State v. Brown
State v. Brown
Opinion of the Court
On September 29, 1961, the defendant was tried by a jury in the Superior Court in Fair-field County on the charge of rape. He did not testify and the court charged the jury in accordance with the then common practice and existing law that once the state had presented a prima facie case the failure of the defendant to testify becomes a fact which the jury are entitled to consider. See State v. Nelson, 139 Conn. 124, 127, 90 A.2d 157. The defendant took no exception to the charge, was found guilty and sentenced. Thereafter followed a number of habeas corpus petitions and an appeal. One of the issues raised in habeas corpus proceedings concerned an alleged denial of the defendant’s opportunity to appeal. On June 10, 1965, a judge of the Superior Court in the course of denying a habeas corpus petition filed by the defendant added language purportedly granting him a right to appeal from his conviction. An appeal was thereafter taken and in
Between the 1961 trial and the 1969 appeal the United States Supreme Court on April 28, 1965, decided the case of Griffin v. California, 380 U.S. 609, 85 S. Ct. 1229,14 L. Ed. 2d 106. This case overruled the earlier law enunciated in 1908 in Twining v. New Jersey, 211 U.S. 78, 29 S. Ct. 14, 53 L. Ed. 97, and established the rule that it is reversible error for a court to charge a jury that it may take into consideration the failure of an accused to testify. The Griffin case did not decide whether the new rule applied only prospectively or had retroactive effect. Thereafter, on December 13, 1965, the United States Supreme Court in a per curiam decision remanded to the Supreme Court of Ohio the case of O’Connor v.
Subsequently, on November 14, 1966, the United States Supreme Court considered the second appeal in O’Connor v. Ohio, 385 U.S. 92, 87 S. Ct. 252, 17
In the light of the Tehan footnote and the language in the second O’Connor decision we followed the rule laid down in Griffin and found reversible error in the cases of State v. Annunziato, 154 Conn. 41, 221 A.2d 57, State v. Vars, 154 Conn. 255, 224 A.2d 744, and State v. Wilkas, 154 Conn. 407, 225 A.2d 821. In all of these cases the usual pre-Griffin charge had been given and in each instance an appeal was pending at the time the Griffin case was decided. The appellant in the present appeal relies on the Griffin rule as applied in these cases and the claim that, since at the time the Griffin case was decided his conviction was not “final” as that term was used in the second O’Connor case, his conviction should be reversed. Under the circumstances in which the defendant’s late appeal was granted it is clear that although his trial had been completed in 1961 before the Griffin decision was released, nevertheless, because of the appeal permitted in 1969, as a result of the habeas corpus proceedings, his conviction was not “final.” Nor could the trial court properly limit the grounds on which the appeal might be predi
Tehan and the second O’Connor case were two of the earliest of a great many recent decisions by the United States Supreme Court concerning the principles of retroactivity in criminal cases. We have analyzed the decisions of the United States Supreme Court since those two cases were decided in 1966, and have found no later cases which have held that the fact that a case was still on direct appeal was of the slightest significance.
Several cases have held that newly enunciated constitutional principles are fully retroactive in their application. These include the following: Berger v. California, 393 U.S. 314, 89 S. Ct. 540, 21 L. Ed. 2d 508, applying to the rule in Barber v. Page, 390 U.S. 719, 88 S. Ct. 1318, 20 L. Ed. 2d 255, concerning the state’s efforts to find witnesses for the defense; Roberts v. Russell, 392 U.S. 293, 88 S. Ct. 1921, 20 L. Ed. 2d 1100, applying to the rule in Bruton v. United States, 391 U.S. 123, 88 S. Ct. 1620, 20 L. Ed. 2d 476, concerning the confession of a codefendant; Price v. Georgia, 398 U.S. 323, 90 S. Ct. 1757, 26 L. Ed. 2d 300, applying to Benton v. Maryland, 395 U.S. 784, 89 S. Ct. 2056, 23 L. Ed. 2d 707, concerning double jeopardy.
