STATE OF CONNECTICUT v. STEPHEN M. SABATO
(SC 19406) (SC 19407)
Supreme Court of Connecticut
Argued December 8, 2015-officially released June 28, 2016
Rogers, C. J., and Palmer, Zarella, Eveleigh, McDonald, Espinosa and Robinson, Js.
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Jacob L. McChesney, special deputy assistant state‘s attorney, with whom, on the brief, were Stephen J. Sedensky III, state‘s attorney, and Sean P. McGuinness, assistant state‘s attorney, for the appellant in Docket No. SC 19406 and the appellee in Docket No. SC 19407 (state).
Glenn W. Falk, assigned counsel, with whom, on the brief, was Victoria R. Pasculli, law student intern, for the appellee in Docket No. SC 19406 and the appellant in Docket No. SC 19407 (defendant).
Opinion
PALMER, J.
We conclude that the state is precluded from arguing that the defendant‘s text message constituted a true threat because the state never pursued such a theory of guilt at trial. See, e.g., Cole v. Arkansas, 333 U.S. 196, 200, 68 S. Ct. 514, 92 L. Ed. 644 (1948) (“[t]o sustain a conviction on
The opinion of the Appellate Court sets forth the following facts, which the jury reasonably could have found. “On November 4, 2011, Jazmyn Lopez-Gay, accompanied by the defendant and other friends, visited a nightclub in [the city of] Danbury. While at the nightclub, her cell phone was stolen. The following day, she used an application on her computer to track the cell phone‘s location that indicated that it was near the Danbury [Fair] [M]all [mall]. She then called the Danbury police, who went to look for the cell phone but were unable to find it.
“That same day, November 5, 2011, the defendant called Ian Mason, an acquaintance, and asked him to pick him up and drive him to the . . . mall. During that trip, the defendant sold Mason the cell phone. Because the cell phone was password protected, Mason was unable to access its functions or its contents. Seeking to gain access, Mason contacted Michael Barbour, a friend who used to perform work servicing cell phones, and brought the cell phone to his home in [the town of] Newtown.
“Meanwhile, occurring parallel to these events, Lopez-Gay again used the tracking application on her computer, which indicated that her cell phone was located at Barbour‘s home . . . . Lopez-Gay then called the Newtown Police Department, [which] sent [O]fficer Michael McGowan to that location. Once there, McGowan spoke with Mason, who relinquished the cell phone.
“Later that night, Mason went to the Newtown Police Department. He was questioned by a police officer and eventually
“At some point, the defendant discovered that Mason had made a statement to the police. On November 12, 2011, the defendant sent Mason a series of threatening Facebook messages. The messages shared similar content. In one message, the defendant wrote: ‘U wrote a statement regardless. Hearsay is nothing they can‘t arrest u unless they have a statement and that‘s what u did u wrote a fucking statement. . . . I thought we were straight and u wouldn‘t be dumb enough to write a statement after telling u that day what we did to the last snitch. Ur a snitch kid that‘s what it comes down to and ur gonna get treated like a snitch u wrote that statement u best be ready for the shit u got urself into. U think it‘s a fuckin game and all this is fine and [we‘re] gonna be cool cause u got scared when the cops pressed u and u folded like every other snitch when they had NOTHING on either of us. U fucked up I‘d watch out if I were u my boys are real pissed at u for this knowing I‘m already in enough shit [as] it is. Don‘t worry about me worry about them period.’
“The defendant was charged with larceny in the fifth degree, attempt to interfere with an officer, and intimidating a witness.”8 (Footnote omitted.) State v. Sabato, supra, 152 Conn. App. 592-94.
The charge alleging that the defendant had attempted to interfere with an officer was predicated solely on the November 5, 2011 text message that the defendant had sent to Mason instructing him not to give a statement to the police. The charge alleging that the defendant had intimidated a witness was based on the November 12, 2011 Facebook messages that he sent to Mason after he learned that Mason had given a statement to the police. Although the Facebook messages were admitted into evidence, the text message was not. The assistant state‘s attorney (prosecutor) questioned Mason about the contents of the text message, however, during the following colloquy:
“Q. . . . After you texted the defendant and told him that you were at the police station, what did he respond with?
