Opinion Number: 2002-NMSC-007
Filing Date: February 22, 2002
Docket No. 26,743
STATE OF NEW MEXICO,
Plaintiff-Respondent,
v.
FREDERICO GAITAN,
Defendant-Petitioner.
ORIGINAL PROCEEDING ON CERTIORARI
Peggy J. Nelson, District Judge
Phyllis H. Subin, Chief Public Defender
Will O'Connell, Assistant Appellate Defender
Santa Fe, NM
for Petitioner
Patricia A. Madrid, Attorney General
Max Shepherd, Assistant Attorney General
Santa Fe, NM
for Respondent
BACA, Justice.
{1} Defendant, Frederico Gaitan, was convicted of second degree
murder as an accessory under NMSA 1978, § 30-2-1(B) (1994) and NMSA
1978, § 30-1-13 (1972), aggravated assault with a deadly weapon
under NMSA 1978, § 30-3-2(A) (1963), tampering with evidence as an
accessory under NMSA 1978, § 30-22-5 (1963) and Section 30-1-13,
and aggravated battery with a deadly weapon under NMSA 1978, § 30-3-5(C) (1969). Defendant appeals his convictions and raises two
issues on appeal: (1) whether the trial court erred in failing to
instruct the jury on voluntary and involuntary manslaughter; and
(2) whether the trial court erroneously admitted evidence of a
prior bad act. The Court of Appeals affirmed Defendant's
convictions, and we granted his petition for writ of certiorari to
the Court of Appeals. State v. Gaitan, 2001-NMCA-004, ¶ 28, 130
N.M. 103, 18 P.3d 1056. We affirm.
{2} On October 13, 1997, Defendant, Richard Padilla, and Viento
Herrera initiated an altercation with Stephen and Wesley Zotigh that resulted in Stephen's death. On that night, Defendant,
Padilla, and Herrera had been drinking at a party and were driving
to another party when they approached the victim and his cousin,
who were walking home from a convenience store. During the ensuing
altercation, the victim was stabbed four times. He later died as
a result of two of the wounds.
{3} According to Wesley Zotigh's testimony, the three men pulled
up beside him and his cousin and offered them a ride. After they
refused the offer, someone in the car asked them if they were
Indian, what their names were, and if they had any money. Zotigh
stated that he got the feeling something bad was going to happen
after the three men began to giggle inside the car, and he urged
the victim to leave. As the two walked away, Zotigh heard the
engine rev and felt a "little shove" from the victim, pushing him
out of the way. When Zotigh turned around he saw the car hit the
victim, throwing him onto the hood of the car. The victim then got
off the hood, took off his shirt, and approached Defendant, who had
gotten out of his car. Zotigh testified that as Defendant and the
victim pushed and shoved each other, Defendant turned toward the
car and said, "Let's get out the gat," as he gestured to his
friends with both hands. Padilla and Herrera then got out of the
car, and all three men began fighting with the victim. Zotigh
stated that he then heard one of the men say, "Let's go. Let's
go," and the three ran back to the car laughing and drove away. At
that point Zotigh realized the victim had been seriously injured.
{4} Padilla testified that he heard the Defendant say "Get the
gat" at a party the three men attended earlier in the evening. He
stated that Defendant used the words to intimidate people at the
party when they refused to allow Defendant to leave with some of
the beer. Padilla reiterated that the Zotighs did not want a ride
from the three men and had in fact refused their offer. He
testified that he was the first person to get back into the car
after the altercation and that Defendant was the last one back in.
He also stated that after they got back in the car the three men
laughed about what had taken place.
{5} Teresa Padilla, Richard Padilla's mother, testified that
Herrera told her that after the Zotighs started walking away from
the car, Defendant was "acting crazy" and kept asking, "Should I
run the fuckers over?" Herrera apparently responded "Go for it,"
and the Defendant hit the victim with his car.
{6} Vincent Archuleta, another friend of Defendant, testified that
on the night of the stabbing Defendant came to Archuleta's trailer
and asked if he could stay at his house. Defendant told him that
"they had got [sic] in a fight and somebody was stabbed, that they
had stabbed somebody." Archuleta's girlfriend, Isabel Cortez, was
present at Archuleta's trailer that night, and testified that she
too heard Defendant say "We stabbed somebody."
{7} The State also presented testimony from Kevin Silva, who was
incarcerated in the Taos County Detention Center when Defendant was brought in on these charges. He stated that he had known Defendant
since childhood and that they had both been in the Barrios Small
Town gang together. Silva testified that when he asked Defendant
why he was in jail, Defendant told him "We pulled a cap back on an
Indian," and "We had killed an Indian." Defendant further
explained that they had stabbed the victim.
