trial court to submit third-degree murder, improper admission of character evidence, improper remarks by the trial court to the panel of prospective jurors, and the shackling of defendant during the trial. We affirm. 1-2. A detailed statement of the crime is not essential to our disposition of the case. We have reviewed the record and find no merit in Stewart's contention that there was insufficient evidence to sustain the finding by the jury of premeditation and intent as essential elements of the first-degree murder conviction. The evidence is overwhelmingly in support of his guilt. Further, we find the trial court properly refused to submit to the jury the lesser included offense of third-degree murder. The evidence indicates that Stewart quickly shot the gun twice at the victim and then stopped shooting. There were no bullets fired at anything or anyone else. The only other person in the vicinity, Stewart's companion, testified she was not concerned for her own safety at the time of the shooting. Thus, there is no rational basis for a conclusion that Stewart's actions were eminently dangerous to more than one person as is required for an instruction of third-degree murder under Minn.St. 609.195(1). See, State v. Hanson, 286 Minn. 317, 325, 176 N.W.2d 607, 614 (1970). See, also, State v. Nesgoda, 261 N.W.2d 356 (Minn.1977). 3. Stewart claims that the trial court erred in two respects concerning evidence of a threatening letter written by defendant to the prosecutor. First, he argues the evidence was inadmissible and therefore the trial court erred by allowing the prosecutor to elicit testimony from him on cross-examination concerning the letter. Second, even if the evidence is admissible, Stewart claims a limiting instruction should have been given by the court sua sponte. With regard to the issue of admissibility, it is reasonably clear from the discussion between the judge and the attorneys that the evidence of the letter was introduced for the purpose of showing defendant's character, although the state argues it also goes to the defendant's credibility. It is a well-established rule that evidence of the defendant's character is not admissible unless defendant has placed his character in issue. E. g., State v. Martin, 256 N.W.2d 85 (Minn.1977) (per curiam); State v. Sharich, 297 Minn. 19, 209 N.W.2d 907 (1973); State v. Gress, 250 Minn. 337, 84 N.W.2d 616 (1957). The record indicates that Stewart did place his character in issue by eliciting detailed testimony from his girlfriend concerning his nonviolent nature. Even if such evidence did not indicate that Stewart placed his character in issue, any error in allowing the evidence of the letter was relatively harmless and therefore not grounds for reversal.[1] The prosecutor's cross-examination of defendant concerning the letter was very innocuous: The county attorney then brought to the jury's attention the fact that appellant had also written a letter of apology: Admission of such testimony was not sufficiently prejudicial to constitute reversible error. Turning to the next issue, defendant claims that even if the evidence was admissible, the trial court erred by not giving a limiting instruction that the evidence could only be used to assess the credibility of the defendant. We reject this argument because we have consistently stated that character evidence may be used to assess guilt as well as credibility. See, State v. Demmings, 310 Minn. 152, 246 N.W.2d 31 (1976); State v. Hutchison, 121 Minn. 405, 141 N.W. 483 (1913). Hence, a limiting instruction would have been improper. 4. At the commencement of jury selection, the prosecution and defense joined in a request that the public be excused from the courtroom during the voir dire examination, and the court so ordered. After four jurors had been selected, the media asked the trial court to lift the ban on the public. This request was refused. The media, under Rule 25.01, Rules of Criminal Procedure, appealed to this court and we ordered the voir dire proceedings open to the public. When the trial court proceedings were recommenced, the trial judge made certain inappropriate remarks to the jury panel, criticizing the decision of this court. No objection was made at the time by defense counsel. The remaining jurors were impaneled. At a post-trial motion, an allegation of error was made, claiming these remarks prejudiced the defendant because of the chilling effect of these remarks upon the jury panel as to their answers to questions put to them at voir dire. We have examined the transcript of the voir dire proceedings and conclude that the remarks of the trial court did not have any adverse effects on the prospective jurors or infringe upon the defendant's right to have a fair trial by impartial jury. However, we do note that comments by the trial judge, criticizing this court's decision, made to prospective jurors during the course of litigation, have no place in our system of jurisprudence. 