Opinion ID: 170512
Heading Depth: 1
Heading Rank: 7

Heading: Trial court's refusal to provide instructions re lesser included offenses

Text: In his fifth issue on appeal, Gilson contends that his Eighth and Fourteenth Amendment rights were violated as a result of the trial judge's refusal to instruct his jury on the lesser included offenses of second degree depraved mind murder, and on second degree manslaughter. Aplt. Br. at 84-85. The facts relevant to this contention are as follows. At the conclusion of the first-stage evidence, Gilson requested that the trial court instruct the jury, on what Gilson asserted were the lesser included offenses of murder in the second degree and second degree manslaughter. Tr., Vol. X at 2103. The trial court rejected Gilson's requests. In doing so, the trial court concluded that, with respect to Gilson's request for an instruction on murder in the second degree, there [wa]s no[t] sufficient evidence to establish an element of depraved mind and conduct. . . . Id. With respect to Gilson's request for an instruction on manslaughter, the trial court concluded there [wa]s no evidence of possible negligent conduct. If the State's evidence is believed, the acts described are intentional acts which the jury could find occurred and caused the death of Shane Coffman and, if so, were intentional acts, knowingly done or permitted by the defendant. Id. As a result of the trial court's ruling, the jury was instructed solely on the charge of first degree murder under the two alternative theories alleged by the State, and the jury ultimately returned a verdict of guilty on that charge. a) Clearly established Supreme Court precedent Gilson identifies Beck v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980), as providing the clearly established federal law applicable to this claim. In Beck, the Supreme Court held that the death penalty may not [constitutionally] be imposed under . . . circumstances where the jury was not permitted to consider a verdict of guilt of a lesser included noncapital offense, and when the evidence would have supported such a verdict. . . . 447 U.S. at 627, 100 S.Ct. 2382. The Court explained that when the evidence unquestionably establishes that the defendant is guilty of a serious, violent offense  but leaves some doubt with respect to an element that would justify conviction of a capital offense  the failure to give the jury the `third option' of convicting on a lesser included offense would seem inevitably to enhance the risk of an unwarranted conviction. Id. at 637, 100 S.Ct. 2382. Such a risk, the Court stated, cannot be tolerated in a case in which the defendant's life is at stake. Id. To succeed on a claim under Beck, a state capital defendant seeking federal habeas relief must show that the evidence presented at trial would permit a rational jury to find him guilty of the lesser included offense and acquit him of first-degree murder. Young v. Sirmons, 486 F.3d 655, 670 (10th Cir.2007) (citing Hogan v. Gibson, 197 F.3d 1297, 1307 (10th Cir.1999)). As noted by the dissent, this Court has n[ever] decided whether a question concerning the sufficiency of the evidence to support the giving of a lesser included offense instruction is a matter of law or fact, and therefore reviewable under § 2254(d)(1) or § 2254(d)(2). Boltz v. Mullin, 415 F.3d 1215, 1233 (10th Cir. 2005). Although it is by no means outcome-determinative in this case, we agree with the dissent that it is a mixed question of law and fact and is thus reviewable under § 2254(d)(1). See, e.g., Samu v. Elo, 14 Fed.Appx. 477, 478 (6th Cir.2001) (reviewing question under § 2254(d)(1)); United States v. Abeyta, 27 F.3d 470, 473 (10th Cir.1994) (treating trial court's decision not to give a lesser included offense instruction as a mixed question of law and fact). More specifically, we conclude that a state court's determination of whether the evidence presented at trial was sufficient under the Beck standard to justify a lesser-included instruction is not a finding of historical fact, but rather a legal determination reached after assessing a body of evidence in light of the elements of the alleged lesser-included offense. Under Oklahoma law, all lesser forms of homicide are considered lesser included offenses of first degree murder. Id. (citing Shrum v. State, 991 P.2d 1032, 1036 (Okla.Crim.App.1999)). Thus, both of the offenses cited by Gilson, i.e., second-degree murder and second-degree manslaughter, were and are considered lesser-included offenses of first-degree murder. b) OCCA's rejection of Gilson's Beck claim, Gilson asserted his Beck claim on direct appeal. The OCCA rejected it on the merits: In his ninth assignment of error, [Gilson] contends the trial court erred in failing to instruct the jury on the lesser included offenses of second degree murder and second degree manslaughter. The trial court denied [Gilson]'s requested instructions finding no sufficient evidence to establish an element of depraved mind and conduct to support second degree murder and no evidence of possible negligent conduct to support second degree manslaughter. In a criminal prosecution, the trial court has the duty to correctly