{8} Defendant gave a different version of the events of that
night. According to his testimony, he pulled up beside the two men
in his car, and Herrera, a passenger, asked them if they wanted a
ride. Defendant stated he could not recall why he had pulled over,
although he admitted that the Zotighs "weren't asking for a ride,"
but that they had "pulled over and offered them a ride." After
the Zotighs refused Herrera's offer and continued walking,
Defendant decided he "wanted to mess around with them a little
bit," and he slowly drove up behind them, "revved" his engine, and
stopped "real close" to the victim. Defendant stated that when he
stopped his car, the victim "must of [sic] thought I was going to
hit him or something because I was so close to him. He turned
around and maybe his instinct was to jump, so he jumped on my car
and he got off and took off his shirt." Defendant testified that
after the victim jumped off the hood of the car he came towards
Defendant in an aggressive manner. Defendant thought the victim
was going to attack him, so he got out of his car to apologize and
explain that he was just "playing around." However, as soon as
Defendant exited his vehicle the victim began pushing Defendant
toward the road. Fearing the victim was going to "pound" him,
Defendant told the victim, "I have a gat, leave me alone. I have
a gat." Soon thereafter, Defendant saw Herrera and Padilla get out
of the car and begin fighting with the victim. Contrary to
Padilla's testimony, Defendant stated that he was the first to get
back in the car, and that after Padilla and Herrera got back in he
drove away.
{9} Defendant testified that, as he was driving away, he saw blood
on the victim's face and chest, but thought the victim had a bloody
nose. Herrera then commented that he had blood on his hands, and
Padilla announced that he had stabbed the victim. Defendant also
testified that he did not know Padilla had a knife and did not know
that the victim had been stabbed until after they drove away.
{10} The State charged Defendant with first degree murder as an
accessory. The indictment named as principals either Herrera or
Padilla, or both. At trial, the jury was instructed on second
degree murder as a lesser included offense of first degree murder.
The trial court refused Defendant's tendered instructions on the
lesser included offenses of voluntary and involuntary manslaughter.
Defendant argues that the trial court's failure to tender his
requested instructions to the jury constituted reversible error
because there was a reasonable view of the evidence which could sustain a finding that voluntary manslaughter, or in the
alternative, involuntary manslaughter, was the highest degree of
homicide committed by Defendant. We review this issue de novo.
See State v. Salazar, 1997-NMSC-044, ¶ 49, 123 N.M. 778, 945 P.2d
996 ("The propriety of jury instructions given or denied is a mixed
question of law and fact. Mixed questions of law and fact are
reviewed de novo.").
{11} A defendant is entitled to an instruction on a lesser included
offense when there is "'some view of the evidence pursuant to which
the lesser offense is the highest degree of crime committed, and
that view [is] reasonable.'" State v. Brown, 1998-NMSC-037, ¶ 12,
126 N.M. 338, 969 P.2d 313 (quoting State v. Curley, 1997-NMCA-038,
¶ 5, 123 N.M. 295, 939 P.2d 1103). "Voluntary manslaughter
consists of manslaughter committed upon a sudden quarrel or in the
heat of passion." NMSA 1978, § 30-2-3(A) (1994). The difference
between second degree murder and voluntary manslaughter is that
voluntary manslaughter requires sufficient provocation. Compare
UJI 14-220 NMRA 2002 with UJI 14-210 NMRA 2002. Thus, Defendant
was entitled to an instruction on voluntary manslaughter only if
there was some evidence in the record to support his assertion that
sufficient provocation existed.
{12} Because Defendant was charged as an accessory, and the
principal and accessory may each be convicted for different degrees
of an offense depending on their state of mind, we agree with the
Court of Appeals' determination that we must consider whether
Defendant, rather than Padilla or Herrera, was sufficiently
provoked by the victim. Gaitan, 2001-NMCA-004, ¶¶ 14-15; see State
v. Holden, 85 N.M. 397, 400, 512 P.2d 970, 973 (Ct. App. 1973)
("The fact that [the accessory] was convicted of a different crime
than [the principal] is a permissible result under our accessory
statute."). Applying this approach, the Court of Appeals
determined that Defendant was not entitled to a voluntary
manslaughter instruction because "[e]ven under Defendant's version
of the incident, there is evidence that Defendant brought on
Steven's attack." Gaitan, 2001-NMCA-004, ¶ 17. In reaching this
conclusion the Court relied on the following language from State v.
Manus, 93 N.M. 95, 100, 597 P.2d 280, 285 (1979), overruled in part
by State v. Sells, 98 N.M. 786, 788, 653 P.2d 162, 164: "If the
defendant intentionally caused the victim to do acts which the
defendant could claim provoked him [or her], [the defendant] cannot
kill the victim and claim that he [or she] was provoked. In such
case, the circumstances show that [the defendant] acted with malice
aforethought, and the offense is murder." (Quoted authority
omitted.) We agree with the Court of Appeals.