5. The most difficult issue in this case concerns the shackling of Stewart during voir dire and trial. On October 23, 1975, Stewart was indicted on charges of first-degree murder and aggravated robbery. He pled not guilty. At Stewart's request, the trial court ordered a psychiatric examination pursuant to Rules 20.01 and 20.02, *56 Rules of Criminal Procedure. On November 24, 1975, Stewart was confined at the Minnesota Security Hospital at St. Peter for purposes of the examination. On December 11, 1975, the trial court ordered his continued confinement at St. Peter pending trial because the psychiatric report indicated suicidal tendencies. However, on February 27, 1976, the trial court ordered Stewart's transfer to the county jail because of space limitations at the state hospital. On December 10, 1975, while he was at the St. Peter hospital, Stewart wrote a threatening letter to the county attorney. The letter stated: Subsequently, on December 22, 1975, Stewart sent a letter of apology to Mr. Lundblad. It stated: In late December 1974, Dr. Delmer Eggert and Dr. Roger Sweet, the examining psychiatrists, submitted their reports to the court. Dr. Eggert's report states in part: Dr. Sweet's report stated in part: On April 13, 1975, Stewart appeared in court for trial. Prior to selection of the jury, the following took place upon the record: Also at this time defendant personally apologized to the county attorney and shook hands with him. On April 30, 1975, following selection of a jury, but prior to the submission of any evidence, the following occurred on the record: The reports referred to by the trial court are the medical reports of Dr. Eggert and Dr. Sweet. Pursuant to trial court order, Stewart was handcuffed to the chair during the trial. As a result, he was the only person in the courtroom not to rise each time the judge entered or exited through the many weeks of trial. When defendant testified, his wrists were handcuffed together so that when he took the oath to testify, he had to raise both hands. After being sworn, he was then handcuffed to the witness chair. During the course of the trial, defense counsel did not request any instructions that the jury was not to consider the handcuffing of defendant in assessing the proof or determining guilt or innocence. Nor did the trial court offer such an instruction sua sponte. Following the return of a guilty verdict, Stewart's counsel made various post-trial motions. In its memorandum accompanying the order that denied the motions, the trial court stated in part: On this record, Stewart claims he was denied his constitutional guarantee of a fair trial. He also claims the court should have instructed the jury sua sponte that the restraints should not be considered in assessing the evidence and determining guilt. Turning to defendant's first claim, the fact that the evidence overwhelmingly demonstrates his guilt does not deprive him of a right to a fair trial. See, e. g., State v. Mastrain, 285 Minn. 51, 75, 171 N.W.2d 695, 710 (1969), certiorari denied, 397 U.S. 1049, 90 S. Ct. 1381, 25 L. Ed. 2d 662 (1970). The leading decision concerning permissible restraint of a criminal defendant in the courtroom is Illinois v. Allen, 397 U.S. 337, 90 S. Ct. 1057, 25 L. Ed. 2d 353 (1970). In that case, the defendant was charged with armed robbery and desired to defend himself. Counsel was provided in the courtroom to assist him. The defendant refused to respond to the trial court's direction regarding his conduct. He threatened the judge. The trial court ordered him removed from the courtroom. The trial court advised the defendant he could return to the courtroom if he promised to properly conduct himself. At the close of the state's case, the defendant agreed to abide by the court's directions and was present during the presentation of his defense. He was convicted and the conviction was sustained by the Illinois Supreme Court. Thirteen years later, he sought a writ of habeas corpus from the Federal court based on his removal from the courtroom. The district court declined to issue the writ, but the court of appeals, in a divided opinion, reversed the district court and issued the writ. The United States Supreme Court reversed and denied the writ. In commenting upon the applicable law, the court held that the right of confrontation of witnesses under the Sixth Amendment could be lost by a criminal defendant by consent or misconduct. Further, the court said there are at least three constitutional ways for a trial judge to handle an obstreperous defendant: (1) Bind and gag him, thereby keeping him present; (2) cite him for contempt; and (3) take him out of the courtroom until he promises to conduct himself properly. The Allen decision has been the subject of numerous legal *61 commentaries,[2] many of them critical.