instruct the jury on the salient features of the law raised by the evidence without a request by the defendant, (citations omitted). This means that all lesser forms of homicide are necessarily included and instructions on lesser forms of homicide should be administered if they are supported by the evidence, (citation and footnote omitted). In determining the sufficiency of the evidence to support a lesser offense we look at whether the evidence might allow a jury to acquit the defendant of the greater offense and convict him of the lesser. See Hogan v. Gibson, 197 F.3d 1297, 1305 (10th Cir. 1999) citing Beck v. Alabama, 447 U.S. 625, 636, 100 S.Ct. 2382, 2388, 65 L.Ed.2d 392 (1980). Only if there is evidence which tends to negate an element of the greater offense, which would reduce the charge, should instructions on a lesser included offense be given. See Fairchild [v. State ], 998 P.2d [611,] 627 [(Okla.Crim.App.1999)]. See also United States v. Scalf, 708 F.2d 1540, 1546 (10th Cir.1983) (a lesser included offense instruction should not be given unless there is evidence to support a finding that the lesser offense was committed while the greater offense was not.). Murder in the second degree occurs when perpetrated by an act imminently dangerous to another person and evincing a depraved mind, regardless of human life, although without any premeditated design to effect the death of any particular individual. 21 O.S.1991, § 701.8(1). [Gilson] argues, and the State concedes, that when an individual wilfully [sic] or maliciously injures, tortures, or uses unreasonable force on a child there can be no question but that the individual is acting with a depraved mind. [Gilson] and the State also agree that in addition, committing the abuse which results in the death of a child, but without the intent to kill, is imminently dangerous conduct. However, as the State points out, these elements do not negate the element that the victim was a child. By enacting 21 O.S.1991, § 701.7(C), the Legislature clearly intended to make a homicide occurring during the commission of or the permitting of child abuse to be first degree murder. Drew, 771 P.2d at 228. Where child abuse committed in violation of 21 O.S.1991, § 7115, results in the death of the child, the specific homicide provision of 21 O.S. 1991, § 701.7(C), should be used. Fairchild, 998 P.2d at 627. Here, the victim was clearly a child, and [Gilson] has not shown that the greater offense of first degree murder was not committed. Therefore, the evidence did not support an instruction on second degree depraved mind murder. Further, [Gilson] was not entitled to an instruction on second degree depraved mind murder as he has failed to show that under the evidence presented at trial, a rational jury would acquit him of first degree murder and find him guilty of the lesser offense of second degree murder. [Gilson] is entitled to an instruction on second degree murder only if the evidence at trial would allow a jury to rationally conclude that his conduct was not done with the intention of taking the life of an individual. 21 O.S.1991, § 701.8(1). Here the evidence showed that [Gilson] either willfully and intentionally participated in the abuse of Shane or that he knowingly permitted Coffman to abuse Shane to the extent that death resulted. The Coffman children testified [Gilson] acted with Coffman in each instance of abuse inflicted on Shane the day he died. Coffman testified she disciplined Shane that day and that [Gilson] stayed in the other room, except for the two times he attended to the shower doors and the time she saw him exit the bathroom shortly before the victim was found not breathing. In his pre-trial statement, [Gilson] said all he did was spank Shane and put him in the bathtub. This evidence would lead a reasonable jury to conclude that either [Gilson] willfully and intentionally inflicted such abuse to the extent that Shane died as a result or that he did nothing at all. The evidence does not support a finding that [Gilson] merely acted with a depraved mind having no intention of taking the victim's life. As for the offense of second degree manslaughter, to warrant such an instruction evidence must be presented at trial showing the defendant's culpable negligence, [citation omitted]. The evidence here did not show a degree of carelessness amounting to a culpable disregard of the rights and safety of others to warrant an instruction on second degree manslaughter, [citation omitted]. Evidence of [Gilson]'s active participation in the abuse of the victim would not lead a rational jury to acquit him of first degree murder and convict him of second degree manslaughter. Further, this Court has held that a defendant is not entitled to instructions on any lesser included offense when he defends against the charge by proclaiming his innocence. Hooker v. State, 887 P.2d 1351, 1361 (Okl.Cr.1994), cert, denied 516 U.S. 858, 116 S.Ct. 164, 133 L.Ed.2d 106 (1995); Snow v. State, 876 P.2d 291, 297 (Okl.Cr.1994), cert, denied, 513 U.S. 1179, 115 S.Ct. 1165, 130 L.Ed.2d 1120 (1995). [Gilson]'s defense was that he did not commit nor did he know of any abuse to any of the children. He claimed