State v. Sanseverino
State v. Sanseverino
Opinion of the Court
Opinion
This case comes to us on the state’s motion for reconsideration en banc. In State v. Sansev-erino, 287 Conn. 608, 949 A.2d 1156 (2008),
Following the release of our opinion in Sanseverino, the state filed a motion for reconsideration en banc, which we granted.
The facts that the jury reasonably could have found are set forth in this court’s opinion in State v. Sansever-ino, supra, 287 Conn. 608. “ ‘In June or July, 1998, the defendant, the owner of Uncle’s Bakery in Newington, hired C to work in the bakery. . . . One day, toward the end of her shift, while she was alone with the defendant, the defendant asked C to take a box into the back room. The defendant followed C into the back room, grabbed her by her shoulders and pushed her against a wall and a metal shelving unit. She could not move because the defendant had one arm and his upper body pressed against her. The defendant pulled her shirt out of her pants, put his hand under her shirt and touched
“ ‘At that point, the buzzer rang at the front door, indicating that a customer had entered the store. The defendant turned C around, put his hand over her mouth, pushed her against the wall and told her to stay there and to be quiet. When the defendant left to assist the customer, C ran out of the bakery and went home. She never returned to the bakery. At home, C went into the bathroom, took off her clothes and showered. She later burned her clothing. She testified that her initial intention was to call the police but that when she got home, her boyfriend had three other people with him, and she did not want them to know, so she did not tell anyone or call the police at that time. She did not tell anyone what had happened to her until “a couple of months later.” C testified that after what happened, she was angry always, and if she was not working, she was sleeping. She said that she would not talk to anybody or let anybody touch her, and she would not let anybody be around her. Her boyfriend’s mother, with whom C was residing, eventually asked her about her behavior and mood, and C “finally broke down and told her what had happened at the bakery.”
“ ‘In the fall of 1998, G became a regular customer at Uncle’s Bakery. In the spring of 1999, she approached the defendant about working at the bakery and was hired to work from 5 a.m. to 7:30 a.m. In May, 1999, as G started her shift at 5 a.m., she went into the back room of the bakery to get her apron. The defendant followed her in and grabbed her. She told him to “get away and stop,” to which the defendant replied, “[you] know you want it, so stop.” The defendant grabbed G’s arms, pushed her against the wall, pinned her arms over her head with his arm, and pressed his body against [her body] so she could not move. She twice yelled at him to stop, but he did not. She testified that she became afraid and that she froze. While still keeping her pinned [with one hand], he pulled her pants down, then pulled his pants down. He inserted his penis inside her vagina and then, prior to climaxing, pulled out and ejaculated on the floor. The defendant let G go, and she went into the bathroom, locked herself in and did not come out again until she heard another person enter the bakery. G then came out of the bathroom, waited until her shift was over and went home. She threw away her clothes. She did not talk to anybody about what had happened
Our opinion in Sanseverino also sets forth the following additional undisputed facts and procedural history. “The state separately . . . charged the defendant with kidnapping in the first degree with respect to C and G. Prior to trial, upon agreement of the state, the trial court dismissed the charge of kidnapping in the first degree as to C, which the defendant claimed had been brought beyond the statute of limitations. The trial court denied the defendant’s motion to have the charges relating to C and G tried separately pursuant to Practice Book § 41-18. At the close of the state’s case-in-chief, the defendant moved for a judgment of acquittal, which the trial court also denied. During the presentation of his case, the defendant claimed that he had dated both
“The Appellate Court determined that the trial court improperly had denied the defendant’s motion to sever the charges relating to C and G, concluding that the defendant had been prejudiced substantially by the consolidation of the two cases, because—viewed through the lens of our holding in State v. Ellis, 270 Conn. 337, 377, 852 A.2d 676 (2004), that the crime of sexual assault is inherently violent in nature, regardless of whether there is physical violence—the two cases did not involve discrete and easily distinguishable factual scenarios. State v. Sanseverino, [98 Conn. App. 198, 205, 907 A.2d 1248 (2006)]. That court further concluded that this prejudice had not been cured by the trial court’s instructions to the juiy. Id., 206-208. It therefore reversed the defendant’s conviction and remanded the case for new separate trials. Id., 208. The Appellate Court rejected, however, the defendant’s contention that the kidnapping statute was void for vagueness as applied to the facts of his case. Id., 213. The Appellate Court determined that the amount of restraint applied to G was ‘not minuscule’ and that all that is required under the kidnapping statute is a ‘restriction of movement . . . with the intent to prevent the victim’s liberation.’ Id.
“We thereafter granted the defendant’s petition for certification to appeal [limited to the following issue]: ‘Did the Appellate Court properly conclude that [Gen
With respect to the state’s claim on appeal, we concluded that, because the evidence in both cases would have been cross admissible at separate trials to demonstrate a common scheme or plan on the part of the defendant, the Appellate Court improperly determined that the defendant had been unfairly prejudiced by the trial court’s denial of his motion to sever the charges concerning the two victims. Id., 628-34. With respect to the defendant’s claim on appeal that § 53a-92 (a) (2) (A) is unconstitutionally vague, we concluded that the defendant was entitled to reversal of his first degree kidnapping conviction on a different, nonconstitutional ground, namely, that the jury had not been instructed, as required by State v. Salamon, supra, 287 Conn. 547-50, that it could not find the defendant guilty of kidnapping in the first degree unless it first found beyond a reasonable doubt that the restraint used to commit the crime of kidnapping in the first degree was not merely incidental to and necessary for the commission of the crime of sexual assault in the first degree. State v. Sanseverino, supra, 287 Conn. 620, 623-24; see footnote 3 of this opinion. We also concluded that the defendant was entitled to a judgment of acquittal on the kidnapping charge because our review of the evidence indicated that no reasonable jury could have found the defendant guilty of kidnapping in light of our holding
Following the issuance of our opinion in Sanseverino, the state filed a motion for reconsideration en banc in which it claims that, by ordering a judgment of acquittal with respect to the defendant’s kidnapping conviction, we improperly barred the state from retrying the defendant on that charge.