Another line of cases has held that the new principle applied only to those cases in which the proscribed act took place after the date of the decision enunciating the new rule. These include Stovall v. Denno, 388 U.S. 293, 87 S. Ct. 1967, 18 L. Ed. 2d 1199, and Foster v. California, 394 U.S. 440, 89 S. Ct. 1127, 22 L. Ed. 2d 402, applying the United States v. Wade rule, in 388 U.S. 218, 87 S. Ct. 1926, 18 L. Ed. 2d 1149, in regard to the presence of counsel at police lineups; DeStefano v. Woods, 392 U.S. 631,
This apparent abandonment by the United States Supreme Court of the O’Connor “final conviction” line of demarcation in favor of full retroactivity or prospective operation only is confirmed by the express language of two cases decided since that decision. In Stovall v. Denno, supra, decided on June 12, 1967, the United States Supreme Court held that the principles set out in United States v. Wade, supra, and Gilbert v. California, 388 U.S. 263, 87 S. Ct. 1951, 18 L. Ed. 2d 1178, regarding cases involving confrontations for identification purposes conducted in the absence of counsel should have application only to confrontations occurring after the date on which the Stovall case was decided. The opinion contains the following pertinent language (p. 300): “In Tehan v. Shott, ... we thought it persuasive
This principle was subsequently expressly affirmed in DeStefano v. Woods, supra, decided on June 17, 1968. The per curiam opinion in that case held that the decisions in Duncan v. Louisiana, 391 U.S. 145, 88 S. Ct. 1444, 20 L. Ed. 2d 491, and Bloom v. Illinois, 391 U.S. 194, 88 S. Ct. 1477, 20 L. Ed. 2d 522, relating to the right to jury trial do not apply to cases where trials began prior to May 20, 1968, the date
We conclude that, although it does not appear that the second O’Connor case has been expressly overruled, nevertheless the United States Supreme Court would not follow that decision today in determining the applicability of the Griffin rule. Furthermore, application of the retroactivity tests prescribed by that court in Stovall v. Denno, 388 U.S. 293, 297, 87 S. Ct. 1967, 18 L. Ed. 2d 1199,
We find language in an en banc decision of the Court of Appeals for the Fourth Circuit apt in the present situation. In Rowe v. Peyton, 383 F.2d 709, 714, affirmed in Peyton v. Rowe, 391 U.S. 54, 88 S. Ct. 1549, 20 L. Ed. 2d 426, that court said, speaking by Haynsworth, C. J.: “This court, of course, must follow the Supreme Court, but there are occasional situations in which subsequent Supreme Court opinions have so eroded an older ease, without explicitly overruling it, as to warrant a subordinate court in pursuing what it conceives to be a clearly defined new lead from the Supreme Court to a conclusion inconsistent with an older Supreme Court case.”
There is no error.
In this opinion Ryan and Shapiro, Js., concurred.
“The criteria guiding resolution of the question implicate (a) the purpose to be served by the new standards, (b) the extent of the reliance by law enforcement authorities on the old standards, and (e) the effect on the administration of justice of a retroactive application of the new standards.”
Dissenting Opinion
(dissenting). This case is on direct appeal to this court and a final judgment has not yet been rendered. I cannot, therefore, agree with the majority.
In a recent case, similar on its facts to this case now under consideration on this appeal, which the Connecticut Supreme Court stated was indistinguishable from the second O’Connor case, the court decided that it was impelled to conclude that the appellant was not barred from asserting, on appeal, his federal constitutional right against self-incrimination. State v. Vars, 154 Conn. 255, 271, 272, 224 A.2d 744. We followed the statement contained in footnote 3 of the Tehan case, page 409, and Chief Justice King, writing the opinion, stated that there was no question that the Griffin rule must be applied to cases pending on “direct review at the time it was announced” and the court reversed a criminal conviction. State v. Annunziato, 154 Conn. 41, 44, 221 A.2d 57. The defendant is before this court on direct appeal, there has been no final judgment rendered and “where on habeas corpus it has been properly determined that a right of appeal required by the federal constitution has been denied, any rule restricting an appeal merely because of a lapse of time necessarily is ineffective to preclude an appeal in accordance with federal constitutional requirements.” Fredericks v. Reincke, 152 Conn. 501, 508, 208 A.2d 756.
