STATE v. KING—DISSENT
Connecticut Supreme Court
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STATE v. KING—DISSENT
ROBINSON, J., with whom PALMER and McDONALD, Js., join, dissenting. I respectfully
I
I agree with the background facts and procedural history stated by the majority and I need not repeat them in full here. I also agree with the majority’s general recitation of the applicable constitutional principles governing the due process issue in this appeal, namely, whether the defendant received constitutionally adequate notice under Dunn v. United States, supra, 442 U.S. 106, that the state sought to convict him of both reckless and intentional assault. In principles first articulated in the context of sufficiency of the evidence claims,4 we have emphasized
‘‘The [United States] Court of Appeals for the First Circuit applied the Dunn principles in Cola v. Reardon, 787 F.2d 681 (1st Cir.), cert. denied, 479 U.S. 930, 107 S. Ct. 398, 93 L. Ed. 2d 351 (1986), a federal habeas action . . . . In Cola, there was evidence in the record that would have been sufficient to sustain the petitioner’s conviction, but the Court of Appeals held that the state appellate court should not have considered that evidence in support of the conviction because it was not part of the state’s theory of the case at trial. . . . In reaching that result, the Court of Appeals interpreted Dunn and its progeny as follows: ‘[I]n order for any appellate theory to withstand scrutiny under Dunn, it must be shown to be not merely before the jury due to an incidental reference, but as part of a coherent theory of guilt that, upon [review of] the principal stages of trial, can be characterized as having been presented in a focused or otherwise cognizable sense.’ . . . We conclude that this statement is an accurate synthesis of Dunn and Chiarella. We therefore adopt it as the standard by which to gauge whether evidence introduced at trial, but not relied on by the state in its legal argument, is properly cognizable by an appellate court when evaluating the sufficiency of the evidence.’’ (Citations omitted; emphasis added.) State v. Robert H., supra, 273 Conn. 82–83. In evaluating whether a coherent theory of guilt is properly before the jury during the principal stages of the trial, we conduct a wide-ranging review of the charging instrument, the jury instructions, witness examinations, and the prosecutor’s factual and legal arguments, such as summations and responses to dispositive motions. See, e.g., Cola v. Reardon, supra, 693–94; State v. Carter, 317 Conn. 845, 854–55, 120 A.3d 1229 (2015); State v. Fourtin, 307 Conn. 186, 208–209, 52 A.3d 674 (2012); see also footnote 9 of this dissenting opinion.
I respectfully disagree with the majority’s conclusion that the state tried this case in a way that apprised the defendant that the state intended to obtain convictions for both reckless and intentional assault. See State v. Nash, supra, 316 Conn. 666–67 (‘‘[i]n light of the state’s theory of the case, there was nothing to preclude a finding that the defendant possessed both of these mental states with respect to the same victim at the same time by virtue of the same act or
‘‘In both charges, the state has to prove that it’s [the defendant] that was involved; the second element, the intent to cause serious physical injury. . . .
‘‘Intent to cause serious physical injury: the things that—in the testimony that you heard, are the use of a knife. Now, no one says that [the defendant] gets a pillow, a spatula, a butter knife; he gets a steak knife, something that you commonly use to cut something more difficult than say, butter or peanut butter, or something like that. They all talk about the thrusting
‘‘You heard that [the defendant] came in and says, my name is—I’m Black Rob. They call me Black Rob for a reason, because I kill people. Why does that matter? That’s what is—he’s trying to scare everybody. He’s ranting at [Neri] over this money. He comes in and is angry. And if you look at [the defendant’s] statement . . . you will read where he says, ‘I was pissed. After [Neri] was pointing the gun at me, I was real pissed.’ He’s angry. [The victim] says, ‘It felt like I was being punched in the stomach.’ Those are things that you can use to cause—use to factor in intent to cause serious physical injury.’’