I
With respect to the issue of our remand in Sansever-ino following our reversal of the defendant’s conviction of kidnapping in the first degree, we held that, in light of our recent decision in State v. Salamon, supra, 287 Conn. 509, the defendant was entitled to a judgment of acquittal on that charge. State v. Sanseverino, supra, 287 Conn. 625-26. We explained: “Under the facts of [this] case, no reasonable jury could have found the defendant guilty of kidnapping in the first degree on the basis of the evidence that the state proffered at trial. . . .
“[T]he evidence clearly established] that the defendant restrained G solely for the purpose of sexually assaulting her. Although we have carefully scrutinized the record, transcript, exhibits and briefs, we have found no evidence that the defendant restrained G to any greater degree than that necessary to commit the sexual assault. G walked into the back room of the bakery to get an apron. The restraint occurred thereafter when the defendant grabbed G from behind and pushed her against the wall, pinning her arms over her head with his arm and pressing his body against [her body] to keep her from moving. These actions were clearly undertaken solely for the purpose of allowing the defendant to initiate, and to keep G from moving away from, his sexual advances. None of the restraint that the defendant applied to G was for the puipose of preventing her from summoning assistance nor did it significantly increase the risk of harm to G outside of that created by the assault itself. The defendant released G immediately after he had ejaculated. For these rea
In his dissent in Sanseverino, Justice Zarella maintained that, although our holding in Salamon mandated reversal of the defendant’s kidnapping conviction in Sanseverino, that result was compelled not because of evidentiary sufficiency but because the defendant had not received the benefit of the jury instruction that Salamon requires. Id., 649-51 (Zarella, J., dissenting). Justice Zarella further explained that, because Salamon was decided after the conclusion of the trial in the present case, and because this court previously had rejected the interpretation of our kidnapping statutes that we adopted in Salamon, the state could not possibly have anticipated our ruling in Salamon, and, therefore, “we [could not] know from the record . . . whether there was additional evidence that the state could have proffered at trial to support a kidnapping charge under the new Salamon paradigm.” (Emphasis added.) Id., 657 {Zarella, J., dissenting). Justice Zarella concluded, therefore, that, to the extent that the state could adduce evidence sufficient to meet the Salamon test, it was entitled to retry the defendant on the kidnapping charge. Id., 658 {Zarella, J., dissenting).
The majority in Sanseverino responded to Justice Zarella as follows: “Contrary to [Justice Zarella’s] assertion that the state ‘could have proffered’ additional evidence ... to support the kidnapping charges had it had knowledge of the rule announced in Salamon, we have found nothing in the record to indicate that there
Recently, in State v. DeJesus, supra, 288 Conn. 418, this court reconsidered the question that we had addressed in Sanseverino, namely, what is the appropriate remedy when a defendant who is entitled to a jury instruction in accordance with Salamon does not receive it? After reviewing the applicable precedent, we concluded that, as in the case of any other harmful instructional impropriety, the appropriate remedy is to reverse the defendant’s kidnapping conviction and to remand the case for anew trial. Id., 434. As we explained in DeJesus, when the state has presented evidence sufficient to support the defendant’s conviction under the legal standard that existed at the time of trial, an unforeseen change in that legal standard, although requiring reversal of the conviction, ordinarily does not also require a judgment of acquittal. Id., 434-36. Rather, the state is entitled to retry the defendant under the new standard because, in such circumstances, “the double jeopardy concerns that preclude the [state] from having a second opportunity to build a case against a defendant when it failed to do so the first time are not present .... Any insufficiency in proof was caused by the subsequent change in the law . . . [and] not the [state’s] failure to muster evidence.” (Internal quotation marks omitted.) Id., 436.
Indeed, in DeJesus, we expressly “recognize [d] that in [Sanseverino], we reversed the defendant’s conviction of kidnapping in the first degree and remanded the case to the trial court with direction to render a judgment of acquittal, reasoning that ‘no reasonable
II
The state also contends that if it elects not to retry the defendant on the kidnapping charge, it nevertheless is entitled to a modification of the judgment to reflect a conviction of unlawful restraint in the second degree, a lesser included offense of kidnapping in the first degree.
We disagree with the state that the broad issue presented by the state’s second claim, that is, whether, and if so, when, an appellate court may order the modification of a judgment in the manner requested in the present case, is settled in this state. Indeed, this court never has addressed the issue directly. Moreover, there is a distinct split of authority on this question among both state and federal courts. Some courts have held that it is appropriate for an appellate court to order the modification of a judgment to reflect a conviction of a lesser included offense, even in the absence of a jury instruction on that lesser offense, when it is not unfair to the defendant to do so. See, e.g., United States v. Hunt, 129 F.3d 739, 745-46 (5th Cir. 1997) (modification of judgment permissible despite fact that trial court did not instruct juiy on lesser included offense if, inter alia, such modification would not result in undue prejudice to defendant); United States v. Smith, 13 F.3d 380, 383 (10th Cir. 1993) (same); Allison v. United States, supra, 409 F.2d 451 (same); Shields v. State, 722 So. 2d 584, 586-87 (Miss. 1998) (same); see also People v. Patterson, 187 Colo. 431, 437, 532 P.2d 342 (1975) (modification of judgment appropriate because, “[ejven though the juiy was not instructed as to the lesser included offense, the defendant [was] given his day in court,” “[a]ll of the elements of the lesser included offense [were] included in the more serious offense,” and “[h]is guilt of the lesser included offense [was] implicit and part of the jury’s verdict”); State v. Farrad, 164 N.J. 247, 266, 753 A.2d 638 (2000) (“[a] guilty verdict may be molded to convict on a lesser-included offense ... if
Under the unique circumstances of this case, we conclude that the state is entitled to the modification of the judgment that it seeks. We reach this conclusion for several reasons, each of which is integral to our decision. First, there is no reason to believe that the state opted against seeking a jury instruction on the lesser offense of unlawful restraint in the second degree for strategic purposes. As the state has asserted, prior to our decision in Salamon—a decision that the state reasonably could not have expected in view of the long line of contrary cases that preceded it—the state had every reason to believe that, if the jury credited the state’s evidence, the defendant would be found guilty of the kidnapping charge. In other words, prior to the unforeseeable change in the law following the defendant’s trial, the state had no reason to seek a lesser included offense instruction, and, consequently, the state’s failure to do so cannot possibly have been the product of a strategic decision. Second, the defendant has benefited from our holding in Salamon even though he did not raise the claim that the defendant in Salamon raised in his appeal. Third, the defendant has not filed an objection to the state’s request for a modification of the judgment. See footnote 5 of this opinion. Finally, we can conceive of no reason why it would be unfair to the defendant to impose a conviction of unlawful restraint in the second degree.