“A. He asked me not to write a statement.
* * *
“Q. Did he tell you to keep your mouth shut?
“A. Yes.”
Thereafter, during closing arguments, the prosecutor, in addressing the charge of attempt to interfere with an officer, argued that, when Mason “[went] down to the police station, [he] . . . indicates to the defendant that he is . . . there and . . . they have some sort of conversation, through text message, and the defendant indicates to him, you know, don‘t give a statement to [the] police.” The prosecutor then explained that, in order to find the defendant guilty of attempt to interfere with an officer, the jury must find that, “when the defendant sent those text messages to . . . Mason, he was attempting to hinder [the] investigation [by telling Mason], ‘don‘t cooperate with the police . . . .’ [T]hat‘s a substantial step; he didn‘t complete it, but he took that step. He is guilty of attempt to interfere with an officer.” The prosecutor further argued that “the defendant is charged with attempted
With respect to the charge of intimidating a witness, the prosecutor argued that, to find the defendant guilty of that offense, the jury must find that the defendant believed that an official criminal proceeding was about to be instituted and that he threatened Mason with physical harm in order to prevent him from testifying in that proceeding. The prosecutor argued that the defendant‘s Facebook messages established both elements of this offense because they demonstrated that the defendant was aware that a criminal proceeding was pending or about to be instituted and that he threatened Mason with physical harm to prevent him from testifying in that proceeding.
Subsequently, the jury found the defendant guilty of attempt to interfere with an officer and intimidating a witness.9 The court thereafter rendered judgment in accordance with the jury‘s verdict and sentenced the defendant to one year incarceration on the interference charge and six years incarceration, execution suspended after three years, followed by five years of probation, on the intimidation charge. The sentences were to be served consecutively for a total effective sentence of seven years incarceration, suspended after four years, and five years of probation. State v. Sabato, supra, 152 Conn. App. 594.
The defendant appealed from the trial court‘s judgment to the Appellate Court, claiming, inter alia, “that
The Appellate Court thereafter concluded that the evidence was insufficient to convict the defendant of attempt to interfere with an officer because the state‘s
The Appellate Court, however, rejected the defendant‘s claim that there was insufficient evidence to convict him of intimidating a witness. The court concluded that the November 12, 2011 Facebook messages were more than sufficient to sustain a finding that the defendant believed that the police were preparing to charge him with the theft of the cell phone, that he believed that Mason would be called to testify at the defendant‘s criminal trial, and that he threatened Mason to prevent him from testifying in that proceeding. See id., 598-99.
On appeal to this court following our granting of certification, the state argues, inter alia, that the Appellate Court incorrectly interpreted
I
We first address the state‘s contention that the Appellate Court incorrectly concluded that
“In reviewing the sufficiency of the evidence to support a criminal conviction, we apply a two-part test. First, we construe the evidence in the light most favorable to sustaining the verdict. Second, we determine whether upon the facts so construed and the inferences reasonably drawn therefrom the [finder of fact] reasonably could have concluded that the cumulative force of the evidence established guilt beyond a reasonable doubt. . . .
“We assume that the fact finder is free to consider all of the evidence adduced at trial in evaluating the defendant‘s culpability, and presumably does so, regardless of whether the evidence is relied on by the attorneys. . . . When the state advances a specific theory of the case at trial, however, sufficiency of the evidence principles cannot be applied in a vacuum. Rather, they must be considered in conjunction with an equally important doctrine, namely, that the state cannot change the theory of the case on appeal. . . .
“The theory of the case doctrine is rooted in principles of due process of law. . . . In Dunn [v. United States, 442 U.S. 100, 99 S. Ct. 2190, 60 L. Ed. 2d 743 (1979)], the United States Supreme Court explained: To uphold a conviction on a charge that was neither alleged in an indictment nor presented to a jury at trial offends the most basic notions of due process. Few constitutional principles are more firmly established than a defendant‘s
“[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. . . . Thus . . . we must analyze the evi-dence adduced at trial to determine whether, when considered in light of the state‘s theory of guilt at trial, the state presented sufficient evidence . . . .” (Citations omitted; internal quotation marks omitted.) State v. Carter, 317 Conn. 845, 853-54, 120 A.3d 1229 (2015).
