Court Opinion

ID: 9661181
Source: CourtListenerOpinion
Date Created: 2023-08-23 22:31:36.296425+00
Date Added: 2024-06-11T18:14:26.060314
License: Public Domain

STEPHENSON, Justice,
dissenting.
I respectfully dissent from the majority opinion. It is my firm conviction that the majority opinion will impose an intolerable burden upon the trial bench in attempting to determine if the circumstances of cases such as this warrant a self-defense instruction. The practical solution to this problem will undoubtedly result in the various trial courts’ giving a self-defense instruction if requested in every case where death resulted during the course of a struggle or altercation. Absurdities will result as I will suggest later in this dissent.
This dissent is primarily confined to a situation, such as that presented here, where the defense is accident and there are no third-party witnesses.
*670A considerable body of law has built up in this jurisdiction on the problem of giving a self-defense instruction where defendant claims accidental killing. I have this feeling, reading Gatliff and the other cases, that somewhere along the way this court has equated self-defense with manslaughter in adhering to the principle of giving the whole law of the case; for instance, the majority opinion states, “no evidence . . . of a struggle, or other circumstances from which a jury could infer defendant was under attack.” In all of this, it is my opinion that the court has glossed over what I consider to be the essential element, that is the subjective test of self-defense: fear of serious bodily harm or death. Particularly as here in an unwitnessed killing, I do not believe there is a rational basis for a jury to infer self-defense where the defendant herself testified that the killing was accidental and did not testify that she intentionally killed the deceased in fear of serious bodily harm or death at his hands. Accident is involuntary; self-defense is intentional. It is recognized by all that these defenses are contradictory.
Prior to the adoption of the Penal Code, the defendant had the burden of proof on a plea of self-defense. It is true that the Penal Code now places on the Commonwealth the burden of proof once the issue is raised; however, according to the commentary to KRS 500.070, the defendant has “the responsibility of raising the issue” of self-defense. That the Commonwealth now has the burden of proof once the issue is raised as opposed to the prior rule that the defendant had the burden of proof is a principle interesting to lawyers, judges, and legal scholars; but in my view, it is a distinction without a real difference. From my observation of juries, it is unlikely that jurors will recognize this fine distinction and will exercise their judgment without regard to the subtle change in legal principles.
I cannot see where this appellant has fulfilled her responsibility of raising the issue of self-defense. There were no third-party witnesses. Her defense was accident. The struggle testified to justified a manslaughter instruction, nothing else! The only other story she told prior to trial was that her husband shot himself. In my view, it would be clearly unreasonable for a jury to draw an inference that she killed in self-defense.
In State v. Peal, Mo., 463 S.W.2d 840 (1971), Missouri takes the position that both accident and self-defense cannot be submitted to the jury on the defendant’s testimony alone:
“However, by the established law of this state, a defendant alone can not provide the basis for such inconsistent defenses. Either instruction relates to an explanation of the homicide, but they are totally inconsistent. If the shot was fired in self-defense, it required the voluntary act of defendant; conversely, if the shot was accidental it was involuntary. This is not to say, however, that both defenses may not be submitted to a jury under certain circumstances. For example, if a defendant by his own testimony provides the basis for an accident instruction, it must be given; but if to the contrary, testimony of others shows defendant acted in self-defense, he also is entitled to a self-defense instruction. ... In the instant case, defendant relies upon his own testimony as a basis for the inconsistent defenses. This cannot be permitted. His positive testimony that the shooting was accidental and unintentional would clearly negative any possible inference of self-defense based upon other facts appearing in his testimony.”
See also State v. Brown, Mo., 502 S.W.2d 295 (1973), to the same effect.