[3] The Allen decision seems to grant unrestricted discretionary powers to the trial judge while acknowledging that the constitutional rights of the defendant are being infringed upon. Allen does not set forth in detail the standards to be applied or the circumstances which permit their application. The instant case is particularly illustrative of the problem, since there has been no overt act by the defendant at trial, but medical opinion indicates the probability of overt action. This court has also considered the issue of permissible shackling. In State v. Coursolle, 255 Minn. 384, 389, 97 N.W.2d 472, 476 (1959), our court said: More recently, in State v. Jones, 311 Minn. 176, 247 N.W.2d 427 (1976), this court held that the defendant's conduct had resulted in a waiver of his right to be free of restraints, but we strongly discouraged the use of restraints and stated that the trial court judge should order the least coercive restraints reasonable under the circumstances. See, also, State v. Kluck, 299 Minn. 161, 217 N.W.2d 202 (1974); State v. Klinkert, 271 Minn. 548, 136 N.W.2d 399 (1965). Shackling, therefore, should be virtually a matter of last resort. We also recognize, however, that the threat of contempt procedures in a criminal trial seems to be of little consequence. Moreover, although banishment from the courtroom may be preferable in some instances, the election of the trial judge to use restraints instead of banishment is not in itself grounds for reversal.[4] Finally, we must consider Rule 26.03, subd. 2, Rules of Criminal Procedure: This rule states the general procedures used in ordering restraints. However, we note that it fails to fully express our position that (1) restraints should not be ordered unless eminently necessary, and (2) once this necessity has been shown, only those restraints which are reasonable and least coercive under the circumstances should be imposed. Moreover, it is preferable if the trial court gives a warning and uses sanctions of increasing severity prior to the imposition of restraints. Such warning and sanctions will assist the trial court in assessing eminent necessity for restraints. Conversely, the absence of such warning and sanctions may indicate the trial court did not have a sufficient basis for its decision that restraints were eminently necessary. *62 With these considerations in mind, we turn now to the question of whether the trial court judge properly exercised his discretion by shackling Stewart. Our inquiry is made with close scrutiny, for Stewart's fundamental constitutional rights to a fair trial are being delicately balanced against the necessity of courtroom security and order. We turn first to the basis for the trial court's decision to shackle Stewart. Six reasons were given in the trial court's memorandum to defendant's post-trial motions. We are limited to consider, however, only those grounds appearing on the record at the time of shackling or time of subsequent rulings by the court made in response to motions at trial to have the restraints removed. Although the reasons for shackling need not be based on evidence introduced at trial, the defendant must be given an opportunity to challenge the reasons for shackling. See, United States v. Samuel, 431 F.2d 610 (4th Cir. 1970), affirmed on appeal after remand, 433 F.2d 663 (4 Cir.), certiorari denied, 401 U.S. 946, 91 S. Ct. 964, 28 L. Ed. 2d 229 (1971); State v. Moen, 94 Idaho 477, 491 P.2d 858 (1971); State v. Tolley, 290 N.C. 349, 226 S.E.2d 353 (1976). This is implicit in Rule 26.03, subd. 2(c), which requires the judge to state his reasons for shackling on the record outside the presence of the jury. Within the scope of the rule we have defined, we must limit our consideration of the shackling order to the reports of the psychiatrists, the letters of the defendant, the statements of the defendant made to the court at the time of the original motion, and the reasons articulated by the trial court at the time of the motion to support its denial of the defendant's request to be unshackled. Stewart claims these factors afford no basis for shackling because none concern actual misconduct during the trial. We subscribe to the view that the trial judge need not wait for some event to occur in the courtroom before imposing restraints. See, e. g., Loux v. United States, 389 F.2d 911, 919 (9 Cir. 1968); ABA Standards, Trial By Jury, p. 96 (Approved Draft, 1968). The "immediate necessity" for restraints, required by our Courselle decision, may exist because of inferences from attributes of the defendant or his prior conduct.