State v. PetionState v. Petion
- Reporters:
- , ,
- Before:
- Robinson, Palmer, McDonald, D’Auria, Mullins, Kahn, Ecker
Syllabus
Pursuant to statute (
Pursuant further to statute (
Convicted of two counts of the crime of assault in the first degree in connection with a knife attack on two victims, B and R, the defendant appealed to the Appellate Court, claiming, inter alia, that there was insufficient evidence to support a conviction of first degree assault as to B because the state failed to demonstrate that she suffered a serious physical injury in the form of serious disfigurement. The defendant had attacked R during a dispute, and B, in an attempt to stop the defendant from injuring R, inserted herself between the two men. In the process, the defendant cut B’s arm. At trial, the state introduced testimony from B’s treating physician and two sets of photographs, one set taken shortly after medical treatment had been rendered and one set taken thirty months later, at the time of trial. Each set included one photograph magnifying B’s injuries at close range and one photograph in which B displayed the injured area of her arm from a sufficient distance to capture the area from her torso to her head. The evidence established that B had a 1.38 inch abrasion and a 0.30 inch laceration just above her left elbow, and a 1.57 inch laceration just below her left elbow on her forearm. The smaller laceration was closed with a single suture, whereas the larger laceration required ten sutures. At the time of trial, the larger laceration had left a scar approximately the same length as that laceration and was a slightly lighter tone than the surrounding skin. No other injury was apparent, and B’s treating physician testified that the scar would remain in its present condition. The Appellate Court affirmed the judgment of conviction, and the defendant, on the granting of certification, appealed to this court. Held:
1. The state failed to prove beyond a reasonable doubt that the defendant had committed assault in the first degree by inflicting serious physical injury on B with a dangerous instrument, the evidence having failed to establish that B suffered serious disfigurement as a result of the defendant’s assault, and, accordingly, the Appellate Court’s judgment was reversed insofar as that court upheld the defendant’s conviction of assault in the first degree as to B, and the case was remanded with direction to vacate the defendant’s sentence and for resentencing on the remaining count: although the defendant’s claim ordinarily is a factual question for the jury, this court determined that there was a legal distinction between physical injury and serious physical injury that was not a purely subjective matter, and, having determined that there was no definition in the Penal Code of the foundational term, disfigurement, this court looked to extratextual sources, including dictionary definitions, Connecticut’s workers’ compensation scheme, and to definitions and factors identified by other jurisdictions, to conclude that serious disfigurement is an impairment of or injury to the beauty, symmetry or appearance of a person of a magnitude that substantially detracts from the person’s appearance from the perspective of an objective observer; moreover, the determination of whether a physical injury caused serious disfigurement shall include consideration of such factors as the duration of the disfigurement, its location, its size, and its overall appearance, as well as the fact that serious disfigurement need not be permanent or in a location of the body that is readily visible to others; applying that definition and the relevant factors to B’s injuries, this court concluded that the evidence established that, although B sustained a disfigurement, in the form of a permanent scar, that disfigurement was not
2. The state could not prevail on its claim that, in light of this court’s determination that the evidence was insufficient to sustain the defendant’s conviction of first degree assault as to B, it should not direct a judgment of acquittal on that charge but, instead, should direct that the judgment be modified to reflect the defendant’s conviction of the lesser included offense of assault in the second degree, the highest lesser included offense that requires proof of physical injury rather than serious physical injury: the state conceded that, in accordance with recent precedent, State v. LaFleur (307 Conn. 115), this court must direct a judgment of acquittal on the defendant’s conviction of first degree assault as to B, when the evidence is insufficient to sustain that conviction and the jury was not instructed on a lesser included offense, and the state failed to provide sufficient justification for overruling LaFleur in favor of a rule pursuant to which a conviction suffering from evidentiary insufficiency would be modified to the highest lesser included offense supported by the evidence, unless the defendant can prove that the absence of a jury instruction on the lesser included offense was prejudicial; moreover, there was no indication that the rule in LaFleur is unworkable, as the state always can request an instruction on a lesser included offense that is supported by the evidence, and, as both parties were aware at trial that LaFleur was the controlling law, it would be unfair to the defendant to change the law on appeal because, had the defendant known that the judgment would be modified if he succeeded in challenging his conviction on the ground of evidentiary insufficiency, he might have sought an instruction not only on assault in the second degree but also on other lesser offenses supported by the evidence.