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to
In this opinion ROGERS, C. J., and NORCOTT, VER-TEFEUILLE and ZARELLA, Js., concurred.
As we explain more fully in part I of this opinion, in State v. DeJesus, 288 Conn. 418, 436-37, 953 A.2d 45 (2008), we overruled Sanseverino to the extent that Sanseverino held that a judgment of acquittal could serve as a proper remedy for the reversal of a kidnapping conviction on the ground that the jury had not been instructed in accordance with our holding in State v. Salamon, 287 Conn. 509, 547-48, 949 A.2d 1092 (2008).
After a jury trial, the defendant was convicted of one count of kidnapping in the first degree in violation of General Statutes § 53a-92 (a) (2) (A), two counts of sexual assault in the first degree in violation of General Statutes § 53a-70 (a) (1), and one count of attempt to commit sexual assault in the first degree in violation of § 53a-70 (a) (1) and General Statutes § 53a-49 (a) (2). This opinion addresses the defendant’s kidnapping conviction only and supersedes our opinion in State v. Sanseverino, supra, 287 Conn. 608, with respect to the parties’ claims pertaining to that conviction. We reaffirm our opinion in Sanseverino in all other respects.
In Salamon, this court held that, “to commit a kidnapping in conjunction with another crime, a defendant must intend to prevent the victim’s liberation for a longer period of time or to a greater degree than that which is necessary to commit the other crime.” State v. Salamon, supra, 287 Conn. 542. In other words, “a defendant may be convicted of both kidnapping and another substantive crime [only] if, at any time prior to, during or after the commission of that other crime, the victim is moved or confined in a way that has independent criminal significance, that is, the victim was restrained to an extent exceeding that which was necessary to accomplish or complete the other crime. Whether the movement or confinement of the victim is merely incidental to and necessary for another crime will depend on the particular facts and circumstances of each case. Consequently, when the evidence
Sanseverino was decided by a five member panel of this court consisting of Chief Justice Rogers and Justices Norcott, Katz, Palmer and Zarella. Upon our granting of the state’s motion for reconsideration en banc, Justices Vertefeuille and Schaller were added to the panel, and they have read the record, briefs and transcript of the oral argument in Sanseverino.
We note that the defendant has not filed a response to the state’s motion for reconsideration en banc.
We note that it is not entirely clear from the state’s motion for reconsideration en banc whether the state seeks this relief alternatively or in addition to the opportunity to retry the defendant on the kidnapping charge. Because it arguably would be unfair or otherwise inappropriate to permit the state to retry the defendant for first degree kidnapping and to direct a judgment of conviction of the lesser included offense of unlawful restraint in the second degree, we treat the state’s motion as a request for alternative relief.
We note that the state does not seek reconsideration of our determination in Sanseverino that, under Salamon, the defendant is entitled to reversal of his conviction of kidnapping in the first degree.
In Salamon, we reversed the defendant’s kidnapping conviction and remanded the case for a new trial, concluding that a jury reasonably could find that the defendant’s restraint of the victim was not merely incidental to another offense against the victim, in that case, an assault. State v. Salamon, supra, 287 Conn. 549-50.
We take this opportunity to disavow our suggestion in Sanseverino that, because the state bears the burden of proving the defendant’s guilt beyond a reasonable doubt, we must presume that the state necessarily adduced all of the evidence available to it that may be relevant to the defendant’s guilt. State v. Sanseverino, supra, 287 Conn. 625-26 n.16. The state, like any party to any other kind of action, may or may not elect to present such evidence, depending on the particular circumstances of the individual case.
As we also explained in DeJesus, however, in light of the facts that were adduced at trial in Sanseverino, it appears “unlikely that the state [will be] able to proffer sufficient additional evidence on retrial to satisfy the Salamon rule. Nonetheless, it is not the function of this court,, as an appellate tribunal, to deprive the state of that opportunity.” State v. DeJesus, supra, 288 Conn. 437-38 n.14; see also id., 478 (Palmer, J., concurring) (observing that, although state has right to seek to retry defendant in Sanseverino, “it is extremely unlikely that, because of the factual scenario presented
Justice Katz contends that our decision to reconsider the analysis that we employed in Sanseverino is inconsistent with our analysis in Salomon. In Salomon, we concluded, on the basis of the conduct of the defendant in that case, that his restraint of the victim was not necessarily incidental to another crime, namely, his assault of the victim. Id., 549-50. We therefore further concluded in Salomon that “[wjhether the defendant’s conduct constituted a kidnapping ... is a factual question for determination by a properly instructed jury.” Id., 550. To the extent that any of our language or analysis in Salamon suggests that it may be appropriate to engage in a sufficiency of the evidence test to determine whether, following an improper jury instruction, a new trial is warranted, we expressly disavow any such suggestion. As we explained in DeJesus, and as we underscore in the present case, the state is entitled to the opportunity to retry the defendant unless the evidence was insufficient to support the defendant’s conviction under the legal standard applicable at the time of the first trial; if the evidence was sufficient under that standard, then the state is entitled to retry the defendant before a properly instructed jury. See State v. DeJesus, supra, 288 Conn. 434-37.
The test used for determining whether one crime is a lesser included offense of another crime is “whether it is not possible to commit the greater offense, in the manner described in the information . . . without having first committed the lesser .... This . . . test is satisfied if the lesser offense does not require any element which is not needed to commit the greater offense.” (Citation omitted; internal quotation marks omitted.) State v. Greco, 216 Conn. 282, 292, 579 A.2d 84 (1990). As the Appellate Court recently has indicated; see State v. Spencer, 81 Conn. App. 320, 337-39, 840 A.2d 7 (2004), rev’d in part on other grounds, 275 Conn. 171, 881 A.2d 209 (2005); unlawful restraint in the second degree is a lesser offense included within the offense of kidnapping in the first degree.