As we previously indicated, the state denies that its theory of guilt on appeal is different from what it was at trial. The state asserts that, although the prosecutor maintained in his closing argument that the defendant committed the crime of attempt to interfere with an officer by instructing Mason, via text message, not to cooperate with the police, “[t]his one statement . . . does not constitute an exclusive theory of guilt disavowing the circumstances surrounding the text messages that demonstrated the true threatening nature of the text message and explained Mason‘s intense fearful response to it.” The state also contends that, because the prosecutor referred to Mason‘s fear and one of the defendant‘s threatening Facebook messages while discussing the interference charge, he “[implicitly] presented [the] theory that the defendant‘s attempt to interfere was based on his attempt to frighten Mason out of providing a statement to the police.” The state‘s contention is without merit.
A review of the record reveals that, although the prosecutor made reference to Mason‘s fear and one of the Facebook messages in his closing argument, both references were made in the context of rebutting defense counsel‘s argument that the state had failed to prove that it was the defendant and not someone else who sent the November 5, 2011 text message to Mason, not to demonstrate that the text message was intended to communicate a serious expression of an intent to harm Mason if he cooperated with the police. Specifically, the prosecutor argued: “[A]s we‘re thinking about credibility . . . Mason told you that he was receiving these text messages [from the defendant] and that is consistent with what the officers told you, that he was receiving texts and that he was, in fact, frightened . . . . And, also, let‘s go back to the Facebook messages, as [they relate] to this charge, referring to the Facebook message that this defendant sent . . . on November 12, 2011, [telling Mason] ‘never write a statement, ever, I talked with you about that that day’ . . . . And, so, [we have] . . . consciousness of guilt. This defendant said, ‘I told you that day not to write a statement.’ Why is that important? Because . . . Mason told you he was receiving those text messages. Ladies and gentlemen, that is the equivalent of a confession to attempt to interfere with an officer.” The prosecutor‘s explanation as to why the Facebook messages were relevant to the interference charge is consistent with his response, earlier in the trial, when asked by the court whether the Facebook messages were being offered solely in relation to the larceny and intimidation charges. The prosecutor responded
At no time did the prosecutor suggest that the Facebook messages-or any other evidence for that matter-were relevant to the interference charge because they helped to prove that the defendant‘s November 5, 2011 text message, although neutral on its face, was intended to communicate a serious expression of an intent to harm Mason if he cooperated with the police. Cf. State v. Robert H., 273 Conn. 56, 82-85, 866 A.2d 1255 (2005) (under theory of case doctrine, when state did not present sexual act by defendant as culpable conduct at trial, state could not rely on that act on appeal to support jury‘s verdict in response to sufficiency challenge). Indeed, the prosecutor never uttered the words “threat” or “threatening” in relation to the text message, even though, as the state acknowledges, under a true threat theory of guilt, the state bore the burden of establishing beyond a reasonable doubt that the text communicated such a threat. See, e.g., State v. Krijger, 313 Conn. 434, 458, 97 A.3d 946 (2014) (“[When] a communication contains language [that] is equally susceptible of two interpretations, one threatening, and the other nonthreatening, the government carries the burden of presenting evidence serving to remove that ambiguity. [In the absence of] such proof, the trial court must direct a verdict of acquittal.” [Internal quotation marks omitted.]). Rather, as we previously indicated, the prosecutor referred to the November 5, 2011 text message exchange between Mason and the defendant as “some sort of conversation” in which “the defendant indicates to [Mason], you know, don‘t give a statement to [the] police.” According to the prosecutor, it was that statement-“don‘t give a statement to [the] police“-that constituted the actus reus of the offense. As we have explained, however, and as the state concedes,
Our determination that the state did not pursue a theory of guilt predicated on threatening language is strongly reinforced by the fact that the trial court did not instruct the jury on the true threat doctrine. Of course, the trial court never gave such an instruction because the state never claimed that the defendant‘s text message constituted a true threat. A true threat instruction is required, however, in any case in which the defendant‘s threatening speech forms the basis of the prosecution because only a true threat may be prosecuted under the first amendment. E.g., State v. Moulton, supra, 310 Conn. 367-68 (“a defendant whose alleged threats form the basis of a prosecution under any provision of our Penal Code . . . is entitled [under the first amendment] to an instruction that he could be convicted as charged only if his statements . . . constituted a true threat” [internal quotation marks omitted]). Accordingly, and for the reasons previously set forth in this opinion, the state cannot prevail on its claim that the evidence was sufficient to convict the defendant of attempt to interfere with an officer based on the theory that the defendant‘s November 5, 2011 text message constituted a true threat.