Procedural History
Substitute information charging the defendant with two counts of the crime of assault in the first degree, brought to the Superior Court in the judicial district of Stamford-Norwalk and tried to the jury before White, J.; verdict and judgment of guilty, from which the defendant appealed to the Appellate Court, DiPentima, C. J., and Prescott and Beach, Js., which affirmed the trial court’s judgment, and the defendant, on the granting of certification, appealed to this court. Reversed in part; judgment directed in part; further proceedings.
Opinion
McDONALD, J. Whether an assault results in physical injury or serious physical injury can have profound ramifications for the victim. Consequently, substantially greater punishment may be imposed for the latter injury than the former.1 Although this court has acknowledged ‘‘the difficulty of drawing a precise line as to where physical injury leaves off and serious physical injury begins’’ (internal quotation marks omitted); State v. Ovechka, 292 Conn. 533, 546–47, 975 A.2d 1 (2009); see also State v. Almeda, 211 Conn. 441, 451, 560 A.2d 389 (1989); the present case provides an opportunity to illuminate that distinction. In particular, we use this occasion to examine the parameters that should be used by the trier of fact to assess whether a defendant has inflicted serious physical injury in the form of serious disfigurement. See
The defendant, Divenson Petion, appeals from the Appellate Court’s judgment affirming his conviction of two counts of assault in the first degree in violation of
I
The Appellate Court’s opinion sets forth the facts that the jury reasonably could have found; see State v. Petion, supra, 172 Conn. App. 670–72; which we summarize as follows. In 2008, the defendant began dating Rosa Bran. Bran gave birth to the defendant’s daughter in February, 2010. Bran also had a son from a prior relationship. After the birth of his daughter, the defendant’s romantic relationship with Bran ended. However, they remained in contact, and the defendant occasionally would visit his daughter, sometimes showing up unannounced. The defendant told Bran that he did not want other men around his daughter.
Shortly before the May, 2012 incident giving rise to the criminal charges at issue, Bran resumed a friendship with a former boyfriend, Robert Raphael. On the day
The defendant then saw Raphael. The defendant became angry, pushed Bran aside, and entered the apartment. He began to shout at Raphael to get out of the apartment. Raphael did not want to leave Bran and the children alone with the defendant in his agitated state, and told the defendant that he was staying. In response, the defendant began pushing and punching Raphael. As Raphael retreated further into the apartment, the defendant pursued him. The defendant pulled out a knife from his pocket and slashed Raphael across the face, cutting from Raphael’s ear to along his jaw bone, deeply enough to damage a facial nerve and cut a branch of his jugular vein. Bran inserted herself between the two men during the confrontation, hoping to stop the defendant from injuring Raphael. In the process, the defendant cut Bran on her left arm. Raphael, who was bleeding profusely, ran out of the apartment, got in his car, and drove himself to the hospital.3
The defendant repeatedly apologized to Bran and then left the apartment. Bran was not immediately aware that she had been cut. She realized that she had been injured when her son came downstairs, alerted Bran that she was bleeding, and grabbed a towel to cover her wound. Shortly after the incident, Bran’s cousin arrived to pick up her children, and she drove Bran to the hospital.
When she arrived at the hospital, Bran had an abrasion and two lacerations on her left arm, one measuring three-quarters of one centimeter and another measuring four centimeters.4 The smaller laceration was treated with a single suture. The larger laceration was closed with ten sutures, which left a scar after the laceration healed.
The record reveals the following additional facts. The state charged the defendant with two counts of assault in the first degree in violation of
At trial, the defendant presented an alibi witness, a
The defendant appealed from the judgment of conviction to the Appellate Court. He argued, in relevant part, that there was insufficient evidence to support a conviction of first degree assault as to Bran because the state had failed to demonstrate beyond a reasonable doubt that she suffered a ‘‘ ‘serious physical injury.’ ’’5 Id., 669. The Appellate Court agreed with the state ‘‘that the evidence presented to the jury showed that one of the two lacerations that Bran received resulted in a significant and readily visible scar and that, under our law, a jury reasonably could have found that such scarring constituted a serious disfigurement and, therefore, a serious physical injury.’’ Id., 673. The Appellate Court affirmed the judgment of conviction. Id., 687.
We thereafter granted the defendant’s petition for certification to appeal, limited to the following issue: ‘‘In rejecting the defendant’s claim that there was insufficient evidence to support his conviction of assault in the first degree in violation of . . .
