Opinion ID: 1278622
Heading Depth: 3
Heading Rank: 2

Heading: The Rational Basis Evidentiary Standard

Text: Leinweber continues to be the core case in our lesser-included offense jurisprudence. As we currently apply the test first articulated in Leinweber, when evaluating whether to give a lesser-included offense instruction, trial courts must determine whether 1) the lesser offense is included in the charged offense; 2) the evidence provides a rational basis for acquitting the defendant of the offense charged; and 3) the evidence provides a rational basis for convicting the defendant of the lesser-included offense. Stiles v. State, 664 N.W.2d 315, 319 (Minn.2003) (citing Bellcourt v. State, 390 N.W.2d 269, 273 (Minn.1986); Leinweber, 303 Minn. at 421-22, 228 N.W.2d at 125-26). In applying this test, Minnesota courts have struggled to determine what, precisely, the phrase rational basis means. We have never directly addressed the subject, and a review of our case law provides mixed guidance regarding the quantity and quality of evidence required to satisfy the rational basis standard. Some cases have stated or implied that a lesser-included offense instruction is not warranted when there is no evidence adduced to support acquitting of the greater charge and convicting of the lesser. See, e.g., State v. Merrill, 428 N.W.2d 361, 370 (Minn.1988) (stating that when expert testimony supported an inference of intent and no evidence suggests the death was negligent or accidental, no rational basis existed for a jury to acquit of intentional murder and convict of unintentional felony murder); State v. Koop, 380 N.W.2d 493, 495 (Minn.1986) (stating that the record is devoid of evidence showing the killing occurred in the heat of passion); State v. Murphy, 380 N.W.2d 766, 772 (Minn.1986) (stating record contained no proof that defendant engaged only in indecent liberties with victim to rebut uncontroverted evidence that he raped her). We believe that this line of cases  suggesting that a lesser-included offense instruction need not be given if no evidence is adduced to support giving the lesser-included offense instruction  is supported by the reasoning in Leinweber. However, we are concerned that other cases have suggested that trial courts may make witness credibility determinations when deciding whether a lesser-included offense instruction should be given. For example, in State v. Richardson, we affirmed a trial court's refusal to instruct on lesser-included offenses when the defendant's testimony alone supported the lesser instruction but the trial court found the testimony so unworthy of belief in the context of the evidence as a whole that the jury could not rationally have believed it. 332 N.W.2d 912, 913 (Minn.1983). Our concern is that this language improperly suggests that the trial court may evaluate the credibility of the defendant's testimony when determining whether a rational basis exists in the evidence warranting a lesser-included offense instruction. We are also concerned that other cases from our court have suggested that, when determining whether a rational basis exists in the evidence to acquit the defendant of the greater charge and convict him of the lesser, trial courts may not only make credibility determinations, but may also weigh the evidence. For example, in State v. Dukes, the defendant was charged, inter alia, with first-degree felony murder, and the trial court denied Dukes' request for a lesser-included offense instruction on second-degree felony murder. 544 N.W.2d 13, 16 (Minn.1996). Dukes argued that because his accomplice was the actual shooter, and because his accomplice had stated that he fired his weapon merely to scare the victim, the jury had a rational basis to conclude the shooting was unintentional. Id. at 17, 20. We rejected Dukes' argument and affirmed the trial court's refusal to submit a second-degree unintentional felony murder instruction, stating that [w]e believe the evidence of intent was strong enough that the jury could not rationally have acquitted appellant on the first-degree charge. Id. at 20 (emphasis added). Similarly, in State v. Malzac we concluded that because the balance of the evidence indicated that the shooting was intentional  contrary to the defendant's testimony  the trial court did not err in refusing to submit a second-degree manslaughter instruction. 309 Minn. 300, 306-08, 244 N.W.2d 258, 262-63 (1976). The reasoning in Dukes and Malzac improperly suggests that trial courts may weigh the overall balance of the evidence  and consider how strong it is  when deciding whether a rational basis exists in the evidence to acquit of the greater charge and convict of the lesser. We emphasize that both credibility determinations and the weighing of evidence are tasks reserved to the jury. State v. Washington, 521 N.W.2d 35, 42 (Minn.1994) (The weight and credibility to be given disputed evidence are determinations to be made by the jury.); State v. Landa, 642 N.W.2d 720, 725 (Minn.2002) (Weighing the credibility of witnesses is the province of the jury.) In determining whether a lesser-included offense instruction should be given, trial courts must consider only whether a rational basis exists in the evidence to acquit of the greater charge and convict of the lesser  without considering either the strength of the evidence or the credibility of the witnesses. Our system of justice assumes that juries that are properly instructed will weigh the evidence, determine the credibility of witnesses, and reach the appropriate verdict. Indeed, a number of our sister jurisdictions have recognized these principles and require that, in determining whether a rational basis exists to submit a lesser-included offense instruction to the jury, trial courts must look at the evidence in the light most favorable to the party requesting the instruction. See, e.g., State v. Wilburn, 249 Kan. 678, 822 P.2d 609, 612 (1991); People v. Henderson, 41 N.Y.2d 233, 391 N.Y.S.2d 563, 359 N.E.2d 1357, 1360 (1976); State v. Davis, 6 Ohio St.3d 91, 451 N.E.2d 772, 776 (1983); State v. Velarde, 734 P.2d 449, 451 (Utah 1986); State v. Fernandez-Medina, 141 Wash.2d 448, 6 P.3d 1150, 1154 (2000); Warren v. State, 835 P.2d 304, 330-31 (Wyo.1992). The requirement that trial courts look at the evidence in the light most favorable to the party requesting the instruction protects the defendant's right to the presumption of innocence, maintains the state's burden of proving the defendant's guilt, and reserves the responsibility of evaluating the weight and credibility of the evidence for the jury  where it belongs. As the United States Supreme Court stated in Keeble v. United States: [I]f the prosecution has not established beyond a reasonable doubt every element of the offense charged, and if no lesser offense instruction is offered, the jury must, as a theoretical matter, return a verdict of acquittal. But a defendant is entitled to a lesser offense instruction  in this context or any other  precisely because he should not be exposed to the substantial risk that the jury's practice will diverge from theory. Where one of the elements of the offense charged remains in doubt, but the defendant is plainly guilty of some offense, the jury is likely to resolve its doubts in favor of conviction.    [W]hile we have never explicitly held that the Due Process Clause of the Fifth Amendment guarantees the right of a defendant to have the jury instructed on a lesser included offense, it is nevertheless clear that a construction of the [statute in question] to preclude such an instruction would raise difficult constitutional questions. 412 U.S. 205, 212-13, 93 S.Ct. 1993, 36 L.Ed.2d 844 (1973) (emphasis in original). The Supreme Court again addressed the constitutional implications of lesser-included offense instructions in Beck v. Alabama, noting that [w]hile we have never held that a defendant is entitled to a lesser included offense instruction as a matter of due process, the nearly universal acceptance of the rule in both state and federal courts establishes the value to the defendant of this procedural safeguard. 447 U.S. 625, 637, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980). Because we share the Supreme Court's concern that the denial of lesser-included offense instructions may lead a jury to resolve any doubts in favor of conviction, we hold that in evaluating whether a rational basis exists in the evidence for a jury to acquit a defendant of a greater charge and convict of a lesser, trial courts must henceforth view the evidence in the light most favorable to the party requesting the instruction. This rule best serves the presumption of innocence while reserving to the jury its responsibility to credit or discredit the witnesses, to weigh the evidence, and to draw reasonable inferences from it.