{13} Defendant argues that the Court of Appeals interpreted this
language too broadly, and that the proper reading of Manus is that
"where the assailed person intentionally provokes an attack so that he can use that attack as an excuse for killing, he is guilty of
murder." We are not persuaded by Defendant's reading of this case.
Rather we conclude that the proper interpretation of this language
is that the law does not permit one who intentionally instigates an
assault on another to then rely on the victim's reasonable response
to that assault as evidence of provocation sufficient to mitigate
the subsequent killing of the victim from murder to manslaughter.
See State v. Munoz, 113 N.M. 489, 491- 92, 827 P.2d 1303, 1305-06
(Ct. App. 1992) ("We recognize that a defendant cannot pose a
threat to the victim and then rely on the victim's response as a
legal provocation."); State v. Durante, 104 N.M. 639, 643, 725 P.2d
839, 843 (Ct. App. 1986) ("Defendant cannot create the provocation
which would reduce murder to manslaughter."); State v. Padilla, 104
N.M. 446, 448, 722 P.2d 697, 699 (Ct. App. 1986) ("As a general
rule, however, there also must be evidence of acts of provocation
by the victim that do not result from intentional acts of
defendant."); State v. Marquez, 96 N.M. 746, 749, 634 P.2d 1298,
1301 (Ct. App. 1981) ("If there was any provocation, it was not
brought about by [the victim] throwing a vase, but by defendant's
illegal entry into [her] home."). "Even in the case where the
defendant kills in response to a violent blow, . . . [the
defendant] may not have [the] homicide reduced to voluntary
manslaughter if [the defendant] by his [or her] own prior conduct
(as by vigorously starting the fracas) was responsible for that
violent blow." 2 Wayne R. LaFave & Austin W. Scott, Jr.,
Substantive Criminal Law, § 7.10(b)(1) (1986). In the present
case, not only did Defendant intentionally and vigorously start the
fracas with an aggravated battery, there was not even a violent
blow by the victim in response. Thus, as the Court of Appeals
determined, even assuming Defendant retreated to his car in fear,
Defendant's own version of the events presents evidence that
Defendant intended to bring on the victim's attack. Defendant
testified that he, Padilla, and Herrera approached the Zotighs in
Defendant's car and Herrera asked them if they wanted a ride.
Defendant explicitly stated that he could not remember why they had
chosen to approach the Zotighs that night, and there was no
evidence that either of the Zotighs provoked Defendant prior to
this incident. After the Zotighs refused their offer, Defendant
decided he "wanted to mess around with them a little bit" so he
slowly drove up behind them, "revved" his engine, and stopped "real
close" to the victim. Defendant also stated that, as a result of
his actions, the victim "must of [sic] thought I was going to hit
him or something because I was so close to him" and that the victim
became very angry. "If one person attacks another who defends
himself with no more force than he is privileged by law to use for
his own protection, there is no problem of provocation. The
assailant is acting without mitigation of any sort and the defender
is fully justified or excused." Rollin M. Perkins & Ronald N.
Boyce, Criminal Law, 89 (3d ed. 1982) (footnotes omitted). Because
Defendant intentionally instigated the assault on the victim, he
cannot now rely on the victim's reasonable response to that assault
as evidence of provocation sufficient to mitigate the subsequent killing of the victim from murder to voluntary manslaughter.
{14} Furthermore, there is no reasonable view of the evidence
supporting sufficient provocation as the mental state underlying
Defendant's role in the killing. "'Sufficient provocation' can be
any action, conduct or circumstances which arouse anger, rage,
fear, sudden resentment, terror or other extreme emotions. The
provocation must be such as would affect the ability to reason and
to cause a temporary loss of self control in an ordinary person of
average disposition." UJI 14-222 NMRA 2002. Under Defendant's
version of the facts, he had no intent for the victim to be killed.
However, Defendant did intentionally threaten the victim and goad
him to respond. He testified that he was "trying to just mess
around with [the victim], . . . put him in some anger and stuff[,
and] . . . get[] him mad or piss[] this young man off." Defendant
stated that he knew his actions warranted an apology to the victim,
and he testified that the victim's anger was understandable,
stating, "he was angry about what happened. And I was guilty about
what happened also." Defendant stated, "I don't blame him for
being angry, either, because I would have been angry myself."
Defendant testified that he "never did attack [the victim]. And
[the victim] actually never really attacked me. If he would have
attacked me, he would have probably left me with my face pretty
swoll [sic] up and stuff. And he just basically just shoved me,
pushed me, that was it." Defendant said that "[t]he only time I
felt threatened was when I thought he was going to beat me up."