See State v. Sanseverino, supra, 287 Conn. 662 n.ll (Zarella, J., dissenting) (“even though the trial court ... did not expressly instruct the jury on the lesser included offense of unlawful restraint in the second degree, because that crime is a lesser included offense of kidnapping in the first degree and because the trial court instructed the jury on the elements of kidnapping in the first degree, it implicitly instructed the jury on the lesser offense inasmuch as the trial court necessarily instructed the jury on all of the elements comprising the crime of unlawful restraint in the second degree”).
“In [Greene], the defendant [Mashawn Greene] was charged with, inter alia, murder as an accessory, and the trial court granted the state’s request to instruct the jury on what [the state] considered to be the lesser included offense of manslaughter in the first degree with a firearm as an accessory. [State v. Greene, supra, 274 Conn. 154-55], On appeal, we concluded that such an instruction was improper because manslaughter in the first degree with a firearm is not a lesser included offense of murder. Id., [158-60]. We rejected [Greene’s] contention that the appropriate remedy for this constitutional violation of instructional error was a judgment of acquittal and determined that we could modify the judgment of conviction. Id., 160-62.
Kidnapping in the first degree, by contrast, is a class A felony. General Statutes § 53a-92 (b).
In one such case, State v. Brown, 360 S.C. 581, 602 S.E.2d 392 (2004), the court set forth the following comprehensive statement of reasons in support of its conclusion that a jury instruction on the lesser included offense is a necessary prerequisite to the modification of a judgment of conviction. “First, an appellate court does not sit as a [fact finder] in a criminal case and should avoid resolving cases in a manner which appears to place the appellate court in the jury box. . . .
“Second . . . this view preserves the important distinction between an appellate determination [that] the record contains sufficient evidence to support a guilty verdict and a jury determination [that] the [s]tate proved its case beyond a reasonable doubt. . . .
“Third, when [a jury instruction on the lesser offense has been given] ... it can be said with some degree of certainty that a [sentencing remand] is but effecting the will of the fact finder within the limitations imposed by law . . . and . . . that the appellate court is simply passing on the sufficiency of the implied verdict. When, however, no instruction at all has been offered on the lesser offense, second guessing the jury becomes far more speculative. . . .
“Fourth, when the jury could have explicitly returned a verdict on the lesser offense, the defendant is well aware of his potential liability for the lesser offense and usually will not be prejudiced by the modification of the judgment from the greater to the lesser offense. . . .
“Fifth, adopting apractice of remanding for sentencing on alesser included offense when that offense has not been submitted to the jury may prompt the [s]tate to avoid requesting or agreeing to submit a lesser included offense to the jury. . . .
“Sixth, the [sjtate would obtain an unfair and improper strategic advantage if it successfully prevents the jury from considering a lesser included offense by adopting an all or nothing approach at trial, but then on appeal, perhaps recognizing [that] the evidence will not support a conviction on the greater offense, is allowed to abandon its trial position and essentially concede [that] the lesser included offense should have been submitted to the jury. . . .
“Seventh . . . [t]he defendant may weE have [forgone] a particular defense or strategy due to the trial court’s rejection of a lesser included offense.” (Citations omitted; internal quotation marks omitted.) Id., 594-97.
In his dissent, Justice Schaller contends that “the unfairness to a defendant by convicting him of a charge on which the original jury could not
We emphasize that we intimate no view as to whether the state would be entitled to such a modification in the absence of any one of the factors that are present in this case. We do not doubt that we will have the opportunity to consider that broader issue, sooner rather than later, when our decision actually will make a difference to the outcome of the case. See, e.g., Kelly v. New Haven, 275 Conn. 580, 602, 881 A.2d 978 (2005) (“[w]e generally eschew . . . making legal pronouncements on matters not directly pre
“I am extremely reluctant to decide anything except what is necessary for the special case, because I believe by long experience that judgments come with far more weight and gravity when they come upon points which the (¡Judges are bound to decide, and I believe that obiter dicta, like the proverbial chickens of destiny, come home to roost sooner or later in a very uncomfortable way to the [j Judges who have uttered them, and are a great source of embarrassment in future cases. Darr v. Burford, 339 U.S. 200, 214, 70 S. Ct. 587, 94 L. Ed. 761 (1950), overruled in part on other grounds by Fay v. Noia, 372 U.S. 391, 83 S. Ct. 822, 9 L. Ed. 2d 837 (1963).” (Internal quotation marks omitted.) United States v. Schultz, supra, 333 F.3d 407 n.8.
Justice Katz nevertheless takes issue with the fact that we limit our holding to the particular facts and procedural history of this case, and that we decline to decide the broader issue presented, namely, under what particular circumstances is it appropriate for an appellate court to require the conviction of a lesser included offense upon reversal of a conviction of the greater offense. In challenging our preference to decide this case more narrowly, Justice Katz ignores several important factors in addition to the foregoing consideration. First, this issue never has been decided expressly by this court orthe Appellate Court. Second, courts of other jurisdictions are sharply divided on the issue. Third, because the defendant never responded to the state’s motion for reconsideration en banc, we are unable to subject the issue to meaningful adversarial testing. In such circumstances, we believe that prudence militates strongly in favor of the more cautious approach that we take in the present case. For all the same reasons, we disagree with the approach taken by Chief Justice Rogers, who, like Justice Katz, would decide the broader issue raised by this case. With respect to that broader issue, however, Chief Justice Rogers would reach a result that is precisely the opposite of the result that Justice Katz would reach. In our view, the very fact that two members of this court disagree so starkly on that broader question strongly supports the conclusion that it is wiser not to decide the issue until it has been squarely presented and fully briefed. Indeed, neither Chief Justice Rogers nor Justice Katz has offered any reason why it would not be better to await such a case.
Concurring Opinion
concurring. I join with the majority opinion, but write separately to emphasize that, in my view, allowing the state the option of requesting the modification of the conviction of the defendant, Paolino Sanseverino, on the charge of kidnapping in the first degree in violation of General Statutes § 53a-92 (a) (2) (A), to reflect the lesser included offense of unlawful restraint in the second degree in violation of General Statutes § 53a-96, is appropriate only because there was a significant change in this court’s construction of the kidnapping statute after the defendant’s conviction but before the resolution of his appeal. See State v. Sala-mon, 287 Conn. 509, 517-50, 949 A.2d 1092 (2008). I believe that, as a general rule, the modification of a conviction to reflect a lesser included offense is inappropriate unless the jury has received an instruction on the lesser included offense.
As the majority acknowledges, this court never has directly addressed the question of whether it may modify a conviction to reflect a lesser included offense in the absence of a jury instruction on the lesser included offense.
In State v. Greene, 274 Conn. 134, 174, 874 A.2d 750 (2005), cert. denied, 548 U.S. 926, 126 S. Ct. 2981, 165 L. Ed. 2d 988 (2006), this court modified the judgment to reflect a conviction of a lesser included offense on which the jury had not been instructed. We did not directly address the question, however, of whether such a modification was proper in the absence of an instruction on the lesser included offense.
I recognize that this court has held that, when certain conditions are met, “an instruction on a homicide of a lesser degree than that charged is appropriate, whether requested by the state or the defendant, or given by the court sua sponte.” State v. Rodriguez, 180 Conn. 382, 408, 429 A.2d 919 (1980); see also State v. Prutting, 40 Conn. App. 151, 165, 669 A.2d 1228 (“the trial court did not deprive the defendant of his right to notice by
In State v. Home, 19 Conn. App. 111, 145-46, 562 A.2d 43 (1989), rev’d on other grounds, 215 Conn. 538, 577 A.2d 694 (1990), the Appellate Court modified a judgment of conviction of sexual assault in the first degree with a deadly weapon to reflect a conviction of sexual assault in the first degree even though the jury had not been instructed on the lesser offense. See also State v. Ortiz, 71 Conn. App. 865, 879, 804 A.2d 937 (modifying conviction of robbery in first degree to reflect lesser included offense of robbery in second degree, even though trial court had not instructed jury on lesser included offense), cert. denied, 261 Conn. 942, 808 A.2d 1136 (2002). In support of its holding in Home, the Appellate Court stated that, “[e]ven in the absence of ... a request . . . the trial court may, sua sponte, properly submit a lesser included offense to the jury.” State v. Horne, supra, 145; see also State v. Haywood, 109 Conn. App. 460, 466, 952 A.2d 84, cert. denied, 289 Conn. 928, 958 A.2d 161 (2008). In Home, the Appellate Court relied on Rodriguez, see State v. Home, supra, 145; in Ortiz, the court relied on Home-, see State v. Ortiz, supra, 878; and in Haywood, the court relied on Ortiz. See State v. Haywood, supra, 466-67 n.3. As I have indicated, however, I do not believe that Rodriguez supports the broad principle that a trial court always may instruct a jury on a lesser included offense sua sponte.
In any event, I would not decide in this case whether it is appropriate for the trial court to give an instruction on a lesser included offense because, even if it is appropriate, I am aware of no authority for the proposition that the trial court is authorized to modify a conviction to reflect a lesser included offense after a guilty verdict if no instruction on the lesser included offense was given. For this reason, and for the other reasons stated in this concurring opinion, I disagree with the Appellate Court’s conclusion that, “[although in most of the cases that we have reviewed in which this court or our Supreme Court has modified a judgment to reflect a conviction of a lesser included offense, the jury was instructed on the lesser included offense, we do not believe this factor is critical.” State v. Haywood, supra, 109 Conn. App. 466 n.3.
In her dissenting and concurring opinion, Justice Katz states that, “[bjecause there is no question in the present case that the defendant had a fair trial and that the jury properly was instructed on the element of restraint, there is no undue prejudice to the defendant if we reduce his conviction to the lesser offense.” In support of this argument she relies on this court’s statement in State v. Saracino, 178 Conn. 416, 421, 423 A.2d 102 (1979), that, “[sjince the jury could have explicitly returned ... a verdict [of guilty of the lesser included offense of larceny in the fourth degree], the defendant was aware of her potential liability for this crime and would not now be prejudiced by modification of the judgment . . . .” In Saracino, however, our statement that the jury could have explicitly returned a guilty verdict on the lesser offense was premised on the fact that the trial court had instructed the jury on that offense at the defendant’s request. See id. In my view, this court used the word “explicitly” in Saracino to distinguish that case from cases in which the jury could return only an implicit verdict of guilty on 1 he lesser included offense by returning a verdict of guilty on the greater offense. In the present case, the jury could not have returned an explicit verdict of guilty of the lesser included offense of
If a conviction is overturned because the evidence was insufficient to establish the defendant’s guilt beyond a reasonable doubt, retrial on that offense and any lesser included offenses would be barred by the double jeopardy clause of the United States constitution. See Stephens v. State, 806 S.W.2d 812, 819 (Tex. Crim. App. 1990) (“when a defendant has obtained a reversal of a conviction for a greater offense solely on the ground that there was insufficient evidence to prove the aggravating element of that offense, the [djouble [¡Jeopardy [c]lause bars a subsequent prosecution for a lesser included offense”), cert. denied, 502 U.S. 929, 112 S. Ct. 350, 116 L. Ed. 2d 289 (1991); see also Burks v. United States, 437 U.S. 1, 18, 98 S. Ct. 2141, 57 L. Ed. 2d 1 (1978) (“the [d]ouble [¡Jeopardy [cjlause precludes a second trial once the reviewing court has found the evidence legally insufficient [and] the only ‘just’ remedy available for that court is the direction of a judgment of acquittal,” not retrial); In re Nielsen, 131 U.S. 176, 189, 9 S. Ct. 672, 33 L. Ed. 118 (1889) (stating in dicta that “a conviction or an acquittal of a greater crime is a bar to a subsequent prosecution for a lesser one”); United States v. Gooday, 714 F.2d 80, 82 (9th Cir. 1983) (if no instructions are given on lesser included offense, “an acquittal on the crime explicitly charged necessarily implies an acquittal on all lesser offenses included within that charge”), cert. denied, 468 U.S. 1217, 104 S. Ct. 3587, 82 L. Ed. 2d 884 (1984); Andrade v. Superior Court, 183 Ariz. 113, 115, 901 P.2d 461 (1995) (“[djouble jeopardy . . . shields [a defendant who has been acquitted of an offense] from subsequent prosecutions for lesser included offenses if the jury has not been instructed on the lesser included offenses”); People v. Biggs, 1 N.Y.3d 225, 231, 803 N.E.2d 370, 771 N.Y.S.2d 49 (2003) (since defendant “was acquitted of the intentional murder charges at his first trial,
Concurring Opinion
concurring in part and dissenting in part. I strongly disagree with the majority’s reversal of course on an issue that was squarely presented in State v. Sanseverino, 287 Conn. 608, 650, 949 A.2d 1156 (2008) (Zarella, J., dissenting), the majority now concluding that the defendant, Paolino Sanseverino, is not entitled to a judgment of acquittal on the charge of kidnapping in the first degree with respect to one of his victims, G. In addition, although I agree with the majority’s decision to grant the state’s motion for reconsideration on the issue of whether the defendant’s conviction on that charge should be reduced to the lesser included offense of unlawful restraint in the second degree, I disagree that such a decision is warranted because of the “unique circumstances of this case.”