[5] In State v. Jones, supra, we held that restraint could be imposed on a defendant who threatened courtroom misconduct, even though the actual misconduct did not occur. The trial judge in the instant case was confronted with an extremely difficult decision. The medical reports strongly suggested the possibility of violence at trial. The examining doctors stated that Stewart had homicidal tendencies, placed a low value on the lives of others as well as his own life, made threats during the examination of what he would do in the courtroom, and was dangerous to himself as well as others. Most persuasively, Dr. Eggert stated: "* * * In my opinion, there is a strong likelihood that he will engage in seriously harmful conduct." The defendant had also made a threat on the life of the prosecutor, stating: "* * * I assure you I will kill you if you proceed to take me through Court." The trial court had also properly considered the fact that the nature of the charge was very serious first-degree murder and that Stewart had admitted the shooting. Weighing all of these considerations against the important constitutional *63 right of the defendant to a fair trial, we conclude that the trial court did not abuse its discretion in concluding that Stewart was dangerous and that restraints were necessary to protect the security and order of the courtroom. We arrive at this conclusion even though the trial court did not utilize a warning or increasingly severe sanctions. In arriving at this conclusion, we also have specifically declined to consider the reasons given by the trial judge in support of his order at the posttrial motions, other than those which appeared on the record at the time shackling was ordered. We also conclude that the trial court ordered only those restraints reasonable under the circumstances. Stewart was seated in the courtroom and restrained to his chair before the jury entered. In addition, the restraint generally consisted of one handcuff or shackle, placed in a manner such that defendant was allowed to take notes and converse with his attorney. These restraints were reasonable under the circumstances. With regard to the issue of shackling, Stewart's second claim is that the trial court judge erred in not instructing the jury, sua sponte, that his restraint should not be considered in assessing the proof and determining guilt. We note that under Rule 26.03, subd. 2(c), Rules of Criminal Procedure, the decision to instruct the jury on the use of restraints is left with defense counsel. We believe this to be the better rule since any imposition of a requirement of sua sponte instructions by the trial court transfers the trial strategy from defense counsel to the trial judge. See, Patterson v. Estelle, 494 F.2d 37 (5 Cir.), certiorari denied, 419 U.S. 871, 95 S. Ct. 130, 42 L. Ed. 2d 110 (1974); State v. Cassel, 48 Wis.2d 619, 623, 180 N.W.2d 607, 612 (1970). Since no instruction was requested by defense counsel, there is no error in not instructing the jury as to the consideration of restraints. Affirmed. OTIS, Justice (dissenting). Granted there was medical evidence that this defendant was dangerous and homicidal, the same may be said for the majority of habitual offenders charged with acts of violence. Yet shackling is virtually unheard of where the defendant has committed no overt disruptive act in open court. I cannot subscribe to a rule which permits shackling on such speculative premises as were here assigned. It is inconceivable to me that one unarmed defendant, guarded continuously by one or more deputy sheriffs, poses a serious threat to a courtroom crowded with jurors, court personnel, witnesses, lawyers, and spectators. The effect on the jurors of having the defendant's arms and legs shackled in their presence throughout the trial is tantamount to a judicial declaration that he is a dangerous person who, for the safety of the public, should be confined. It is difficult to imagine greater prejudice to one presumed to be innocent. ROGOSHESKE, Justice (dissenting). I join in the dissent of Mr. Justice Otis. WAHL, J., took no part in the consideration or decision of this case. [1] See, generally, Nordby, The Craft of the Criminal Appeal, 4 Wm. Mitchell L.Rev. 1, 26. [2] Comment, 84 Harv.L.Rev. 90; Note, 56 Minn. L.Rev. 699; Note, N.W.L.Rev. 671; Note, 46 N.Y.U.L.Rev. 120; Comment, 24 Okla.L.Rev. 72. See, also, 38 Tenn.L.Rev. 440; 39 U.Cin.L. Rev. 350; 23 Vand.L.Rev. 431. [3] See, Comment, 84 Harv.L.Rev. 90; Note, 56 Minn.L.Rev. 699; Note, 46 N.Y.U.L.Rev. 136. [4] We note, however, that in State v. Jones, 311 Minn. 176, 185, 247 N.W.2d 427, 432 (1976), the dissenting judge strongly advocated the use of banishment rather than restraints. [5] A good statement of some of the factors which a court might consider in determining the necessity of restraint appears in State v. Tolley, 290 N.C. 349, 368, 226 S.E.2d 353, 368 (1976): "The `material circumstances' which the trial judge may consider in exercising his sound discretion include, inter alia, the seriousness of the present charge against the defendant; defendant's temperament and character; his age and physical attributes; his past record; past escapes or attempted escapes, and evidence of a present plan to escape; threats to harm others or cause a disturbance; self-destruction tendencies; the risk of mob violence or of attempted revenge by others; the possibility of rescue by other offenders still at large; the size and mood of the audience; the nature and physical security of the courtroom; and the adequacy and availability of alternate remedies." Accord, People v. Sullivan, 48 Ill.App.3d 787, 792, 6 Ill.Dec. 462, 466, 362 N.E.2d 1382, 1386 (1977); People v. Boose, 66 Ill. 2d 261, 266, 5 Ill.Dec. 832, 834, 362 N.E. 303, 305 (1977).