In their responses to this question, the parties devote significant portions of their analyses to a comparison between those injuries that the Appellate Court has deemed sufficient to support a jury’s finding of serious disfigurement in other cases and Bran’s injury in the present case. Although they disagree as to which side of the line the present case falls, they agree that juries would be aided in making this determination by factors to guide them.6
We do not find the comparative approach taken by the parties to be useful here, particularly because the Appellate Court had not examined the meaning of ‘‘serious disfigurement’’ in any of these cases,7 and this court previously had given no guidance on the matter. Thus, before we can consider the evidence, we must ascertain the meaning of the legal standard against which we assess that evidence. See State v. Drupals, 306 Conn. 149, 159, 49 A.3d 962 (2012). The statutory text is our lodestar in this endeavor, and we consider relevant extratextual sources to illuminate any ambiguity therein to ascertain legislative intent. See
The defendant was convicted of violating
These definitions plainly reflect a legislative intention to establish a material degree of difference between mere physical injury and serious physical injury. This differentiation is reflected in the severity of punishment attendant to each. Assault resulting in physical injury, unless inflicted by discharge of a firearm, carries a maximum term of imprisonment of five years, whereas assault resulting in serious physical injury carries a maximum term of imprisonment of twenty years. See
We need not attempt, in the present case, to draw comprehensive distinctions for general application. Our focus is on one type of serious physical injury—serious disfigurement. See
We begin by examining the foundational term ‘‘disfigurement.’’ Our Penal Code does not define this term. Neither did New York’s Penal Code, from which our code’s relevant definitions and many of its core provisions, such as our assault provisions, were drawn. See, e.g., State v. Courchesne, 296 Conn. 622, 671–73, 998 A.2d 1 (2010); State v. Havican, 213 Conn. 593, 601, 569 A.2d 1089 (1990); Conn. Joint Standing Committee Hearings, Judiciary, Pt. 1, 1969 Sess., p. 11; Report of the Commission to Revise the Criminal Statutes (1967) pp. 114–15, reprinted in 1 Law and Legislative Reference Unit, Connecticut State Library, Connecticut Legislative Histories Landmark Series: 1969 Public Act No. 828 (2005). Under the common meaning at the time our code was adopted in 1969, ‘‘disfigurement’’ was defined
Although this court has not previously considered whether this statutory definition would apply to the Penal Code, we note that every other jurisdiction that has considered the term’s meaning as applied to penal statutes generally or assault provisions specifically, including New York, has adopted a definition of disfigurement that largely conforms to our workers’ compensation definition.9 Therefore, we conclude that this meaning should apply to our Penal Code. See
We next consider the difference between disfigurement and serious disfigurement. At the time of the Penal Code’s adoption, the common meaning of ‘‘serious,’’ specifically in relation to injury, was ‘‘having important or dangerous possible consequences . . . .’’ Webster’s Seventh New Collegiate Dictionary, supra, p. 792. Other jurisdictions have applied similar definitions to ‘‘serious’’ as a modifier to ‘‘disfigurement’’ in their penal statutes:10 ‘‘grave, or great’’; Williams v. State, 248 Ga. App. 316, 318, 546 S.E.2d 74 (2001); ‘‘giving cause for apprehension; critical’’; State v. Silva, 75 Haw. 419, 434, 864 P.2d 583 (1993); ‘‘grave and not trivial in quality or manner.’’ State v. Clark, 974 A.2d 558, 573 (R.I. 2009).
Thus, just as inflicting serious physical injury is deemed to be conduct of significantly greater culpability than inflicting physical injury, it is evident that ‘‘ ‘to
In considering how to apply this definition to the evidence in a given case, the present case requires consideration of whether, and the extent to which, the duration of the disfigurement is relevant. Unlike many other jurisdictions, our Penal Code does not expressly require an injury to persist for any particular duration to qualify as a serious physical injury, including serious disfigurement. See footnote 11 of this opinion. Early drafts of our Penal Code defined ‘‘serious physical injury’’ to include ‘‘serious and protracted disfigurement, protracted impairment of health or protracted loss or impairment of any of the bodily functions.’’ (Emphasis added.) Report of the Commission to Revise the Criminal Statutes, supra, p. 6; Proposed House Bill No. 7182, § 4 (4), 1969 Jan. Sess. In the substitute bill that was favorably reported out of committee, ‘‘serious’’ was substituted for ‘‘protracted’’ where the former had not been included; see Substitute House Bill No. 7182, 1969 Sess.; without explanation.