From this testimony, it is clear that Defendant did not fear
anything more than a beating by the victim, that the victim was
going to "pound" him and that he may have a swollen face as a
result. See Salazar, 1997-NMSC-044, ¶ 53 (rejecting the
defendant's argument that the victim's actions of "veer[ing] her
car at him and reaching under the seat as if to retrieve a gun"
aroused fear or terror in the defendant because "[o]ther testimony
by the [d]efendant precludes the possibility that he acted out of
provocation and therefore eliminates any reason to instruct on
voluntary manslaughter"). We, therefore, conclude that the
anticipated and, in fact, desired response from the victim did not
arouse sufficient fear, terror, or other extreme emotion "as would
affect [Defendant's] ability to reason and to cause a temporary
loss of self control in an ordinary person of average disposition."
UJI 14-222. Accordingly, the trial court did not err in refusing
to instruct the jury on voluntary manslaughter.
{15} Defendant also claims he was entitled to an involuntary
manslaughter instruction because the evidence supported a
reasonable view that involuntary manslaughter was the highest
degree of homicide to which Defendant was an accessory. Defendant
concedes that the theory argued on appeal is not the theory
expressed in the rejected instruction. However, he argues that the
instruction alerted the trial court to the possibility that the facts could be construed to support such an instruction and that
the instruction was warranted. We do not agree.
{16} The Court of Appeals deemed this issue unpreserved, noting
that "Defendant acknowledges that he failed to preserve the alleged
error for appeal because he failed to request an involuntary
manslaughter instruction at trial." Gaitan, 2001-NMCA-004, ¶ 18.
While it is clear from the record that Defendant requested an
instruction on involuntary manslaughter, we are not persuaded that
this instruction properly preserved the issue for appeal. Rule 5-608(D) NMRA 2002, governing the preservation of error in jury
instructions, states:
[F]or the preservation of error in the charge,
objection to any instruction given must be
sufficient to alert the mind of the court to
the claimed vice therein, or, in case of
failure to instruct on any issue, a correct
written instruction must be tendered before
the jury is instructed.
(Emphasis added.) The purpose of this language is "to allow the
court an opportunity to decide a question whose dimensions are not
open to conjecture or after-the-fact interpretation." Gallegos v.
State, 113 N.M. 339, 341, 825 P.2d 1249, 1251 (1992); see also
State v. Hill, 2001-NMCA-094, ¶ 7, 131 N.M. 195, 34 P.3d 139
(concluding that although the instruction was flawed, defendant's
requested instruction on self-defense was preserved because there
was evidence in the record that the attorneys and the judge
discussed the issue extensively, and that the trial court
understood the type of instruction defendant wanted and should have
modified it to correctly state the law).
{17} Defendant's requested instruction asked the jury to find
involuntary manslaughter if it determined that either Herrera or
Padilla, or both, "stabbed Steven Zotigh with a knife." We do not
believe that the act described in the instruction can be
characterized as anything other than a felonious act, which is
outside the statutory definition of involuntary manslaughter. See
NMSA 1978, § 30-2-3(B) (1994); Salazar, 1997-NMSC-044, ¶ 57
(finding that the act of "'Shooting at Manzanares'" described in
the requested involuntary manslaughter instruction could not be
characterized as anything other than a felonious act and therefore
did not fit within the definition of involuntary manslaughter).
Thus, based on the requested instruction, there was no way for the
trial court to construe the facts to support such an instruction.
Furthermore, there is nothing in the record to indicate that
Defendant offered any other theory at trial which would have
sufficiently alerted the trial court that it needed to modify the
instruction to correctly state the law. As this Court stated in
Salazar, "[i]t is not error for a trial court to refuse
instructions which are inaccurate." 1997-NMSC-044, ¶ 57. We believe the trial court correctly refused the inaccurate
instruction tendered by Defendant. Moreover, even if Defendant had
properly preserved this issue for appellate review, we find no
reasonable view of the evidence that supports involuntary
manslaughter as the highest degree of crime to which Defendant was
an accessory.
{18} Defendant was only entitled to an instruction on involuntary
manslaughter if there was some reasonable view "'of the evidence
pursuant to which the lesser offense is the highest degree of crime
committed.'" Brown, 1998-NMSC-037, ¶ 12 (quoting Curley, 1997-NMCA-038, ¶ 5). "Involuntary manslaughter consists of manslaughter
committed in the commission of an unlawful act not amounting to [a]
felony, or in the commission of a lawful act which might produce
death in an unlawful manner or without due caution and
circumspection." Section 30-2-3(B). As discussed above, "[t]o
determine the kind of homicide of which the accomplice is guilty,
it is necessary to look to his [or her] state of mind; it may have
been different from the state of mind of the principal and they
thus may be guilty of different offenses." 2 LaFave & Scott,
supra, § 6.7(c), at 144. We thus consider whether there was some
reasonable view of the evidence presented at trial which would have
warranted giving the instruction.