The United States Supreme Court has not indicated an intention to abandon the limited application of retroactivity of this rule of criminal procedure of constitutional dimension enunciated in O’Connor and followed by us in Annunziato and Vars. In a number of eases noted in the majority opinion decided after the decision in O’Connor it has continued to apply the principle of full retroactivity.
A review of the cases reversing prior doctrine in the area of the criminal law discloses the United States Supreme Court’s concern with the impact a reversal of prior doctrine might have on law enforcement and on the administration of justice and how these considerations affect the determination of retroactivity. See cases such as DeStefano v. Woods, 392 U.S. 631, 633, 88 S. Ct. 2093, 20 L. Ed. 2d 1308, and Stovall v. Denno, 388 U.S. 293, 297, 87 S. Ct. 1967, 18 L. Ed. 2d 1199. If “a very great number of eases” would be affected; if “all convictions for serious crimes . . . would be in jeopardy”; and if “the adverse effects on the administration of justice would likely be substantial,” the Supreme Court of the United States would limit the new doctrine to prospective application. DeStefano, supra, 634, 635. The doctrine of O’Connor does not fall into such an extreme category. It is precise and clear and since its advent in 1966 there have only been four cases, Vars, Annunziato, and Wilhas (which cases we now overrule) and the present appeal arising out of that
In the present case, the accused was indigent; he was represented by the public defender in 1961 at his trial, who notified him that he would not represent him in an appeal, although he informed the trial court the defendant intended to file an appeal; and he notified, in 1961, the clerk of the Superior Court of his intention to appeal. The trial court specifically found that the petitioner-accused was effectively frustrated in his efforts to take an appeal, did not understandingly and knowingly forego a direct appeal and did not deliberately bypass the orderly procedure of an appeal. Fay v. Noia, 372 U.S. 391, 439, 440, 83 S. Ct. 822, 9 L. Ed. 2d 837. Presumably, the Connecticut trial courts have been following the doctrine of O’Connor since its announcement and the tenuous fact of the filing in court of a substantia] number of similar cases having an adverse effect on the administration of justice appears remote. The considerations enunciated by the United States Supreme Court are absent herein so that it is reasonable to suppose that the chance that the court mil reverse O’Connor seems unlikely. I see no justification for a different reading of O’Connor v. Ohio, 385 U.S. 92, 87 S. Ct. 252, 17 L. Ed. 2d 189, than that contained in the original opinion. One can make no prophecy on the demise of O’Connor until it is set aside by the United States Supreme Court.
I would find error, set the judgment aside and order a new trial.
Concurring Opinion
(concurring). I concur in the result reached by the court because I do not believe that the Griffin rule was intended to apply, or does apply, to a state of facts such as those in the present case under the holding and language of the two O’Connor cases and Tehan v. Shott. In the second O’Connor case, 385 U.S. 92, 93, 87 S. Ct. 252, 17 L. Ed. 2d 189, the court applied the Griffin rule to cases in which the “conviction was not final when the decision in Griffin was rendered.” Footnote three in Tehan v. Shott, 382 U.S. 406, 409, 86 S. Ct. 459, 15 L. Ed. 2d 453, applied the Griffin rule “to cases still pending on direct review at the time it was announced” or, in other words, not “to cases in which the judgment of conviction was rendered, the availability of appeal exhausted, and the time for petition for certiorari elapsed or a petition for certiorari finally denied, all before April 28, 1965.” When Griffin was decided, a petition for certiorari was before the United States Supreme Court in the first O’Connor case. It was in that context that the retroactivity of Griffin was determined. I do not believe that the United States Supreme Court had in contemplation a case such as the present one in which an unexercised right of appeal was revitalized in an independent proceeding eight years after the judgment had apparently become final.
Reference
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- State of Connecticut v. Chester Brown
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