STATE OF CONNECTICUT v. MICHAEL PELELLA
(SC 19760)
Supreme Court of Connecticut
October 10, 2017
Palmer, Eveleigh, McDonald, Espinosa and Robinson, Js.*
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Syllabus
The state, on the granting of permission, appealed from the judgment of the trial court, which granted the defendant‘s motion to dismiss an information charging him with two counts of the crime of threatening in the second degree. The charges stemmed from an altercation between the defendant and his brother, F, over F‘s intention to move into the attic of a house where the defendant and F resided with their mother. During the altercation, the defendant told F that he would “hurt” him if he went into the attic. In response to the defendant‘s statement to F, their mother called the police. In his motion to dismiss, the defendant claimed that the allegedly threatening statement was not a true threat, which is a form of speech that is not protected by the first amendment of the United States constitution, but was merely a spontaneous outburst, rooted in his anger and frustration with F. In granting the defendant‘s motion, the trial court concluded that the state would be unable to sustain its burden of establishing that the statement constituted a true threat. On appeal, the state claimed that the statement constituted a true threat and that the trial court improperly granted the defendant‘s motion to dismiss. The state also contended that the trial court incorrectly determined that the law required a threat to be imminent for it to constitute a true threat and improperly viewed the evidence in the light most favorable to the defendant in ruling on the motion to dismiss. Held that the trial court improperly granted the defendant‘s motion to dismiss, as a jury reasonably could have found that the defendant‘s statement was a true threat: the trial court, in ruling on the motion to dismiss, was required to consider the evidence before it in the light most favorable to the state, and, when the evidence was viewed in such a light, it was possible for the state, following a trial, to convince a person of reasonable caution that the defendant‘s statement was highly likely to be perceived as a serious expression of an intent to harm F, and, accordingly, the issue of whether the statement was a true threat should have been for the jury to decide; the defendant‘s statement unambiguously communicated an ultimatum, the statement, according to F, was communicated directly to F rather than to the mother in an effort to have her arbitrate the dispute between F and the defendant, the prior relationship between F and the defendant involved at least one previous encounter that was physical in nature and caused F to fear for his safety, and the mother, who was intimately familiar with the history between F and the defendant, found it necessary to call the police to the scene and could be heard on the phone with the police stating that the defendant had threatened F; moreover, it was not necessary for this court to determine whether the trial court, in ruling on the motion to dismiss, relied on the imminence of the defendant‘s alleged threat, as imminence is only one factor to be considered in the determination of whether a statement constitutes a true threat rather than a requirement.
Argued December 5, 2016-officially released October 10, 2017
Procedural History
Substitute information charging the defendant with two counts of the crime of threatening in the second degree, brought to the Superior Court in the judicial district of Danbury, where the court, Eschuk, J., granted the defendant‘s motion to dismiss and rendered judgment thereon, from which the state, on the granting of permission, appealed. Reversed; further proceedings.
Mitchell S. Brody, senior assistant state‘s attorney, with whom, on the brief, were Stephen J. Sedensky III, state‘s attorney, and Edward L. Miller, deputy assistant state‘s attorney, for
Opinion
PALMER, J. The defendant, Michael Pelella, was arrested following an altercation with his brother and charged with two counts of threatening in the second degree, one for threatening to commit a crime of violence with intent to terrorize under
The following facts and procedural history are relevant to this appeal. According to a police report submitted by both parties, on January 20, 2014, police officers responded to 22 Fairlawn Avenue in the city of Danbury to investigate the report of a domestic disturbance at that residence. When they arrived, the officers discovered the thirty-one year old defendant, along with his twenty-two year old brother, Francis Pelella, and their mother, Linda Pelella, all three of whom resided at 22 Fairlawn Avenue. According to all three parties, the disturbance arose out of a disagreement between Francis, who wanted to move into the attic of the house, and the defendant, who had “some of his stuff up there” and objected to the move. The
The defendant and the mother admitted that the defendant had said that he would hurt Francis if he moved into the attic, but both claimed that the defendant had made the statement to the mother, not to Francis. The defendant claimed that he felt he had a right to protect his belongings. Both men attempted to play for the officers recordings that they had made of the encounter. Francis played a video recording on his cell phone that showed Francis standing at the top of a staircase and the defendant and the mother downstairs; the mother‘s voice could be heard, apparently on the telephone with the police, saying that the defendant had threatened to hurt Francis. Although the defendant also attempted to play for the officers an audio recording of the incident on his computer, the recording was unintelligible. Both the defendant and Francis were arrested for their participation in the altercation, the defendant for threatening and Francis for disorderly conduct.5
After the state filed a substitute information charging the defendant with two counts of threatening in the second degree, the defendant filed a pretrial motion to dismiss for insufficient evidence or cause pursuant to Practice Book § 41-8 (5).6 In support of his motion, the defendant claimed that the allegedly threatening statement was merely “a spontaneous outburst rooted in his anger and frustration with his brother,” and not an unprotected “true threat,” as described by this court in State v. Krijger, 313 Conn. 434, 450, 97 A.3d 946 (2014). See id. (true threat must be “on its face and in the circumstances in which it is made . . . so unequivocal, unconditional, immediate and specific as to the person threatened, as to convey a gravity of purpose and imminent prospect of execution” [internal quotation marks omitted]). The defendant argued that the alleged threat was conditional and not subject to an “imminent prospect of execution,” and that it was “nonspecific as to what would be done,” including whether the threatened response would be physical in nature. He further maintained, incorrectly, that there was “nothing to indicate [that] the threat was made directly to Francis.” In opposing the defendant‘s motion, the state maintained that the defendant‘s statement fit squarely within the objective standard articulated in Krijger, namely, “whether a reasonable person would foresee that the statement would be
After considering the parties’ arguments, the trial court issued a memorandum of decision in which it granted the defendant‘s motion to dismiss.7 The court commenced its analysis of the defendant‘s claim by characterizing the issue as whether the state could establish that the defendant‘s words amounted to a true threat or “were instead either part of a discourse, or were merely words uttered as an ‘unplanned [and] spontaneous reaction to the upset and anger [he] felt’ . . . and carried no immediate plan to harm.” (Citation omitted.) The court then noted that, under State v. Krijger, supra, 313 Conn. 460, “the state must do more than demonstrate that a statement could be interpreted as a threat.” (Emphasis in original; internal quotation marks omitted.) Rather, the state must show that “a reasonable listener, familiar with the entire factual context of the defendant‘s statements, would be highly likely to interpret them as communicating a genuine threat of violence rather than protected expression, however offensive or repugnant.” (Internal quotation marks omitted.) The court further explained that the statement at issue was “susceptible of varying interpretations, at least one of which [was] nonthreatening,” and suggested that it may simply have been “an expression of how strongly [the defendant] felt about Francis’ plan to move into the attic” or “an appeal to the mother to arbitrate the dispute.” In light of the factual context, including the lack of evidence that the defendant approached Francis or took other steps to carry out his threat, the court determined that the state “would be unable to show that a reasonable listener, fully familiar with the facts, would be ‘highly likely’ to interpret them as a genuine threat of violence rather than protected expression,” as Krijger requires. (Emphasis in original.) The court
On appeal, the state renews its claim that the defendant‘s statement bore the necessary hallmarks of an unprotected true threat and that the trial court therefore improperly granted the defendant‘s motion to dismiss on first amendment grounds. The state contends, first, that the trial court incorrectly interpreted Krijger as requiring that a threat must be imminent to constitute a true threat. According to the state, the purported imminence requirement in Krijger constitutes dictum, runs counter to prior cases of this court that have explicitly relied on the opposite proposition, and ignores the fact that threats may be effective-that is, they may convey a serious intent to cause harm-regardless of whether they will be imminently executed. The state also asserts that the trial court‘s ruling is flawed because the court improperly viewed the evidence before it in the light most favorable to the defendant and that it should have considered that evidence in the light most favorable to the state. Finally, the state claims that, considering all the relevant circumstances presented to the court in that light, a jury reasonably could find that the defendant‘s statement constituted an unprotected true threat.
The defendant maintains that the trial court did not, in fact, rely on an “imminence requirement” in dismissing the charges and, instead, considered the threats “in light of their entire factual context,” noting only that the imminence of the harm “must be considered.” (Internal quotation marks omitted.) The defendant further claims that the trial court correctly concluded, upon consideration of the totality of the evidence presented, that the state cannot prove that the defendant‘s statement was a true threat.
Because this appeal challenges the propriety of the trial court‘s decision to grant the defendant‘s motion to dismiss, we review de novo the trial court‘s ultimate determination as to whether the defendant‘s statement constituted a true threat.9 Thus, we need not decide whether the court relied on the imminence of the alleged threat in making its determination. Nonetheless, we take this opportunity to clarify the apparent inconsistency in our precedents. We conclude that imminence, at least in the sense of immediacy,10 is only
Our plenary review of the state‘s claim also makes it unnecessary to determine whether the trial court viewed the evidence in the light most favorable to the defendant. As we explain more fully hereinafter, for purposes of the present case, the proper analytical approach is to evaluate the evidence in the light most favorable to the state. Having considered the evidence in that light, we are persuaded, contrary to the conclusion of the trial court, that a jury reasonably could find that the defendant‘s statement was an unprotected true threat prohibited by
“The [f]irst [a]mendment [to the United States constitution], applicable to the [s]tates through the [due process clause of the] [f]ourteenth [a]mendment, provides that ‘Congress shall make no law . . . abridging the freedom of speech.’ The hallmark of the protection of free speech is to allow ‘free trade in ideas‘-even ideas that the overwhelming majority of people might find distasteful or discomforting.” Virginia v. Black, 538 U.S. 343, 358, 123 S. Ct. 1536, 155 L. Ed. 2d 535 (2003). “The protections afforded by the [f]irst [a]mendment, however, are not absolute, and . . . the government may regulate certain categories of expression consistent with the [c]onstitution. . . . The [f]irst [a]mendment permits restrictions [on] the content of speech in a few limited areas, which are of such slight social value as a step to truth that any benefit that may be derived from them is clearly outweighed by the social interest in order and morality.” (Citation omitted; internal quotation marks omitted.) Id., 358-59.
True threats comprise one such unprotected category of speech. See, e.g., id., 359. “True threats encompass those statements where the speaker means to communicate a serious expression of an intent to commit an act of unlawful violence to a particular individual or group of individuals. . . . The speaker need not actually intend to carry out the threat. Rather, a prohibition on true threats protect[s] individuals from the fear of violence and from the disruption that fear engenders, in addition to protecting people from the possibility that the threatened violence will occur.” (Citations omitted; internal quotation marks omitted.) Id., 359-60. As a result, “we must distinguish between true threats, which, because of their lack of communicative value, are not protected by the first amendment, and those statements that seek to communicate a belief or idea, such as political hyperbole or a mere joke, which are protected.” State v. DeLoreto, 265 Conn. 145, 155, 827 A.2d 671 (2003). “In the context of a threat of physical violence, [w]hether a particular statement may properly be considered to be a threat is governed by an objective standard-whether a reasonable person would foresee that the statement would be interpreted by those to whom the maker communicates the statement as a serious expression of intent to harm or assault.” (Internal quotation marks omitted.) Id., 156.
In DeLoreto, we further concluded that a “threat need not be imminent to constitute a constitutionally punishable true threat.” Id., 159. In one incident described in that case, the defendant, Dante DeLoreto, followed a police officer out of a convenience store and said
Thereafter, in State v. Cook, supra, 287 Conn. 257, we reached the same conclusion. In that case, the defendant, Daniel Cook, had been involved in a long-standing dispute with his neighbor, whom he eventually threatened with a wooden table leg, which he waved in the air while stating, ” ‘[t]his is for you if you bother me anymore.’ ” Id., 238, 240. Cook claimed that he was entitled to a judgment of acquittal because the state failed to prove that his threatened use of the table leg “constituted a present threat, rather than a future threat . . . .” Id., 256. We rejected the claim, concluding that neither the statute under which Cook was charged nor the true threats doctrine required proof of imminence.11 Id., 256-57.
Most recently, in State v. Krijger, supra, 313 Conn. 434, we reiterated our objective standard for evaluating true threats, that is, whether the statement at issue reasonably would be interpreted as a serious expression of intent to harm, noting that “[a]lleged threats should be considered in light of their entire factual context, including the surrounding events and reaction of the listeners.” (Internal quotation marks omitted.) Id., 450. We further stated, however, that “[p]rosecution under a statute prohibiting threatening statements is constitutionally permissible [as] long as the threat on its face and in the circumstances in which it is made is so unequivocal, unconditional, immediate and specific as to the person threatened, as to convey a gravity of purpose and imminent prospect of execution . . . . United States v. Malik, 16 F.3d 45, 51 (2d Cir.), cert. denied, 513 U.S. 968, 115 S. Ct. 435, 130 L. Ed. 2d 347 (1994).” (Emphasis added; internal quotation marks omitted.) State v. Krijger, supra, 450. The state contends that this language is dictum and inconsistent with relevant precedent. To the extent that the challenged language can be read to suggest that a true threat must be subject to immediate execution unburdened by any conditions, we agree with the state.
We agree, first of all, that the disputed language in Krijger relating to imminence was not essential to our holding. In that case, the defendant, Stephen Jason Krijger, was involved in an ongoing zoning dispute with the town of Waterford. Id., 436. Following a hearing on
In DeLoreto and Cook, by contrast, our explicit determination that imminence was not a requirement under the true threats doctrine was integral to the outcome of each case. In DeLoreto, we acknowledged that the context made it unlikely that DeLoreto would carry out the threat immediately but found it to be a true threat
It is doubtful, in fact, that even the Second Circuit Court of Appeals, from which we appropriated the language under consideration, actually requires that a true threat be imminent. In United States v. Kelner, 534 F.2d 1020 (2d Cir.), cert. denied, 429 U.S. 1022, 97 S. Ct. 639, 50 L. Ed. 2d 623 (1976), the original source of the requirement, a concurring judge asserted that “the proposed requirement that the threat be of immediate, imminent and unconditional injury” was dictum and not required by the first amendment. Id., 1029 (Mulligan, J., concurring); see also United States v. Turner, 720 F.3d 411, 423-24 (2d Cir. 2013) (citing with approval Judge Mulligan‘s concurrence in Kelner), cert. denied, U.S. , 135 S. Ct. 49, 190 L. Ed. 2d 29 (2014); cf. Harrell v. State, 297 Ga. 884, 887, 778 S.E.2d 196 (2015) (citing Turner for proposition that “[a] ‘true threat’ may be conditional, need not be explicit, and the threatened violence need not be imminent“). In addition, in United States v. Malik, supra, 16 F.3d 45, the immediate source of the challenged language in Krijger, the Second Circuit did not rely on proof of imminence; rather, it upheld the defendant‘s conviction “for writing two letters, while incarcerated, that threatened violence . . . .” (Emphasis added.) United States v. Voneida, 337 Fed. Appx. 246, 249 (3d Cir. 2009). This is consistent with the Fifth Circuit‘s appraisal of Kelner, which equated that case‘s imminence requirement with “clarity of purpose . . . .” Shackelford v. Shirley, 948 F.2d 935, 939 (5th Cir. 1891).
Indeed, logic and reason dictate that a threat-for example, “if you report me to the police, I‘ll kill your family“-need not be imminent to be outside the protections of the first amendment.15
We next turn to the state‘s claim that the trial court improperly viewed the evidence before it in the light most favorable to the defendant in granting the motion to dismiss. The state argues, more specifically, that the trial court improperly determined that the evidence was insufficient to prove that the defendant‘s statement was a true threat because the opposite conclusion was “equally feasible . . . .” The defendant responds that, “[e]ven . . . if . . . the trial court should have viewed the evidence underlying the motion to dismiss in a light most favorable to the state, the error would be harmless” because “the state could not demonstrate that a reasonable listener would find the statement to be a genuine threat of violence rather than protected speech.” We agree with the state that the trial court was obliged to consider the evidence before it in the light most favorable to the state and, furthermore, that, when the evidence is viewed in such a light, the state may be able to prove at trial that the defendant‘s statement constituted a true threat.
The standard to be applied in determining whether the state can satisfy this burden in the context of a pretrial motion to dismiss under
With these principles in mind, we consider the merits of the state‘s claim, turning first to the language of the defendant‘s allegedly unlawful statement. According to Francis, the defendant told him, ” ‘if you go into the attic I will hurt you.’ ” As the trial court recognized, such words are “clearly capable of being a true threat . . . .” Indeed, unlike the precatory statements at issue in Krijger-for example, ” ‘I‘m going to be there [when you get hurt]’ “; State v. Krijger, supra, 313 Conn. 440; the statement in the
We must also consider the parties’ prior relationship. See State v. Krijger, supra, 313 Conn. 454 (“[w]hen the alleged threat is made in the context of an existing or increasingly hostile relationship, courts are more apt to conclude that an objectively reasonable speaker would expect that the statement would be perceived by the listener as a genuine threat“). In this case, police officers were called to the scene of the dispute, a location to which they previously had responded “numerous times,” and Francis told officers at the scene that the defendant‘s statement had caused him to fear for his safety because the defendant had physically hurt him in the past. At a hearing on his disorderly conduct charges, Francis later stated that he hoped “that, in other cases, similar to mine, there‘s more investigation into the civility of the household, as a whole, and the person doing all the antagonizing, like who it really is.” His attorney confirmed that “[i]t‘s a difficult family situation . . . .” Viewed in the light most favorable to the state, therefore, we are bound to conclude that at least one previous encounter between the defendant and his brother was physical in nature and sufficiently serious to cause Francis to fear for his safety if he crossed the defendant. This context significantly increases the likelihood that an objective listener would perceive the defendant‘s statement as a serious threat to perpetrate physical harm.