After arguing that the evidence satisfied the ‘‘serious physical injury’’ and ‘‘dangerous instrument’’ elements with respect to the intentional assault charge, the prosecutor stated: ‘‘Now there’s the second charge, assault one, reckless indifference: a conduct creating a risk of death, recklessness, extreme indifference to human life and causes serious physical injury. ‘‘You may be wondering why there are two charges. You have a variety of evidence to draw from and I don’t know what you’ll find credible. If you find [the defendant’s] statement credible, he’s saying he’s waving the knife around, he’s angry with [Neri], and [the victim] jumps in the middle, if you believe [the defendant’s] statement you would look more to the assault one, reckless indifference.’’7 (Emphasis added.)
The prosecutor did not discuss the concept of reckless indifference in any detail, and instead went on to argue about the credibility of the testifying witnesses and the defendant’s statement to the police. The prosecutor then concluded her closing argument by stating that: ‘‘I believe after the six of you deliberate, hear the judge’s instructions, and apply the facts of the case as you’ve heard them, you will find [the defendant] guilty beyond a reasonable doubt of assault in the first degree, dangerous instrument.’’
In her rebuttal argument, the prosecutor again did not argue the concept of recklessness in any detail, but instead responded to the defendant’s proffered theory of self-defense by arguing that the version of events set forth in the defendant’s statement gave rise to the duty to retreat, thus defeating his justification of self-defense.8 The prosecutor also argued that
The prosecutor continued: ‘‘Yes, [the victim] said it was an accident. I got in the middle of things. She got in the middle of [Neri] and [the defendant]. She tried to diffuse the situation. ‘No one needs to die tonight,’ and she got stabbed. She put herself in the middle of that situation, not—not literally in the middle of the knife-swinging, but she says I put myself in the middle of something.’’
Ultimately, the prosecutor concluded her rebuttal argument by stating that: ‘‘I believe we have proven to you beyond a reasonable doubt assault first with a dangerous instrument.’’ (Emphasis added.)
I conclude that there is nothing in the prosecutor’s summation that remotely hints that the state presented to the jury a ‘‘coherent theory of guilt . . . in a focused or otherwise cognizable sense’’; (internal quotation marks omitted) State v. Robert H., supra, 273 Conn. 83; that the defendant was guilty of both intentional and reckless assault. Beyond the prosecutor’s explanation before the jury of why there were two charges in this case, which is a statement that plainly contemplates a case charged in the alternative depending on the jury’s finding as to the applicable mental state, her statement with respect to the state’s desired verdict indicates just such a unitary view of the case. The prosecutor did not ask for a conviction on ‘‘both’’ or ‘‘all counts,’’ and her description of the verdict desired was in the singular insofar as she concluded both her closing and rebuttal arguments by asking the jury to convict the defendant of ‘‘assault in the first degree, dangerous instrument’’ and ‘‘assault first with a dangerous instrument’’ respectively. Moreover, the prosecutor paid minimal attention to the recklessness charge, and did not spend any time describing the elements of the offense of reckless assault in an attempt to relate them to the evidence in the record; it appeared to be a mere afterthought. Thus, I believe that the majority stretches the word ‘‘ambiguous’’ beyond all comprehension when it uses it to describe the prosecutor’s closing argument, and calls it ‘‘difficult . . . to draw any definite conclusions from the closing argument regarding the state’s theory of the case.’’