In the same way that permanence is not a necessary condition for serious disfigurement; cf.
Factors identified by other jurisdictions as relevant to the seriousness of a disfigurement in the form of a scar include its permanence, but also its location, size, and general appearance. See, e.g., State v. Roper, 136 S.W.3d 891, 898 (Mo. App. 2004); State v. Demers, Docket No. CX-03-297, 2003 WL 22952813, *1 (Minn. App. December 16, 2003), review denied, Minnesota Supreme Court (February 25, 2004); People v. McKinnon, supra, 15 N.Y.3d 316. If there is more than one disfiguring feature, courts, including our Appellate Court, have considered the cumulative effect of those features to assess seriousness. See, e.g., State v. Anderson, 16 Conn. App. 346, 357, 547 A.2d 1368, cert. denied, 209 Conn. 828, 552 A.2d 433 (1988); Levin v. State, 334 Ga. App. 71, 74, 778 S.E.2d 238 (2015), cert. denied, Georgia Supreme Court, Docket No. S16C0249 (January 11, 2016); Sloan v. State, Docket No. 49A02-1002-CR-195, 2010 WL 4813600, *2 (Ind. App. November 24, 2010) (decision without published opinion, 937 N.E.2d 938 [Ind. App. 2010]); State v. Roper, supra, 898. Similar factors have been identified under our workers’ compensation scheme. See
On the basis of the foregoing analysis, we discern the following distinction between disfigurement and serious disfigurement. ‘‘Disfigurement’’ means impairment of or injury to the beauty, symmetry or appearance of a person that renders the person unsightly, misshapen or imperfect, or deforms the person in some manner, or otherwise causes a detrimental change in the external form of the person. ‘‘Serious disfigurement’’ is an impairment of or injury to the beauty, symmetry or appearance of a person of a magnitude that substantially detracts from the person’s appearance from the perspective of an objective observer. In assessing whether an impairment or injury constitutes serious disfigurement, factors that may be considered include the duration of the disfigurement, as well as its location, size, and overall appearance. Serious disfigurement does not necessarily have to be permanent or in a location that is readily visible to others.14 The jury is not bound by any strict formula in weighing these factors, as a highly prominent scar in a less visible location may constitute serious disfigurement, just as a less prominent scar in a more visible location, especially one’s face, may constitute serious disfigurement.
With these principles in mind, we turn to the defendant’s claim that the evidence in the present case is insufficient to establish that Bran suffered a ‘‘serious physical injury’’ in the form of ‘‘serious disfigurement.’’ Although ordinarily a factual question for the jury; see, e.g., State v. Almeda, supra, 211 Conn. 450; State v. Miller, 202 Conn. 463, 489, 522 A.2d 249 (1987); there is a legal distinction between physical injury and serious physical injury that is not a purely subjective matter, and it is ultimately our responsibility to draw that line. See State v. Rossier, 175 Conn. 204, 207, 397 A.2d 110 (1978) (‘‘[a]lthough it may often be difficult to distinguish between [physical injury and serious physical injury], such a distinction must be drawn’’ before defendant can be found guilty of assault in first degree under
‘‘In reviewing the [legal] sufficiency of the evidence concerning this element of assault in the first degree,
The evidence regarding Bran’s injuries principally came from the testimony of her treating physician at the hospital and two sets of photographs of the injured area: one set taken shortly after medical treatment was rendered and the other set taken thirty months later, at the time of trial. Each set included one photograph magnifying the injuries at close range and one photograph in which Bran displayed the injured area of her arm, taken from a sufficient distance to capture the area from Bran’s upper torso to her head. Bran’s physician testified that the scar would remain in its present condition.
Bran testified that she was unaware that she had been cut until her son told her that she was bleeding. Her only testimony relating to the appearance of her injury was her agreement that the photographs taken after treatment accurately depicted her condition at that time and her estimation of the approximate size of the scar at the time of trial. No testimony was provided regarding the impact of the scar on her appearance. The state opted not to have Bran display her scar to the jury directly, presenting the contemporaneous photographs instead.