II
We next address the defendant‘s appeal, in which he claims that the Appellate Court incorrectly determined that the evidence was sufficient to convict him of intimidating a witness in violation of
Applying the foregoing definitions to the present facts, we agree with the Appellate Court that the defendant‘s November 12, 2011 Facebook messages amply supported a finding that the defendant believed that an official proceeding would probably occur and that Mason would probably be summoned to testify at that proceeding. As the Appellate Court explained, “[i]n one Facebook message, the defendant acknowledged that the police were ‘getting warrants’ and ‘building a case’ against him. In a different message, the defendant wrote, ‘I‘ll eat the charge . . . .’ In yet another message, the defendant told Mason that he was ‘already in enough shit [as] it is.’ From these statements [alone], the jury reasonably could have inferred that the defendant believed that an official proceeding probably would be instituted.” State v. Sabato, supra, 152 Conn. App. 598.
“Similarly, the record establishe[d] that there was sufficient evidence for the jury to conclude that the defendant believed that Mason probably would be summoned to testify. The term witness is broad, as it includes any person summoned, or who may be summoned, to give testimony . . . .
We also agree with the Appellate Court that the evidence supported the jury‘s finding that the defendant, in threatening Mason, intended to influence, delay or prevent Mason‘s testimony at a criminal trial. As the Appellate Court observed, “in one Facebook message, the defendant wrote, ‘Ur gonna learn the hard way that snitches get what‘s comin to em straight the fuck up.’ In a later message, the defendant wrote: ‘Bro snitches get fucked up . . . . The term snitches get stitches is because of snitches. . . . U know that this shit isn‘t gonna just be left alone for what u did. I just hope ur ready and prepared for the repercussions for ur actions cause I sure am. I‘ll see u very soon.’ In yet another message, the defendant wrote, ‘just know that this shit isn‘t gonna go unsettled and u can take it how u want but shit is gonna get handled . . . .’ In his final message, the defendant wrote: ‘I thought we were straight and u wouldn‘t be dumb enough to write a statement after telling u that day what we did to the last snitch. . . . [U]r gonna get treated like a snitch . . . . [U] best be ready for the shit u got urself into. . . . I‘d watch out if I were u . . . .‘” State v. Sabato, supra, 152 Conn. App. 599. On the basis of this evidence, the Appellate Court concluded, and we agree, that the “jury reasonably could have inferred that the defendant intended the natural consequences of these threats, which would have included the influence, delay or prevention of Mason‘s testimony at a future proceeding.” Id.
Indeed, the present case is virtually identical to State v. Ortiz, supra, 312 Conn. 551. In that case, the defen-dant, Akov Ortiz, was convicted of tampering with a witness in violation of
The judgment of the Appellate Court is affirmed.
In this opinion the other justices concurred.
We previously have observed that “the purpose of part XI of the Connecticut Penal Code, in which
Notes
“2. If the answer to the first question is in the affirmative, should this court modify State v. Williams, [supra, 205 Conn. 456], to proscribe not only fighting words, but also true threats and other categories of unprotected speech?
“3. Under the circumstances of this case, was the lack of a jury instruction on true threats harmless?” (Internal quotation marks omitted.) State v. Sabato, 314 Conn. 938, 102 A.3d 1114 (2014).