{19} In Holden, our Court of Appeals considered the issue of
accessory liability as it relates to involuntary manslaughter. In
that case, the evidence introduced at trial was that the defendant
was looking for the victim and had made a statement to the effect
that he was going to get someone to beat the victim up. Holden, 85
N.M. at 399, 512 P.2d at 972. Shortly after learning of the
victim's whereabouts, defendant returned to that location with
another man who then shot and killed the victim. Id. The Court
determined that "[t]he fact that [the defendant] did not bargain
for the result [was] not material. The material fact [was] that he
did 'procure' another to perform an 'unlawful act.'" Id. at 400,
512 P.2d at 973. Thus, the Court concluded that there was
"substantial evidence that [the defendant], with the intent to
commit an unlawful act, procured [the principal] to inflict a
beating on decedent," and death occurred. Id. This amounted to
the lesser included offense of accessory to involuntary
manslaughter. Id.
{20} This case is distinguishable from Holden. According to
Defendant's testimony, he had no intent that Padilla or Herrera act
at all during the altercation with the Zotighs. He testified that
he thought the victim was going to attack him, so he got out of his
car to apologize, a nd as soon as he exited the vehicle the victim
began pushing him toward the road. Defendant told the victim, "I
have a gat, leave me alone. I have a gat," fearing the victim was
going to "pound" him. Defendant explained that he used the
statement to intimidate the victim, not as a call for help from his
friends. Defendant also testified that there was never any agreement between the three men to fight the victim, nor did he
think that they would "jump in" for him. Thus, Defendant's own
testimony does not present a reasonable view of the evidence which
would support involuntary manslaughter as the highest degree of
homicide to which Defendant was an accessory, because according to
Defendant's theory of the case he did not intend, help, encourage
or cause the acts which resulted in the victim's death. See UJI
14-2822 NMRA 2002.
{21} Furthermore, under no version of the facts presented at trial
is Defendant entitled to the instruction. First, on appeal
Defendant argues that a reasonable view of the evidence would have
supported the instruction on the theory that Defendant by his
negligent actions _ provoking the altercation _ precipitated the
unintentional killing. This argument misinterprets accessory
liability as it applies to involuntary manslaughter because it
focuses on Defendant's actions as an accessory, rather than on his
intent with respect to the actions of the principals. See 2 LaFave
& Scott, supra, § 6.7(c), at 144. However, even if Defendant's
conduct of provoking the altercation precipitated the acts which
eventually resulted in the victim's death, we do not agree that
Defendant's actions were negligent. Defendant acknowledged that as
a result of intentionally approaching the victim with his vehicle,
the victim "must of [sic] thought I was going to hit him or
something because I was so close to him." Even if we assume
Defendant did not strike the victim with his vehicle, according to
Defendant's own testimony, the victim presumably believed he was
going to hit him. Thus, at the very least, Defendant's actions
were criminal and amounted to an aggravated assault with a deadly
weapon (a motor vehicle), a fourth degree felony. See § 30-3-2(A)
("Aggravated assault consists of. . . unlawfully assaulting or
striking at another with a deadly weapon . . . ."); State v. Mata,
86 N.M. 548, 550, 525 P.2d 908, 910 (Ct. App. 1974). More
importantly, nothing about that act demonstrates the appropriate
intent: that Defendant intended for Padilla or Herrera, or both, to
commit "an unlawful act not amounting to [a] felony," which
resulted in the victim's death. Section 30-2-3(B).
{22} Second, even if Defendant only said "I have a gat," intending
to intimidate the victim, that statement also constitutes the
felony of aggravated assault and again fails to show the intent
required for the instruction. See § 30-2-3(B); Mata, 86 N.M. at
550, 525 P.2d at 910.
{23} Finally, with respect to the stabbing of the victim by the
principals, the jury was presented with two alternative statements
by Defendant relevant to his intent as an accessory. Under the
first alternative, according to his own testimony, Defendant said,
"I have a gat," intending to intimidate and not as a call for help.
If believed by the jury, this statement would have resulted in an
acquittal on the accessory to murder charge, because Defendant
would not have shared the principals' purpose or design. Under the second alternative, Defendant said, "Let's get the gat," intending
that his friends get a weapon and help him seriously injure or kill
the victim. If believed by the jury, this statement demonstrates
liability as an accessory to first or second degree murder because
Defendant intended that a felonious act be committed. See § 30-2-1.
{24} Defendant has advanced no argument, and we find no reasonable
view of the evidence, pursuant to which involuntary manslaughter is
the highest degree of crime to which Defendant was an accessory.
We will not "fragment the testimony. . . to such a degree as to
distort it" in order to construct a view of the evidence which
would support the giving of the instruction. Manus, 93 N.M. at
100, 597 P.2d at 285. Accordingly, the trial court did not err in
refusing to instruct the jury on involuntary manslaughter.