On the first point, the basis of my disagreement, namely, that we properly applied a sufficiency of the evidence analysis in Sanseverino, is set forth in detail in my dissenting opinion in State v. DeJesus, 288 Conn. 418, 528-47, 953 A.2d 45 (2008) (Katz, J., dissenting). It bears repeating, however, that, in Sanseverino, we applied the same analytical framework as in State v. Salamon, 287 Conn. 509, 548-50, 949 A.2d 1092 (2008), wherein we had examined the sufficiency of the evidence to determine whether the defendant was entitled to a judgment of acquittal of kidnapping in the second degree. See State v. Sanseverino, supra, 287 Conn. 624-26. In Salamon, only after we had examined the evidence at length did we conclude that a retrial was warranted because the evidence actually adduced could be a sufficient basis for a reasonable jury to find a kidnapping upon a proper instruction under the
Turning to my second point, the majority grants the state’s motion for reconsideration with respect to whether the defendant’s conviction of kidnapping in the first degree should be reduced to that of the true lesser included offense of unlawful restraint in the second degree should the state decide not to retry the defendant on the greater offense. I also would grant the state’s motion for reconsideration in order to modify the judgment to reflect a conviction of the lesser included offense. Because the majority limits its decision allowing the modification of the judgment in the present case to its “unique circumstances,” however, I feel compelled to question the reluctance of my colleagues to embrace a universal rule consistent with well established lesser included offense jurisprudence.
In the present case, the jury necessarily found the defendant guilty of unlawful restraint in the second degree in violation of General Statutes § 53a-96. By instructing the jury on the elements of kidnapping in the first degree, the trial court required, and the jury a fortiori found, that there was an unlawful restraint.
In State v. Grant, 177 Conn. 140, 147, 411 A.2d 917 (1979), this court first adopted the rule that it “may order the modification of an erroneous judgment where the evidence is insufficient to support an element of the offense stated in the verdict but where the evidence presented is sufficient to sustain a conviction for a lesser included offense.” Although the court recognized that “[t]his power should be exercised only when it is clear that no undue prejudice will result to the accused”; (internal quotation marks omitted) id., 148; it determined that no such prejudice occurs if “[t]he defendant has had a fair adjudication of guilt on all the elements
I recognize that most of the cases in which this court has ordered the modification of a judgment to reflect a conviction of a lesser included offense have involved circumstances wherein the jury had been instructed on that lesser included offense. We never have stated, however, that the absence of a jury instruction is an
In Greene, a case in which the defendant had been charged with, inter alia, murder as an accessory, the trial court had granted the state’s request to instruct the jury on what it had considered to be the lesser included offense of manslaughter in the first degree with a firearm as an accessory. Id., 154. On appeal, we concluded that the instruction was improper because manslaughter in the first degree with a firearm was not a lesser included offense of murder, as charged in the information. Id., 158-60. In rejecting the defendant’s contention that the appropriate remedy for this constitutional instructional error was a judgment of acquittal, we determined that it would be proper to modify the judgment of conviction to manslaughter in the first
Embodied in Greene is a recognition that “whe [n] one or more offenses are lesser than and included within the crime charged, notice of the crime charged includes notice of all lesser included offenses. . . . This notice permits each party to prepare a case properly, each cognizant of its burden of proof.” (Internal quotation marks omitted.) State v. Tomlin, 266 Conn. 608, 617, 835 A.2d 12 (2003).
Such modifications are not limited to jury trials. In State v. McGann, 199 Conn. 163, 506 A.2d 109 (1986), a case tried to the court, as in the present case, this court modified a judgment of conviction from murder for hire, a capital felony, to murder; id., 179; because the latter crime was a lesser included offense and “the defendant could not have committed murder for hire without also committing intentional murder . . . .” (Internal quotation marks omitted.) Id., 178. The court modified the judgment of conviction because it concluded that “[t]he failure of the state to prove the additional element of a hiring to commit the murder leaves standing the finding . . . that the defendant did murder [the victim].” Id., 178-79. Because McGann involved a trial to the court, there were no jury instructions that might have given the defendant express notice of his criminal liability on the lesser included offense. There is also no indication in this court’s decision in McGann that the state had requested this court to modify the judgment. Nevertheless, we noted that “[o]ur conclu
Indeed, it is well settled that, even in the absence of a request from either party, the trial court may, sua sponte, submit a lesser included offense to the jury if the evidence supports such a charge. State v. Rodriguez, 180 Conn. 382, 408, 429 A.2d 919 (1980); State v. Horne, 19 Conn. App. 111, 145, 562 A.2d 43 (1989), rev’d on other grounds, 215 Conn. 538, 577 A.2d 694 (1990); see also State v. Jacobowitz, 194 Conn. 408, 412-13, 480 A.2d 557 (1984) (implicitly recognizing court’s discretion in concluding that trial court properly could have declined to instruct jury on lesser included offense in absence of request); State v. Whistnant, supra, 179 Conn. 581-82 (noting that question of whether due process clause of fourteenth amendment requires trial court to instruct the jury, sua sponte, on lesser included offense has not been resolved by federal courts). Thus, it is clear that the parties’ conduct vis-á-vis jury instructions does not control exclusively whether a conviction may lie for a lesser included offense. The trial court’s authority in this regard is rooted in the interests of justice, so that “the jury should not be . . . forced by its verdict to choose only between the offense with the [greater culpability] and acquittal.” State v. Asherman, 193 Conn. 695, 731-32, 478 A.2d 227 (1984), cert. denied, 470 U.S. 1050, 105 S. Ct. 1749, 84 L. Ed. 2d 814 (1985). Similarly, the interests of justice would not be served by precluding an appellate court from ordering modification of the judgment to a conviction of a lesser offense simply because the parties did not request the trial court to provide such an instruction. Indeed, to conclude otherwise would require the state to request an instruction on every possible lesser included offense to the crime charged to avoid retrial should an appellate court
It is also significant that we have held that a jury cannot consider an instruction on a lesser included offense unless it first has determined that the defendant is not guilty of the greater offense. See State v. Sawyer, 227 Conn. 566, 579, 630 A.2d 1064 (1993) (“to ensure that the charged offense has been determined by unanimous agreement, the court must direct the jury to reach a unanimous decision on the issue of guilt or innocence of the charged offense before going on to consider the lesser included offenses”); id., 585-87 (same, citing “acquittal first” rule). Therefore, in the present case, even if the jury had been charged on the lesser included offense, once it found the defendant guilty of the greater offense, it would not have reached the lesser offense. Accordingly, it makes no sense to conclude that, in a case in which the evidence would have rendered it proper to provide an instruction on the lesser offense; see footnote 3 of this concurring and dissenting opinion; the absence of such a request precludes modification of the judgment.
With respect to any concern that the state did not charge the defendant with unlawful restraint in the second degree in violation of § 53a-96, it is well settled that the state’s failure to charge a lesser included offense does not preclude the submission of that charge to the jury. See State v. Smith, 185 Conn. 63, 77, 441 A.2d 84 (1981); State v. Maselli, 182 Conn. 66, 72, 437 A.2d 836 (1980), cert. denied, 449 U.S. 1083, 101 S. Ct. 868, 66 L. Ed. 2d 807 (1981); State v. Rodriguez, supra, 180 Conn. 405; see also United States v. Dhinsa, 243 F.3d 635, 676 (2d Cir.), cert. denied, 534 U.S. 897, 122 S. Ct. 219, 151 L. Ed. 2d 156 (2001); United States v. Martel, 792 F.2d 630, 638 (7th Cir. 1986). This court has relied on this rationale to conclude that, even when a defendant has not been charged with the lesser included
The only “unique circumstances”
Accordingly, I respectfully concur in part and dissent in part.
The trial court instructed the jury that “[f]or you to find the defendant guilty of this charge, the state must prove the following elements beyond a reasonable doubt: (1) that the defendant abducted the victim; and (2) that the defendant restrained the person he abducted with the intent to abuse the person sexually.” (Emphasis added.)
In this regard, I note that one of the decisions in which this court has concluded that it would not prejudice the defendant to reduce his conviction to a lesser included offense does not state whether the jury, through express instructions by the court, had been given the opportunity to consider the lesser included offense. See State v. Edwards, 201 Conn. 125, 133-34 n.6, 513 A.2d 669 (1986) (“While the evidence was insufficient to sustain the conviction on the second count of the substitute information charging the crime of accessory to robbery in the second degree, it did suffice to sustain a conviction for the lesser included offense of accessory to robbery in the third degree. The jury’s verdict on the second count necessarily determined that the state had proven all the elements of accessory to robbery in the third degree beyond a reasonable doubt upon which the trial court instructed the jury. Under the circumstances of this case, the reduction of the defendant’s conviction on the second count to the lesser included offense cannot prejudice the defendant.”). A careful review of the record and briefs in Edwards does disclose a statement in the defendant’s brief to this court suggesting that the jury did receive an instruction on the lesser offense. Presumably, however, if a jury instruction on the lesser included offense is a necessary predicate to modifying a judgment from the greater offense to a lesser offense, this court’s opinion would have reflected that fact expressly. Therefore, in the absence of any such reference, I would conclude the opposite.
In State v. Whistnant, supra, 179 Conn. 588, this court held that a jury properly may be instructed on a lesser included offense when, inter alia, the evidence could justify the conviction of the lesser offense and the proof on elements 1hat differentiate the lesser offense from the offense charged
In fact, we have relied on the same notice considerations to conclude that a defendant’s waiver of his constitutional rights to a jury trial and his court trial election as to the greater offense were valid as to any lesser included offenses. See State v. Williams, 205 Conn. 456, 466, 534 A.2d 230 (1987) (defendant’s waiver of right to jury trial for burglary in first degree constituted waiver for burglary in second degree as charged in substitute information “because a defendant is deemed to be on notice that a charge of the more serious offense encompasses the lesser offenses”).