The evidence collectively established the following undisputed facts. Immediately following the incident, Bran had an approximately 1.38 inch (three and one-half centimeters) abrasion and an approximately 0.30 inch (three-quarters of one centimeter) laceration just above her left elbow. Just below her left elbow, on her forearm, Bran had an approximately 1.57 inch (four centimeter) laceration. The smaller laceration was closed with a single suture; the larger laceration was closed with ten sutures. The closed lacerations appear quite narrow.15 By the time of trial, the larger of the two lacerations had left a scar approximately the same length as the laceration, although it appears to be slightly wider in the magnified close-up than when sutured. The scar is a slightly lighter tone than the surrounding skin. No other injury is apparent.
Our application of the factors previously identified as relevant to assessing whether the victim has sustained a serious disfigurement establishes that Bran sustained a disfigurement, in the form of a permanent scar. That scar is in a location that could be seen if Bran wears anything shorter than a three-quarter sleeve top. The scar is not, however, in a prominent location such as her face or neck.16 It is relatively small in size, uniform
This evidence compels the conclusion that the disfigurement is not of a magnitude that objectively could be found to substantially detract from Bran’s appearance. We hold that the evidence is not legally sufficient to meet the threshold for serious disfigurement.
We note that, while no two cases are precisely the same, other jurisdictions considering a single scar of roughly similar size, location, and/or appearance as the one in the present case have concluded that the evidence did not rise to the level of serious disfigurement. See, e.g., Vo v. State, 612 So. 2d 1323, 1325 (Ala. App. 1992) (bullet wound through arm was not serious physical injury), cert. denied, Alabama Supreme Court, Docket No. 1920350 (February 19, 1993); Davis v. State, 467 So. 2d 265, 266–67 (Ala. App. 1985) (scars on victim’s hand from bullet going through it was not serious disfigurement); McDaniel v. Commonwealth, 415 S.W.3d 643, 659 (Ky. 2013) (small scar on victim’s wrist from bullet wound, barely visible in video, was not serious disfigurement, consistent with cases in which court previously held that scar from small stab wound was not serious disfigurement); People v. Stewart, 18 N.Y.3d 831, 832, 962 N.E.2d 764, 939 N.Y.S.2d 273 (2011) (six to seven centimeter [approximately two and one-half inch] wound on victim’s inner forearm requiring sutures was not shown to be objectively distressing or objectionable so as to justify conclusion that it constituted serious disfigurement predicate for first degree assault); People v. McKinnon, supra, 15 N.Y.3d 316 (two scars of moderate size on victim’s inner forearm were not serious disfigurement, in absence of evidence that there was something unusually disturbing about scars); Bueno v. State, 996 S.W.2d 406, 408 (Tex. App. 1999) (two inch scar on abdomen was not sufficient to show serious, permanent disfigurement); Hernandez v. State, supra, 946 S.W.2d 113 (one inch scar on abdomen did not amount to serious, permanent disfigurement); McCoy v. State, 932 S.W.2d 720, 724 (Tex. App. 1996) (scar on victim’s lip that was permanent but not visible unless
These cases reflect that, even though no bright line can be drawn between simple disfigurement and serious disfigurement, the courts have a role in ensuring that the evidence meets a minimum threshold that distinguishes the two. When reasonable minds could disagree as to the side of the line on which the injury falls, it would be improper for this court to act as a seventh juror and to substitute its own view for that of the jury. However, this is not such a case.
Although the state framed its disfigurement argument to the jury solely in reference to Bran’s scar at the time of trial, it asserts in its brief to this court that the jury also was free to consider the appearance of Bran’s injuries when inflicted, and properly could have rendered its verdict on that basis. We agree that, in assessing the seriousness of the disfigurement, the jury was not limited to considering the injury in its final, fully healed state. See, e.g., State v. Barretta, supra, 82 Conn. App. 686, 688–90 (contusions and severe bruising all over body from beating with baseball bat established serious disfigurement). But we are not persuaded that this perspective changes the outcome. The nature of the injury on Bran’s arm at the time it was inflicted and at the time of the trial was not significantly different. The forearm laceration was appreciably more apparent immediately after the wound was sutured than after it healed, but it still retained the relatively undistinguishing features previously discussed.17 Consequently, this evidence also was legally insufficient to support a finding of serious disfigurement.