{25} Defendant also asserts that the trial court improperly
admitted testimony that Defendant said "Get the gat," at a party
several hours before the stabbing incident. He argues that the
statement was irrelevant, unfairly prejudicial, and constituted
inadmissible propensity evidence. The trial court admitted the
statement, concluding that it was relevant to the issues in the
case, was not unfairly prejudicial, and could be construed as an
admission by a party opponent. We will only reverse the trial
court's ruling regarding the admissibility of evidence if the court
abused its discretion. See State v. Garcia, 99 N.M. 771, 776, 664
P.2d 969, 974 (1983); State v. Hamilton, 2000-NMCA-063, ¶ 14, 129
N.M. 321, 6 P.3d 1043, cert. denied, No. 26,308, and cert. denied,
No. 26,403 (2000).
{26} Under Rule 11-404(B) NMRA 2002, "[e]vidence of other crimes,
wrongs, or acts" is not admissible to show that the defendant had
a propensity to commit the charged crimes. However, this evidence
may "be admissible for other purposes, such as proof of motive,
opportunity, intent, preparation, plan, knowledge, identity or
absence of mistake or accident." Rule 11-404(B). "In order to
admit evidence under [this Rule], the court must find that the
evidence is relevant to a disputed issue other than the defendant's
character, and it must determine that the prejudicial effect of the
evidence does not outweigh its probative value . . . ." State v.
Beachum, 96 N.M. 566, 567-68, 632 P.2d 1204, 1205-06 (Ct. App.
1981); see also Hamilton, 2000-NMCA-063, ¶ 14.
{27} Defendant argues that the State's proffered reasons for using
Defendant's statement were "nothing more than propensity recast in
other words." He asserts that the State sought to admit the
statement to show that Defendant was a "bullying gang member" and
had a "propensity to commit violent acts with guns." The State
responds that the statement was probative of the disputed issue of
whether Defendant was an accessory to several crimes including murder and assault with intent to commit a violent felony. We note
that to convict the Defendant of these crimes as an accessory the
State was required to prove that Defendant intended that the crimes
be committed and that he helped, encouraged, or caused the crimes
to be committed. See UJI 14-2822. The State asserts that the
evidence of the earlier statement made at the party is useful as a
comparison to his similar statement made during the altercation
with the Zotighs, in that, "it tended to show that when in trouble
the [D]efendant used a phrase that alerted his friends to the fact
that he wanted them to help him as necessary." We agree with the
Court of Appeals that the statement was admissible under Rule 11-404(B) "because the trial court could have concluded that the
statement was highly probative of Defendant's intent to enlist or
encourage the help of his companions and therefore relevant to the
disputed issue of Defendant's liability as an accessory." Gaitan,
2001-NMCA-004, ¶ 24 (relying on State v. Carrasco, 1997-NMSC-047,
¶ 7, 124 N.M. 64, 946 P.2d 1075, which stated that the criminal
intent of the accessory "can be inferred from behavior which
encourages the act").
{28} Furthermore, Defendant argues that the trial court misapplied
the law by failing to perform the proper balancing test under Rule
11-403 NMRA 2002 and consequently erred in concluding that its
prejudicial impact did not substantially outweigh its probative
value. We disagree. Rule 11-403 states:
Although relevant, evidence may be excluded if
its probative value is substantially
outweighed by the danger of unfair prejudice,
confusion of the issues or misleading the
jury, or by considerations of undue delay,
waste of time or needless presentation of
cumulative evidence.
In this case, the trial court specifically indicated its concern
that the statement was prejudicial, explaining that "this is really
a question of . . . weighing and balancing." Thus, as the Court of
Appeals determined, based on the record, it appears that the trial
court conducted the proper Rule 11-403 analysis. See Gaitan, 2001-NMCA-004, ¶ 26.
{29} We further agree with the Court of Appeals that the prejudice
of the statement did not outweigh its probative value to show
Defendant's intent. At the time the statement was admitted, "the
State had already introduced testimony concerning Defendant's gang
affiliation, 'bullying' nature, and propensity for violence."
Gaitan, 2001-NMCA-004, ¶ 27 (relying on State v. Woodward, 121 N.M.
1, 6, 908 P.2d 231, 236 (1995), which stated that "[t]he purpose of
[Rule] 11-403 is not to guard against the danger of any prejudice
whatever, but only against the danger of unfair prejudice. A
statement is not unfairly prejudicial simply because it inculpates
the defendant."). Testimony had been elicited that Defendant was "acting crazy" and kept asking, "Should I run the fuckers over,"
which was corroborated by Defendant's own admissions of his desires
to "mess around with them a little bit." Two witnesses testified
that Defendant hit the victim with his car, and Zotigh testified
that during the altercation Defendant said, "Let's get out the
gat." Furthermore, both Archuleta and his girlfriend, Cortez,
stated that on the night of the stabbing Defendant admitted that
they had stabbed somebody, and Silva testified that Defendant told
him that they had "killed an Indian." We agree with the Court of
Appeals that "[b]alancing this evidence with the probative value of
the statement to show Defendant's intent, the trial court did not
abuse its discretion in admitting [the] testimony." Gaitan, 2001-NMCA-004, ¶ 27.
{30} For the foregoing reasons we affirm Defendant's convictions
for second degree murder as an accessory, aggravated assault with
a deadly weapon, tampering with evidence as an accessory, and
aggravated battery with a deadly weapon.
{31} IT IS SO ORDERED.
______________________________
JOSEPH F. BACA, Justice
WE CONCUR:
__________________________________
PATRICIO M. SERNA, Chief Justice
____________________________________
PETRA JIMENEZ MAES, Justice
GENE E. FRANCHINI, Justice (concurring in part, dissenting in part)
PAMELA B. MINZNER, Justice (concurring in part, dissenting in part)
MINZNER, Justice (concurring in part and dissenting in part)
{32} I respectfully dissent. I believe Defendant was entitled to
an instruction on voluntary manslaughter. I agree that the trial
court did not abuse its discretion in admitting the "get the gat"
statement. I also agree that Defendant's proposed instruction on
accessory to involuntary manslaughter was flawed and that he thus
failed to preserve an appellate issue with respect to an
instruction on that theory. Because on remand Defendant might
draft a better instruction and put on new or different evidence, I
would not reach the issue of his entitlement to an instruction on
involuntary manslaughter. I therefore concur in part II(B) to the
extent that it holds that issue was not preserved, and I concur in
part III. For the following reasons, I dissent from part II(A), and I would remand for a new trial.
{33} Defendant sought an instruction on voluntary manslaughter.
Defendant was not the killer, but the State charged him as an
accessory. Manslaughter consists of "the unlawful killing of a
human being without malice," NMSA 1978, § 30-2-3 (1994), and
voluntary manslaughter is "manslaughter committed upon a sudden
quarrel or in the heat of passion." NMSA 1978, § 30-2-3(A) (1994).
Defendant is liable for voluntary manslaughter as an accessory if
he "procures, counsels, aids or abets in its commission." NMSA
1978, § 30-1-13 (1972). In order to be entitled to an instruction
of a lesser included offense to the offense charged, there must be
some reasonable view of the evidence whereby the lesser offense is
the highest degree of the offense committed. State v. Brown, 1998-NMSC-037, ¶ 12, 126 N.M. 338, 969 P.2d 313. Thus, to be entitled
to the instruction, there must be some reasonable view of the
evidence whereby Defendant was sufficiently provoked by the victim,
and while so provoked Defendant aided, abetted or encouraged
Padilla and Herrera to kill the victim.
{34} The State has argued that Defendant was not entitled to the
voluntary manslaughter instruction as an accessory for two reasons.
First, Defendant was not sufficiently provoked by the victim's size
and anger. Second, Defendant was the initial aggressor and as such
cannot rely on the victim's response as adequate provocation.
{35} The first question is properly one for the jury. As the
majority notes, Defendant testified that he revved his engine to
scare the victim, and when the victim responded by taking off his
shirt and jumping on the hood of the car, he got out to apologize.
Although he was not initially afraid of the victim _ despite the
significant difference in their sizes _ Defendant testified that he
did feel threatened when he thought the victim was going to "pound"
him. Majority Opinion, ¶ 8. I believe there is thus a view of the
evidence in which Defendant was provoked. The jury should have
been given the opportunity to decide whether to credit Defendant's
testimony and to determine whether the provocation was sufficient
under the law. The trial court ought not have decided, as a matter
of law, that Defendant was not provoked. State v. Munoz, 113 N.M.
489, 490, 827 P.2d 1303, 1304 (Ct. App. 1992) ("Whether a
particular set of circumstances is sufficient provocation is
generally a question for the jury to decide.").
{36} The State's second argument appears to me to expand a rule
past its original boundaries and to create a per se rule where a
fact-based one is appropriate. In State v. Manus, 93 N.M. 95,
100, 597 P.2d 280, 285 (1979) we said: "If the defendant
intentionally caused the victim to do acts which the defendant
could claim provoked him, he cannot kill the victim and claim that
he was provoked. In such case, the circumstances show that he
acted with malice aforethought, and the offense is murder." Based
on that language the majority concludes that, as a matter of law,
Defendant is not entitled to an voluntary manslaughter instruction
because he initially assaulted the victim.
{37} The first sentence of this quote can be read in more than one way, depending on the interpretation given to the word
"intentionally." As the State argues, intentionally could be read
to describe the act that causes the victim to respond. Thus, a
negligent act that elicits a response from the victim is
distinguished from an intentional act. On the other hand, as
Defendant argues, intentionally could be read to describe the
motive in doing the act that elicits the victim's response. In
that way, a defendant who provokes a victim in order to rely on the
victim's response as provocation is distinguished from one who
intends to agitate the victim, but is surprised by that victim's
reaction and genuinely provoked by it. The former, by virtue of
the premeditated decision to kill, is guilty of murder, and the
latter, who lacks such premeditation and is actually provoked by
the victim, is guilty of manslaughter.