In State v. Edwards, supra, 201 Conn. 133-36 n.6, this court noted a long history of state and federal appellate courts exercising their power to reverse a conviction while at the same time ordering the entry of judgment on a lesser included offense. See id., citing United States v. Cobb, 558 F.2d 486, 489 (8th Cir. 1977); Austin v. United States, 382 F.2d 129, 140-42 (D.C. Cir. 1967); Luitze v. State, 204 Wis. 78, 84, 234 N.W. 382 (1931). I am aware, however, that there is not a consensus among the various jurisdictions to have considered the issue as to whether modification of a judgment to a conviction of a lesser included offense is proper in the absence of a jury instruction on that lesser offense. Compare United States v. Hunt, 129 F.3d 739, 745-46 (5th Cir. 1997) (instruction not required but should be considered in determining whether modification of judgment unduly prejudicial to defendant), United States v. Smith, 13 F.3d 380, 383 (10th Cir. 1993) (no undue prejudice due to modification of judgment because possibility of instruction on lesser included offense existed throughout trial, and all elements were proven beyond reasonable doubt), United States v. Lamartina, 584 F.2d 764, 766-67 (6th Cir. 1978) (holding that, although District Court erred in refusing to instruct on lesser included offense, sentence should be vacated and case remanded for sentencing on lesser included offense, as there was sufficient evidence to support lesser but not greater offense), cert. denied, 440 U.S. 928, 99 S. Ct. 1263, 59 L. Ed. 2d 483 (1979), Shields v. State, 722 So. 2d 584, 587 (Miss. 1998) (“lesser included offense need not be before the jury in order to apply the direct remand rule”), State v. Farrad, 164 N. J. 247, 266, 753 A.2d 648 (2000) (reversing case for new trial but noting that “guilty verdict may be molded to convict on a lesser-included offense even if the jury was not instructed on that offense if [1] [the] defendant has been given his day in court, [2] all the elements of the lesser included offense are contained in the more serious offense and [3] [the] defendant’s guilt of the lesser included offense is implicit in, and part of, the jury verdict” [internal quotation marks omitted]), State v. Briggs, 787 A.2d 479, 486-87 (R.I. 2001) (approving sentencing remand when, although jury was not instructed on lesser offense, defendant’s trial testimony constituted evidence meeting all elements of lesser included offense of larceny) and State v. Garcia, 146 Wash. App. 821, 829-30, 193 P.3d 181 (2008) (order to modify
In my view, the rationale provided in those jurisdictions holding that modification of a judgment is improper in the absence of an instruction on the lesser offense is unpersuasive. See United States v. Dhinsa, supra, 243 F.3d 674, 676 (reasoning that rule of criminal procedure providing that “[t]he defendant may be found guilty of an offense necessarily included in the offense charged or of an attempt to commit either the offense charged or an offense necessarily included therein if the attempt is an offense . . . applies to the jury’s—rather than a reviewing court,’s—finding of guilt on a lesser-included offense” [internal quotation marks omitted]); see also United States v. Vasquez-Chan, 978 F.2d 546, 554 n.5 (9th Cir. 1992) (citing cases in which other courts have modified judgment under facts wherein instruction on lesser offense had been given and relying on proposition that acquittal of greater offense necessarily means acquittal of lesser offense to conclude that “[i]f no such lesser-included offense instruction is given, the acquittal [whether at trial or on appeal] on the greater offense precludes a conviction on a lesser offense”); State v. Brown, supra, 360 S.C. 594-97 (citing as reasons for considering sentence remand only when lesser included offense has been properly charged t,o jury: [1] “appellate court does not sit as a [fact finder] in a criminal case and should avoid resolving cases in a manner which appears to place the appellate court in the jury box”; [2] “this view
Although the jury was not charged as to this lesser included offense in the present case, the defendant was on notice from the presence of the greater offense of kidnapping in the first degree in the information that he was being charged with conduct that included an element of restraint. See State v. Tomlin, supra, 266 Conn. 617 (“[When] one or more offenses are lesser than and included within the crime charged, notice of the crime charged includes notice of all lesser included offenses. . . . This notice
Dissenting Opinion
dissenting in part. I respectfully disagree with the majority opinion insofar as it gives the state an option to request a modification of the conviction of the defendant, Paolino Sanseverino, of kidnapping in the first degree in violation of General Statutes § 53a-92 (a) (2) (A) to reflect the lesser included offense of unlawful restraint in the second degree in violation of General Statutes § 53a-96. Although I understand that this case presents a special set of circumstances, I
Although we have not addressed this question directly, Chief Justice Rogers points out in her concurring opinion that several of our sibling states have recognized that “a defendant not only has a right to lesser-included offense instructions on request, but also has a right to forego such instructions for strategic reasons.” State v. Sheppard, 253 Mont. 118, 124, 832 P.2d 370 (1992). I agree with Chief Justice Rogers that “if the trial court has given no instruction on a lesser included offense, this court should not modify the judgment to reflect the lesser offense when the judgment on the greater offense has been overturned on appeal as the result of a legal error, and the sole remedy should be a retrial.” I find the sound reasoning in State v. Brown, 360 S.C. 581, 594-97, 602 S.E.2d 392 (2004), very persuasive. In that case, the Supreme Court of South Carolina set forth a comprehensive statement of reasons why a jury instruction on the lesser included offense is a prerequisite to modifying the judgment.
Briefly paraphrasing the Brown rationale, the court determined that a remand for sentencing on a lesser included offense is appropriate only when a jury properly has been charged on that offense because: (1) appellate courts should avoid resolving cases in ways that involve fact finding or blur distinctions between appellate and trial court determinations; (2) requiring an instruction maintains the distinction between an appellate court’s determination that the record evidence is sufficient to support a guilty verdict and a jury’s determination that the state proved its case beyond a reasonable doubt; (3) when the jury has been instructed on the greater offense only, any attempt to assess what the jury would have determined with respect to the
I am not persuaded that the particular circumstances of this case justify departing from the standard supported by those reasons. The fact that there was a significant change in the interpretation of the kidnapping statute after the defendant’s conviction but before the resolution of his appeal has no bearing on the soundness of the rationale expressed in Brown. I am not persuaded by the state’s argument that the circumstances of this case justify not holding the state to its decision to forgo an instruction on a lesser included offense. I believe that the unfairness to a defendant by convicting him of a charge on which the original jury could not have convicted him outweighs whatever disadvantage the state may suffer from its tactical decision. If this rule is not enforced in this situation, this court is, in effect, resolving a case “in a manner which appears to place [an] appellate court in the jury box.” Id., 594.
Although the majority adopts this modification procedure on a limited basis, I submit that the circumstances of this case do not justify an exception to the wise and sound principle that counsels otherwise. The state has not presented any reasons why it is entitled to benefit from the special advantage of optional courses of action
For the foregoing reasons, I respectfully dissent from part II of the majority opinion.
Reference
- Full Case Name
- State of Connecticut v. Paolino Sanseverino
- Cited By
- 57 cases
- Status
- Published