The majority acknowledges that a ‘‘[s]ummation . . . can often provide a reviewing court with needed clarity in those cases where the state’s theory at trial is not clear upon review of the other factors.’’ The majority’s actual willingness to relieve the state from the theory put forth in its closing arguments is, however, at drastic odds with nearly one decade’s worth of case law since State v. Robert H., supra, 273 Conn. 83, which applies the due process principles of Dunn v. United States, supra, 442 U.S. 106–107.9 For example, in State v. Fourtin, supra, 307 Conn. 188, we considered whether there was sufficient evidence of ‘‘physical helplessness’’ to sustain a defendant’s conviction for attempt to commit sexual assault in the second degree in violation of
‘‘To the contrary, the prosecutor expressly told the jury during closing argument that the victim, ‘according to all accounts, was very vocal, very active, and, if in fact she felt that . . . [people were not understanding] what she was saying, I believe [that] everybody [who has] testified here [has indicated that] she would throw up her arms and say ‘‘stop.’’ ’ During closing argument, the prosecutor also noted that the victim was ‘very limited in terms of . . . what type of information she can pass on to you,’ and that she had ‘some difficulty expressing herself . . . .’ At no time, however, did the state even raise the notion that the victim was unable to communicate an unwillingness to an act.’’ (Footnote omitted; emphasis altered.) Id., 208–209.
Similarly, in State v. Carter, supra, 317 Conn. 855, we recently observed that ‘‘neither the substitute information nor the court’s instructions to the jury identified the target of
Guided by these recent Connecticut cases applying the theory of the case doctrine in connection with the state’s closing arguments, I conclude that the state presented the charges of reckless and intentional assault to the jury as alternatives, rather than in an effort to obtain multiple convictions arising from the same act. As the defendant aptly observes, the state adopted a trial strategy in which it primarily argued that the defendant had ‘‘intentionally stabbed the victim four times,’’ but ‘‘hedged its bet’’ by positing that, ‘‘even on [the defendant’s] version of the stabbing (which the state hotly disputed), he recklessly assaulted the victim.’’ Accordingly, I agree with the Appellate Court’s conclusion that the theory of the case doctrine precludes the state from advancing arguments on appeal that would save the defendant’s convictions from reversal.11 See State v. King, supra, 149 Conn. App. 374–75.
I would, therefore, affirm the judgment of the Appellate Court. Accordingly, I respectfully dissent.
Notes
‘‘In count two of the information, the defendant is charged with the crime of assault in the first degree in violation of [
‘‘When you return to the courtroom, you will be asked whether the accused is guilty or not guilty of each of the crimes charged in the information and whether your verdict is unanimous as to each charge.’’ (Emphasis added.)
After providing this overview of the charges, the trial court then instructed the jury as to the specific elements of intentional and reckless assault in the first degree, without using any transitional language specifically instructing the jury that it could find the defendant guilty of either or both charges.
Relying on these facts, the defendant argued: ‘‘I want you to use your common sense when you think about this case, what the evidence was. Does it make sense that this was an unprovoked stabbing or does it ring true to what my client is telling you in his statement? Does that make more sense, that this was a brawl, a fight between [Neri] and my client, after [Neri] threatened him with a gun, and . . . that this was essentially an accident? She got in the middle. [The victim] got in the middle of [Neri] and [the defendant] and that’s how she got stabbed. If you do that, I am confident that you will return a verdict of not guilty.’’
Finally, I disagree that the defendant would obtain any kind of ‘‘windfall’’ as a result of my conclusion. Insofar as the trial court sentenced the defendant concurrently on the two convictions, all the state had to do to avoid reversal on appeal was ask the trial court to vacate one of them in response to the defendant’s postverdict motions, and the defendant would not have served one less day in prison. Cf. State v. Nash, supra, 316 Conn. 669–70 n.19 (noting that defendant did not raise double jeopardy claim and that trial court had merged intentional and reckless assault convictions, and had sentenced him only on intentional assault conviction); see also State v. Miranda, 317 Conn. 741, 755–56, 120 A.3d 490 (2015) (discussing use of contingent vacatur of convictions in lieu of merger as double jeopardy remedy). Second, subject to double jeopardy protections not at issue in this appeal, my conclusion does nothing to preclude the state from obtaining multiple convictions under the same statute potentially even for the same act, so long as the state actually pursues that strategy at trial. See, e.g., State v. Wright, 319 Conn. 684, 696, 127 A.3d 147 (2015) (state may obtain multiple convictions for aggravated sexual assault of minor for single act that violates