{38} I think the latter interpretation is more natural, and is
confirmed by the second sentence of the quoted language: "In such
case, the circumstances show that he acted with malice
aforethought, and the offense is murder." By this language the
author of Manus indicated that the reason for the rule that a
initial aggressor cannot claim provocation is because the
circumstances of that initial aggression evince an intent to murder
prior to the provocation. Additionally, the author of Manus quoted
this language from Wharton's Criminal Law. That source followed
the quote used in Manus with an example: "Thus, a defendant is
guilty of murder when he arms himself and plans to insult the
victim and then kill him if the victim strikes him in resentment
over the insult." 2 Charles E. Torcia, Wharton's Criminal Law §
157, at 352 (15th ed. 1994) (footnote omitted). That example seems
to me to clarify the rule and to support a conclusion that an
initial aggressor loses the benefit of provocation in more limited
circumstances than urged by the State.
{39} Such an interpretation is brought out by the facts of Manus
and subsequent cases that rely on this rule. Although Manus was
the source of the rule quoted above, the defendant in that case was
largely denied the instruction because the acts he claimed provoked
him were performed by the police in the lawful exercise of their
duty. "The exercise of a legal right, no matter how offensive, is
no such provocation as lowers the grade of homicide." Manus, 93
N.M. at 100, 597 P.2d at 285 (citation omitted).
{40} In State v. Marquez, 96 N.M. 746, 634 P.2d 1298 (Ct. App.
1981), for example, the defendant, who had a bad history with the
victim, went to her home, broke in, took a knife from the kitchen
and waited for her to come home. When she did, he confronted her
and got into an argument during which he stabbed a chair in the
room repeatedly with the knife. He then chased the victim and
managed to stab her once. She responded by throwing a vase at him,
which he claimed provoked him. He then killed her. In that case,
unlike this one, there is simply no view of the evidence that
allows an inference that the defendant killed in response to the
victim's provocation.
{41} Similarly, in State v. Durante, 104 N.M. 639, 725 P.2d 839
(Ct. App. 1986), the defendant broke into the victims' house wearing a ski mask, put his hand over the sleeping female victim's
mouth and instructed her to be quiet or he would kill her. The
male victim, who was sleeping next to her, woke up, observed what
the defendant was doing, and struggled with him. During the
struggle, the defendant stabbed the male victim several times. The
male victim was responding to a serious threat to his safety from
a masked and armed intruder, a threat realized by the intruder's
actions.
{42} This interpretation is endorsed by the commentators. In
addition to the view expressed in Wharton's Criminal Law, another
commentator has described the rule of provocation in the context of
a mutual quarrel or combat:
If an unlawful attack is resisted by force
obviously in excess of what is needed in self-defense, the case may or may not be within the
rule of provocation. There is no mitigation
in favor of the original assailant if he
intended in the beginning to kill or to
inflict great bodily injury; whereas if the
original assailant intended only a non-deadly
scuffle the counter attack may constitute
adequate provocation.
Rollin M. Perkins & Ronald N. Boyce, Criminal Law 89 (3d ed. 1982)
(footnotes omitted). Whether the victim's response was in excess
of self-defense, whether Defendant intended to kill prior to the
encounter, or whether he was surprised by the victim's response are
all fact-intensive inquiries that should properly be considered by
a jury. A per se rule that, as an initial aggressor, Defendant was
not entitled to claim provocation seems to deprive Defendant of his
right to have a jury determine whether he was sufficiently provoked
in this context.
{43} In this case there is a version of the facts, from Defendant's
testimony and some permissible inferences from his conduct, that he
did not provoke the victim with the predetermined intent of killing
him, and that when he encouraged his companions to come after the
victim he was afraid of him. The evidence of provocation was not
overwhelming, and a jury could easily determine that Defendant's
testimony concerning his intentions was untrustworthy, and that his
actions support an inference that he intended to kill from the
beginning of the encounter. That was, however, the jury's decision
to make, and the jury was deprived of that opportunity when the
trial court denied the proper instruction. I do not consider this
error harmless because "[t]here is a legitimate concern that
conviction of the greater offense may result because acquittal is
an alternative that is unacceptable to the jury." State v.
Meadors, 121 N.M. 38, 52, 908 P.2d 731, 745 (1995) (Ransom, J.,
specially concurring).
{44} Defendant's original intent in approaching the victim and the
sufficiency of the provocation are both questions for the jury.
Having put forth some evidence of provocation as a part of his
theory of the case, Defendant was entitled to an instruction. I respectfully dissent from part II(A), and I would remand this case
for a new trial. I concur in the holding in part II(B) that
Defendant failed to preserve his claim to an instruction on
involuntary manslaughter, and I concur in part III.
________________________________
PAMELA B. MINZNER, Justice
I CONCUR:
________________________________
GENE E. FRANCHINI, Justice