It appears California does not instruct on inconsistent defenses. In People v. Sedeno, 10 Cal.3d 703, 112 Cal.Rptr. 1, 518 P.2d 913 (1974), Sedeño was convicted of the murder of a police officer. He testified that two police officers were kicking and beating him and his pistol fired accidentally. He *671specifically denied self-defense. The California court said:
“Unlike the rule obliging the court to instruct on lesser included offenses and to give requested instructions whenever there is ‘any evidence deserving of any consideration whatsoever’ (People v. Carmen (1951), 36 Cal.2d 768, 773, 228 P.2d 281, 284), the duty to give instructions, sua sponte, on particular defenses and their relevance to the charged offense arises only if it appears that the defendant is relying on such a defense, or if there is substantial evidence supportive of such a defense and the defense is not inconsistent with the defendant’s theory of the case. Indeed, this limitation on the duty of the trial court is necessary not only because it would be unduly burdensome to require more of trial judges, but also because of the potential prejudice to defendants if instructions were given on defenses inconsistent with the theory relied upon. ‘Appellate insistence upon sua sponte instructions which are inconsistent with defense trial theory or are not clearly demanded by the evidence would hamper defense attorneys and put trial judges under pressure to glean legal theories and winnow the evidence for remotely tenable and sophistical instructions.’ ”
The opinion went on to say:
“There was no evidence, however, that defendant believed his life was endangered and he expressly denied any resistance to the assault and any intent to shoot Officer Klass. He testified that the assault had ended at the time of the shooting, that he shot into the air in order to startle the officers, and he twice specifically disclaimed firing the gun as a means of self-defense.
“It is not error to refuse a request for instructions on self-defense when there is no evidence from which it can be inferred that the defendant feared great bodily harm or death at the hands of the victim, or when the defendant has denied acting in self-defense and claimed the death was accidental.”
It is interesting to note the concern of the California court as to the potential prejudice to defendants. This is an area worth exploring and is not addressed in the Kentucky cases.
In this regard, we find that submitting inconsistent defenses is considered prejudicial in the state of New York.
People v. Wright, 17 A.D.2d 151, 232 N.Y.S.2d 767 (1962), states:
“The defendant’s defense was predicated solely upon the position taken by him that the stabbing had occurred accidentally when the deceased — a rather large woman — pushed him and fell to the floor with him while he had a knife in his hand. That being his defense it was the only one that should have been submitted to the jury for its consideration. However, the charge of the Court instructed the jury as to the elements of the defense of justifiable homicide as well as those of the defense of excusable homicide. Counsel for the defendant excepted to such charge and now urges it as a ground for reversal.
“By such instruction the Court erroneously gave the jurors an issue to consider which was not in the case (cf. People v. Leis, 13 A.D.2d 22, 27, 213 N.Y.S.2d 138, 143). The defenses of justifiable homicide and excusable homicide are mutually exclusive, the former contemplating an intentional act leading to death while the latter negatives such intention. If the jury gave any consideration to the charge of the Court with respect to justifiable homicide it must have found no merit to such defense because of the complete absence of any proof to support it. Such a finding by the jury could very well have had an effect prejudicial to the defendant in its consideration of the defense of excusable homicide.”
It occurs to me that the Commonwealth could extricate itself from the dilemma *672posed by the majority opinion by asking the defendant, as in the California ease, specifically if the killing was in self-defense. The answer is obvious, the defendant is committed to the theory of accident and is compelled to unequivocally deny self-defense. This would indeed create a peculiar situation if the trial court instructed on self-defense. The possibility of prejudice to the defendant should be considered. I can imagine several arguments that would place the defense in an absurd position before the jury. Essentially the same problem is created in the present case, the defense of accidental killing in itself denies self-defense. This illustrates the importance of the subjective test that the defendant believed he was in danger of death or serious bodily harm. Our cases have not addressed this problem, and it is my view that this proposition of giving instructions inconsistent with defendant’s theory of the case where a subjective test is so important should be re-examined. I wonder how the Gatliff court would have viewed the case had Gatliff unequivocally denied self-defense. At the very best, in the unwitnessed killing an instruction inconsistent with the defendant’s theory of the case should not be given.
REED, J., joins in this dissent.