II
In light of this determination, we must consider the state’s contention that we should not direct a judgment of acquittal on this charge but, instead, that the judgment should be modified to reflect the highest lesser included offense that requires only physical injury, not serious physical injury, i.e., assault in the second degree in violation of
Our decision in LaFleur hewed closely to the analysis applied in State v. Sanseverino, 291 Conn. 574, 969 A.2d 710 (2009). That case involved an instructional error based on a posttrial change to our long-standing interpretation of the kidnapping statute under which the defendant was convicted. Id., 577–78, 595. In light of that error, this court considered the state’s contention that, if it elected not to retry the defendant on the kidnapping charge, it would be entitled to a modification of the judgment to reflect the lesser included offense of unlawful restraint in the second degree. Id., 590. The court noted a split of authority in state and federal courts as to whether modification is proper if the jury had not been instructed on the lesser included offense, as was the case in Sanseverino. Id., 593. One group held that modification is never proper under those circumstances; the other group held that modification is proper as long as there is no prejudice to the defendant. Id., 593–94. This court concluded in Sansev-
Three years later, in LaFleur, this court similarly was faced with the question of whether instructional error on an element of assault in the first degree required the conviction to be reversed or the judgment to be modified to the lesser included offense of assault in the second degree when the jury had not been instructed on that lesser offense. State v. LaFleur, supra, 307 Conn. 140–42. The instructional error in LaFleur stemmed from an issue of first impression, whether a fist is a ‘‘dangerous instrument.’’ Id., 140. In a closely divided decision, this court concluded that modification was not appropriate. Id., 153–54; id., 164-85 (Palmer, J., dissenting). The majority pointed to the split of authority on this issue that had been acknowledged in Sanseverino. Id., 142–43. It rejected the approach of the courts permitting modification in the absence of evidence of undue prejudice to the defendant because that approach did not give any weight to the fact that the jury had not been charged on the lesser included offense, and did not consider that the state may have had a strategic reason for not requesting the lesser charge. Id., 145–47. Ultimately, the majority in LaFleur looked to the circumstances that justified modification in Sanseverino and concluded that, because these circumstances were not present in LaFleur, the court could not conclude that it would be fair to the defendant to allow modification. Id., 147–51.
The majority cited several reasons why, in the absence of those unusual circumstances, a court should not modify a conviction when the state did not request a charge on the lesser included offense: ‘‘First, an appellate court does not sit as a [fact finder] in a criminal case and should avoid resolving cases in a manner [that] 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
‘‘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 a practice of remanding for sentencing on a lesser 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 [s]tate 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 [of] 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 well have [forgone] a particular defense or strategy due to the trial [court’s] rejection of a lesser included offense.’’ (Internal quotation marks omitted.) Id., 152 n.30, quoting State v. Brown, 360 S.C. 581, 594–97, 602 S.E.2d 392 (2004); see State v. Brown, supra, 594–97 (explaining why charge on lesser included offense is necessary prerequisite to modification).
The majority’s analysis in LaFleur resulted in two notable clarifications of the Sanseverino factors. First, the majority effectively determined that it would presume that the state’s failure to request an instruction on the lesser included offense was strategic unless the evidentiary deficiency resulted from an unforeseeable change in the law, not merely the resolution of an issue of first impression, such that the state could not have anticipated the change. Id., 147. Second, it effectively presumed that the absence of an instruction on the lesser included offense prejudiced the defendant: ‘‘Regardless of whether the defense challenged the state’s claims as to elements of the lesser included charge, trial strategy and jury deliberations are inevitably colored by the inclusion of a lesser included charge to the jury.’’ (Emphasis added.) Id., 151.
Having thus provided a comprehensive review of the precedent that the state seeks to overrule, we must consider whether the prudential doctrine of stare decisis counsels against that action. Stare decisis ‘‘counsels that a court should not overrule its earlier decisions unless the most cogent reasons and inescapable logic require it. . . . Stare decisis is justified because it allows for predictability in the ordering of conduct, it promotes the necessary perception that the law is relatively unchanging, it saves resources and it promotes judicial efficiency.’’ (Internal quotation marks omitted.) Graham v. Commissioner of Transportation, 330 Conn. 400, 417, 195 A.3d 664 (2018). ‘‘While stare decisis is not an inexorable command . . . the doctrine carries such persuasive force that we have always required a departure from precedent to be supported by some special justification. . . . Dickerson v. United States, 530 U.S. 428, 443, 120 S. Ct. 2326, 147 L. Ed. 2d 405 (2000). Such justifications include the advent of subsequent changes or development in the law that undermine[s] a decision’s rationale . . . the need to bring [a decision] into agreement with experience and with facts newly ascertained . . . and a showing that a particular precedent has become a detriment to coherence and consistency in the law . . . .’’ (Internal quotation marks omitted.) Sepega v. DeLaura, 326 Conn. 788, 798–99 n.5, 167 A.3d 916 (2017). ‘‘When a prior decision is seen so clearly as error that its enforcement [is] for that very reason doomed . . . the court should seriously consider whether the goals of stare decisis are outweighed, rather than dictated, by the prudential and pragmatic considerations that inform the doctrine to
We are not persuaded that the state has provided a sufficient justification for overruling LaFleur. The state’s reasons mirror those made by the dissent in LaFleur, which did not carry the day. The state does not argue that the split among both federal and state courts on this issue has evolved to a greater consensus favoring modification. The very fact that reasonable jurists disagree on this matter suggests that LaFleur has not been proven ‘‘clearly’’ wrong.