The immediate circumstances surrounding the defendant‘s statement, including Francis’ reaction, are also relevant. See State v. Krijger, supra, 313 Conn. 454. It is true, as the trial court observed, that Francis neither fled nor called the police, opting instead to record the encounter. Nor is there any evidence that the defendant approached Francis or otherwise physically engaged him during the altercation. Nonetheless, the very fact that the defendant‘s mother, who was intimately familiar with the history between the brothers, found it necessary to call the police to the scene, and could be heard on the phone saying that the defendant had threatened Francis, suggests that the defendant‘s mother believed that the threat might imminently result in physical harm.17 In any event, as we have explained,
Irrespective of the threat‘s “imminence,” the first amendment was not intended to protect speech lacking in any communicative purpose other than to prevent others from doing what they have a lawful right to do. See Shackelford v. Shirley, supra, 948 F.2d 938 (“The notion that some expression may be regulated consistent with the first amendment . . . starts with the already familiar proposition that expression has special value only in the context of dialogue: communication in which the participants seek to persuade, or are persuaded; communication [that] is about changing or maintaining beliefs, or taking or refusing to take action on the basis of one‘s beliefs . . . . It is not plausible to uphold the right to use words as projectiles [when] no exchange of views is involved.” [Internal quotation marks omitted.]), quoting L. Tribe, American Constitutional Law (2d Ed. 1988) § 12-8, pp. 836-37; see also In re M.S., 10 Cal. 4th 698, 714, 896 P.2d 1365, 42 Cal. Rptr. 2d 355 (1995) (“Violence and threats of violence . . . fall outside the protection of the [f]irst [a]mendment because they coerce by unlawful conduct, rather than persuade by expression, and thus play no part in the ‘marketplace of ideas.’ . . . As long as the threat reasonably appears to be a serious expression of intention to inflict bodily harm . . . and its circumstances are such that there is a reasonable tendency to produce in the victim a fear the threat will be carried out . . . the fact [that] the threat may be contingent on some future event [e.g., ‘If you don‘t move out of the neighborhood by Sunday, I‘ll kill you‘] does not cloak it in constitutional protection.” [Citations omitted; emphasis in original.]).
The limited facts in the record make for a very close case. On the one hand, we are committed to “ensur[ing] that only serious expressions of an intention to commit an act of unlawful violence are punished . . . .” (Emphasis in original.) State v. Krijger, supra, 313 Conn. 460. On the other hand, “[when] there is sufficient evidence to support a reasonable inference that the defendant intended to commit the crime charged, whether such an inference should be drawn is properly a question for the jury to decide.” State v. Morrill, supra, 193 Conn. 609; see also United States v. Dillard, supra, 795 F.3d 1199 (“If there is no question that a defendant‘s speech is protected by the [f]irst [a]mendment, the court may dismiss the charge as a matter of law. . . . But, [in the absence of] an unusual set of facts, the question whether statements amount to true threats is a question generally best left to a jury.” [Citation omitted; internal quotation marks omitted.]). The present case, unlike Krijger, involves a direct threat of harm arising out of the context of a difficult family relationship and prior use of physical force on the part of the defendant. In light of the mother‘s apparent concern, and viewing the evidence in the light most favorable to the state, we cannot say that the state, following a trial, would be unable to convince a person of reasonable caution that the defendant‘s statement was “highly likely” to be perceived as a serious expression of an intent to harm. State v. Krijger, supra, 460. Rather,
The judgment is reversed and the case is remanded with direction to deny the defendant‘s motion to dismiss and for further proceedings according to law.
In this opinion the other justices concurred.
* The listing of justices reflects their seniority status on this court as of the date of oral argument.