he was asleep on the sofa while Coffman was in the bathroom with Shane. He confessed that his only bad act was hiding the body and lying about Shane's death. Here, the evidence showed either [Gilson]'s wilful [sic] and malicious infliction of or his permitting the infliction of child abuse or it showed he knew nothing about the abuse. Therefore, instructions on second degree murder and second degree manslaughter were not warranted. Accordingly, the trial court did not abuse its discretion in denying the requested instructions. This assignment of error is denied. Gilson I, 8 P.3d at 917-18 (internal paragraph numbers omitted). c) Gilson's challenge to the OCCA's analysis Gilson challenges each of the three rationales offered by the OCCA in rejecting his claim that he was entitled to an instruction on second degree murder. As outlined in greater detail below, we conclude that the final two rationales offered by the OCCA are, indeed, suspect, but that the initial rationale, standing alone, represents a reasonable application of Beck. See 28 U.S.C. § 2254(d)(1). We also conclude that the OCCA reasonably applied Beck in rejecting Gilson's claim that he was entitled to a jury instruction on the lesser included offense of second degree manslaughter. Id. The first rationale offered by the OCCA for rejecting Gilson's request for an instruction on second degree murder was that, even assuming the evidence presented at trial would have allowed a jury to reasonably find the existence of all the elements of second degree murder, the uncontroverted fact that the victim in the case was a child effectively required Gilson to be convicted of first degree murder rather than second degree murder. More specifically, the OCCA noted that the Oklahoma Legislature clearly intended to make a homicide occurring during the commission of or the permitting of child abuse to be first degree murder. Gilson I, 8 P.3d at 917. The only challenge Gilson now asserts to this rationale is that `the inability to negate the element that' the victim was a child should not have barred the inclusion of the jury instruction [on second degree murder], because the party proving the case, the State, conceded the evidence at trial was more than sufficient to support the giving of [such] an instruction. . . . Aplt. Br. at 87-88. This challenge, however, is easily rejected. To begin with, Gilson cites to no cases, and we have found none, that would have bound the OCCA to the State's purported concession as to the sufficiency of the evidence. More importantly, it is apparent that the OCCA's conclusion hinged not on its view of the evidence presented at trial, but instead on its legal conclusion that, under Oklahoma's statutory scheme, an individual guilty of the second degree murder of a child was effectively responsible for having committed, and thus was required to be convicted of, first degree child abuse murder. Stated in terms of Beck, the OCCA effectively concluded, and reasonably so in our view, that Gilson was not entitled to an instruction on second degree murder because, under Oklahoma's statutory scheme, a jury could not rationally have acquitted Gilson of first degree child abuse murder and convicted him of second degree murder. The OCCA's second rationale for affirming the state trial court's decision to reject Gilson's request for a second degree murder instruction was that, in its view, the evidence would lead a reasonable jury to conclude that either [Gilson] willfully and intentionally inflicted such abuse to the extent that Shane died as a result or that he did nothing at all. Gilson I, 8 P.3d at 918. Gilson argues that this represents an unreasonable interpretation of the facts in evidence. Aplt. Br. at 89. In particular, Gilson contends the statement is belied by the jury's divided verdict, and is simply contrary to the evidence presented which, considered as a whole, could support a finding [he] acted with a depraved mind having no intention of taking the victim's life. Id. This is an extremely close question. Although the evidence presented at trial clearly establishes that Gilson was intimately involved in, if not primarily responsible for, the extreme abuse inflicted on Shane prior to his death, a rational jury perhaps could have found that Gilson acted not with the intent to kill Shane, but rather with a depraved mind and without the intention of taking Shane's life. Even assuming this is true, however, the OCCA's initial rationale still holds true, i.e., the jury would have been required under Oklahoma's statutory scheme to find Gilson guilty of first degree child abuse murder rather than second degree murder. Thus, it is unnecessary for us to ultimately decide whether the OCCA's second rationale passes muster under the AEDPA standards. The final rationale offered by the OCCA for rejecting Gilson's claim that he was entitled to an instruction on second degree murder, i.e., that Gilson was not entitled to instructions on any lesser included offenses because he defended against the first-degree murder charge by proclaiming his innocence, has previously been rejected by this court as inconsistent with Beck. See Hooker v. Mullin, 293 F.3d 1232, 1238 (10th Cir.2002); Mitchell v. Gibson, 262 F.3d 1036, 1049-50 (10th Cir.2001). Thus, it must likewise be rejected in this case. As we have noted, however, the OCCA's first rationale is sufficient, standing alone, to render reasonable the OCCA's rejection of Gilson's claim that, under Beck, he was entitled to an instruction on second degree murder. That leaves only Gilson's challenge to the OCCA's conclusion that he was not entitled to a jury instruction on the lesser included offense of second degree manslaughter. The OCCA's conclusion on this issue rested primarily on the rationale that [e]vidence of [Gilson]'s active participation in the abuse of the victim would not lead a rational jury to acquit him of first degree murder and convict him of second degree manslaughter. [11] Gilson I, 8 P.3d at 918. Gilson's only challenge to this rationale is that the jury could have found him guilty of second degree manslaughter if [Bertha] Coffman were believed. . . . Aplt. Br. at 93. More specifically, Gilson argues that [r]easonable jurors could have concluded that evidence of [his] failure to intervene initially when Coffman began the physical abuse of Shane showed he was careless in that he did not exercise ordinary care and caution. Id. at 98. In other words, Gilson argues that, [b]ased on the evidence and testimony, reasonable jurors may have concluded [he] was careless in his failure to intervene to prevent the abuse as it occurred. Id. at 99. Gilson's arguments notwithstanding, we conclude the OCCA's rationale was neither contrary to, nor an unreasonable application of, Beck. Although it is true that Bertha Coffman testified at trial and attempted to downplay Gilson's involvement in the death of Shane, her testimony was riddled with internal inconsistencies [12] , was contrary to virtually all of the other witnesses' testimony, and was likewise contrary to the physical evidence presented by the State. The overwhelming weight of the State's evidence, which we recounted in detail in addressing Gilson's Enmund/Tison claim, established that Gilson was not merely negligent, but rather was intimately involved in the abuse of Shane and, at a minimum, acted with the intent of causing him physical harm. [13] See Ball v. State, 173 P.3d 81, 91 (Okla.Crim.App.2007) (noting that ordinary negligence resulting in death is sufficient to warrant a conviction for second-degree manslaughter. . . .). Thus, reviewing the OCCA's determination under the deferential standard outlined in § 2254(d)(1), we conclude the OCCA reasonably determined that a rational jury could not have convicted Gilson of second degree manslaughter and acquitted him of first degree child abuse murder. In turn, we conclude the OCCA reasonably applied Beck in determining that Gilson was not entitled to an instruction on second degree manslaughter. The dissent argues that a rational jury, relying on Bertha Coffman's trial testimony and, apparently, Gilson's post-arrest statements to police, could have found that Gilson played no part in abusing Shane the day he died and that he [Gilson] was asleep on the couch during the abuse that led to Shane's death. Dissent at 3. There are at least three significant flaws in this reasoning. First, the dissent's analysis affords virtually no deference to the OCCA's assessment of the evidence presented at trial. Rather than examining the evidence presented at trial with an eye toward determining whether the OCCA's determination was reasonable, the dissent appears to review the evidence presented as if this were a direct appeal, and ultimately substitutes its own judgment for that of the OCCA. The second major flaw in the dissent's reasoning is that the testimony of Bertha Coffman does not even remotely begin to account for either the serious injuries sustained by Shane or the cause of his death. According to Coffman's testimony, her physical contact with Shane on the day of his death was limited to spanking or swatting him approximately fifteen times on his bottom and the back of his legs, carrying him to the bathtub, and pressing on his shoulders to force him to sit back down in the tub when he attempted to stand up. Coffman also testified that at one point Shane slipped and fell in the bathtub and hit his head or face on the bathtub faucet. Even assuming the worst, none of these events could have allowed the jury to make any rational findings regarding how Shane sustained the multiple acute fractures found by the medical examiner [14] or, more importantly, how he died. [15] Lastly, even assuming, arguendo, that the jury could rationally have found that Gilson was asleep on the couch while Coffman abused and ultimately killed Shane, then Gilson would have been entitled to an acquittal, not a conviction of second-degree manslaughter. That is, Gilson's conduct would not have risen even to the level of culpable negligence necessary to be convicted of second-degree manslaughter. Indeed, Gilson's trial counsel argued this same factual theory (i.e., Gilson being asleep during the abuse and death) to the jury at the close of the first-stage proceedings and the jury rejected it. Dissent at 9 (discussing first-stage closing arguments of defense counsel).