Nor is there any evidence that the rule in LaFleur is unworkable. If the state wants to avoid the possibility that the evidence will be deemed insufficient to support the charge, whether by the jury or a reviewing court, it can simply request an instruction on any lesser included offense supported by the evidence. In fact, we agree with the dissent in LaFleur that the practical effect of the majority’s analysis is a bright line rule.
Reliance interests also favor application of the holding in LaFleur to the present case. Both parties were on notice at trial that LaFleur was the controlling law. Knowing this, the state chose to gamble that the evidence would be found factually and legally sufficient to support a conviction of assault in the first degree as to both victims, despite the obvious disparity in the seriousness of their injuries. It is fair to presume, under these circumstances, that the defendant believed that the evidence was insufficient to support a charge of assault in the first degree as to Bran and that, in the absence an instruction on a lesser included offense, either (a) the jury would find him not guilty; see Fair v. Warden, 211 Conn. 398, 404, 559 A.2d 1094 (‘‘[i]t may be sound trial strategy not to request a lesser included offense instruction, hoping that the jury will simply return a not guilty verdict’’), cert. denied, 493 U.S. 981, 110 S. Ct. 512, 107 L. Ed. 2d 514 (1989); or (b) his conviction would be vacated under LaFleur. It would be unfair to the defendant to change the law on appeal. Had he known that the judgment would be modified if he succeeded on his evidentiary sufficiency challenge, he might have sought an instruction not only on assault in the second degree, a class D felony, but also on assault in the third degree, a class A misdemeanor. See
The state contends, however, that there is evidence here, unlike in LaFleur, to establish that the defendant was not prejudiced by the lack of an instruction on the lesser included offense of assault in the second degree. The state points to the fact that the defendant submitted proposed jury instructions on the first day of evidence that included a request to charge on assault in the second degree with respect to Bran but that he withdrew that request at the charging conference at the close of evidence.20 Given this timing, the state claims that ‘‘the defendant put on his entire defense anticipating that a lesser charge would be given before withdrawing the request’’ and, therefore, could not have been prejudiced by the absence of the instruction. We disagree. The timing of the withdrawal does not necessarily correlate to the timing of the defendant’s decision, as there was no need to inform the court of that decision prior to the charging conference. The defendant may have made that determination during or at the close of the state’s case-in-chief, after it likely became apparent that the state’s proof as to Bran fell short of the evidence needed for a conviction of assault in the first degree. Moreover, as previously noted, had the state sought an instruction on assault in the second degree at the charging conference, the defendant might have requested a charge on a still lesser offense.
We therefore conclude that the defendant’s conviction of assault in the first degree as to Bran must be reversed. In light of this determination, one further observation is warranted. ‘‘This court has endorsed the . . . aggregate package theory of sentencing. . . . Pursuant to that theory, we must vacate a sentence in its entirety when we invalidate any part of the total sentence. On remand, the resentencing court may reconstruct the sentencing package or, alternatively, leave the sentence for the remaining valid conviction or convictions intact. . . . Thus, we must remand this case for resentencing on the sole [count] on which the defendant stands convicted.’’ (Citation omitted; internal quotation marks omitted.) State v. LaFleur, supra, 307 Conn. 164.
The judgment of the Appellate Court is reversed only with respect to the conviction of assault in the first degree as to Bran and the case is remanded to that court with direction to remand the case to the trial
In this opinion KAHN and ECKER, Js., concurred.
Notes
Other jurisdictions that define serious physical injury to include disfigurement but do not use the term ‘‘serious’’ include the following: