State v. TaverasState v. Taveras
Syllabus
The defendant appealed from the judgments of the trial court revoking his probation. The defendant previously had pleaded guilty to various crimes and received a sentence of imprisonment followed by a term of probation. The conditions of the defendant’s probation prohibited him from violating any state or federal criminal law. While the defendant was serving his term of probation, he precipitated an incident at his son’s preschool. On the day of the incident, B, the preschool’s director, received a call from her staff informing her that the defendant was late in picking up his son. B’s staff members reported that the defendant arrived in an escalated emotional state and began arguing with them. C, one of the staff members, said something to the defendant as he was exiting the preschool with his son, and, according to an affidavit from the defendant’s probation officer, the defendant said to C, ‘‘you better watch your back.’’ The defendant tried to get back in the door but was unable to, and then left the preschool. After the state charged the defendant with violating the terms of his probation, the trial court held an evidentiary hearing. The court found, by a preponderance of the evidence, that the state met its burden of proving that the defendant had violated the terms of his probation by committing breach of the peace in the second degree. The court specifically found that the defendant had exhibited a threatening nature and demeanor, and that his conduct caused B to call the police. Accordingly, the court rendered judgments revoking the defendant’s probation. On appeal to the Appellate Court, the defendant claimed that his remarks were protected by the first amendment to the United States constitution. The Appellate Court agreed with the defendant and reversed the judgments of the trial court, reasoning that the defendant’s remarks had not conveyed an explicit threat and that the state had failed to provide sufficient context to resolve the resulting ambiguity. The state, on the granting of certification, appealed to this court. Held that the Appellate Court incorrectly determined that the defendant’s remarks warranted first amendment protection, as the defendant’s statements and demeanor, as well as the surrounding context, were sufficient to support a finding that the defendant’s remarks constituted true threats: although the phrase ‘‘you better watch your back’’ can be used to caution an addressee of an external threat, it can also be used as a veiled or conditional threat of violence, the record did not suggest that the defendant’s remarks were intended to convey the former sentiment, and the defendant’s history at the preschool, his demeanor during the incident in question, and the subsequent reactions of the preschool staff appeared objectively to indicate the threat of the possibility of violence; moreover, B stated that the defendant had previously caused escalated interactions at the preschool and that she previously had seen the defendant act in a threatening manner, and the fact that preschool employees notified B of the defendant’s late arrival before it occurred and that B immediately returned to the preschool because she knew things would escalate indicated that the defendant had made his remarks in the context of an existing hostile relationship; furthermore, B testified that, when she arrived at the preschool shortly after the incident, the staff was shaken up and concerned by what had transpired, B immediately contacted the police, formally prohibited the defendant from reentering the preschool, began to pursue a restraining order, and hired a police office for additional security the following day, all of which reasonably suggested a specific fear of physical violence; accordingly, this court reversed the judgment of the Appellate Court and remanded the case for the Appellate Court to consider the defendant’s remaining appellate claims.
Opinion
KAHN, J. The principal issue in this case is whether the first amendment to the United States constitution protects certain allegedly threatening remarks made by the defendant, Kerlyn M. Taveras, to the employees of his son’s preschool in Danbury. In this certified appeal, the state claims that the Appellate Court incorrectly concluded that the evidence contained in the record precluded application of the true threats exception and, as a result, improperly reversed the judgments of the trial court revoking the defendant’s probation pursuant to
The following evidence, adduced at the defendant’s probation revocation hearing, and procedural history are relevant to our consideration of this appeal. The record establishes that the defendant had been previously charged with, and pleaded guilty to, the following offenses in three separate criminal cases: (1) threatening in the second degree in violation of
On March 11, 2014, approximately eight months into his term of probation, the defendant precipitated an incident at his son’s preschool in Danbury. The evidence contained in the record about that event comes almost exclusively from two distinct sources: (1) testimony from the preschool’s director, Monica Bevilaqua; and (2) an affidavit from the defendant’s probation officer, Christopher Kelly, dated April 17, 2014, requesting the issuance of a warrant for a violation of the defendant’s probation.2 We review these two accounts in turn.
According to reports from Bevilaqua’s staff, the defendant eventually arrived at the preschool at approximately 4:40 p.m. in an ‘‘already escalated’’ emotional state, went down to his child’s classroom, and then began arguing with staff on his way out. Sondra Cherney, the preschool’s assistant education manager, then said something to the defendant as he was exiting the preschool through a set of locked doors. Bevilaqua testified that, in response to Cherney’s comment, the defendant turned around and said, ‘‘you better watch yourself, you better be careful . . . .’’ Bevilaqua indicated that the defendant then ‘‘tried to get back in the door and couldn’t, and then he left.’’
Other portions of Bevilaqua’s testimony provide the following additional factual context. Bevilaqua indicated that this situation was not the staff’s first ‘‘escalated interaction’’ with the defendant. Although the details of these previous interactions were not expressly drawn out at the hearing, Bevilaqua clearly testified that she herself had previously witnessed the defendant acting in a threatening manner. Indeed, Bevilaqua stated that she made the decision to return to the preschool as soon as she heard that the defendant was going to be late because she ‘‘knew it would get escalated.’’ When she got to the preschool, she found that members of her staff were ‘‘shaken up’’ and ‘‘concerned’’ by what had transpired. Bevilaqua also stated that, in order to protect those at the preschool, she immediately contacted the police, formally prohibited the defendant from reentering the preschool, began pursuing a restraining order, and hired a police officer for additional security the following day.
Kelly’s affidavit provides the following similar account of events: ‘‘[On March 11, 2014, police officers were] dispatched to [a preschool for] a dispute involving [the defendant]. [The defendant] was forty minutes late picking up his child . . . and [was] . . . reminded . . . that he needed to pick his child up on time. [The defendant] became extremely agitated and began to argue with staff. Staff told [the defendant] that he had to leave because he was arguing with staff in the front lobby in front of other children and their parents. [The defendant] then yelled to the staff ‘you better watch your
The state subsequently sought revocation of the defendant’s probation as a result of the defendant’s conduct on March 11, 2014.3 During the hearing that followed, the state proceeded on the theory that the foregoing testimony and evidence were sufficient to prove that the defendant had violated the terms of his probation by committing breach of the peace in the second degree, in violation of
On the basis of this testimony, the trial court found that the state had met its burden of proving, by a preponderance of the evidence, that the defendant had violated the standard terms of his probation by violating
The defendant then appealed from the trial court’s judgments to the Appellate Court, claiming, inter alia, that the evidence presented at his probation revocation hearing was insufficient to support a finding that he had violated the terms of his probation. State v. Taveras, 183 Conn. App. 354, 357, 193 A.3d 561 (2018). Specifically, the defendant argued that the state’s evidence was insufficient to establish that his remarks constituted a true threat and, therefore, that they warranted first amendment protection. Id., 357–58. The Appellate Court, in a split decision, agreed with the defendant and reversed the judgments of the trial court, reasoning that the defendant’s remarks did not convey an explicit threat and that the state had failed to provide sufficient context to resolve the resulting ambiguity. See id., 380–81. Judge Elgo authored a dissent in which she concluded that, in light of the lower standard of proof applicable to probation proceedings, there was sufficient evidence to support the trial court’s revocation of the defendant’s probation. Id., 387–88. This certified appeal followed.5
The standard of review and constitutional principles governing our review of the Appellate Court’s true threats
‘‘The protections afforded by the [f]irst [a]mendment, however, are not absolute, and we have long recognized that 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. . . .
‘‘The first amendment permits states to restrict true threats, which encompass those statements [through which] 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. . . .
‘‘Thus, 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. . . . In the context of a threat of physical violence, [w]hether a particular statement may properly be considered to be a [true] 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. . . . [A]lleged threats should be considered in light of their entire factual context, including the surrounding events and reaction of the listeners. . . .
‘‘[T]o ensure that only serious expressions of an intention to commit an act of unlawful violence are punished, as the first amendment requires, the state . . . must do more than demonstrate that a statement could be interpreted as a threat. When . . . a statement is susceptible of varying interpretations, at least one of which is nonthreatening, the proper standard to apply is whether an objective listener would readily interpret
‘‘In determining whether the trial court properly found that the defendant’s statements and gestures were true threats, we recognize that, although we ordinarily review findings of fact for clear error, [i]n certain first amendment contexts . . . appellate courts are bound to apply a de novo standard of review. . . . [In such cases] the inquiry into the protected status of . . . speech is one of law, not fact. . . . As such, an appellate court is compelled to examine for [itself] the . . . statements [at] issue and the circumstances under which they [were] made to [determine] whether . . . they . . . are of a character [that] the principles of the [f]irst [a]mendment . . . protect. . . . [I]n cases raising [f]irst [a]mendment issues [the United States Supreme Court has] repeatedly held that an appellate court has an obligation to make an independent examination of the whole record in order to make sure that the judgment does not constitute a forbidden intrusion [in] the field of free expression. . . . This rule of independent review was forged in recognition that a [reviewing] [c]ourt’s duty is not limited to the elaboration of constitutional principles . . . . [Rather, an appellate court] must also in proper cases review the evidence to make certain that those principles have been constitutionally applied. . . . Therefore, even though, ordinarily . . . [f]indings of fact . . . shall not be set aside unless clearly erroneous, [appellate courts] are obliged to [perform] a fresh examination of crucial facts under the rule of independent review. . . . We emphasize, however, that the heightened scrutiny that this court applies in first amendment cases does not authorize us to make credibility determinations regarding disputed issues of fact. Although we review de novo the trier of fact’s ultimate determination that the statements at issue constituted a true threat, we accept all subsidiary credibility determinations and findings that are not clearly erroneous.’’ (Citations omitted; internal quotation marks omitted.) Haughwout v. Tordenti, supra, 332 Conn. 572–73. The defendant concedes that, because he is charged with a violation of probation, a preponderance of the evidence standard governed the trial court’s findings of historical fact. See, e.g., State v. Davis, 229 Conn. 285, 290–91, 641 A.2d 370 (1994); see also Haughwout v. Tordenti, supra, 586 n.20 (conducting true threats analysis within context of ‘‘record as reflected by the lower burden of proof in civil cases’’).
Our independent examination of the present case is guided, in particular, by this court’s decision in State v. Krijger, 313 Conn. 434, 97 A.3d 946 (2014). The defendant in that case had been engaged in a long-standing zoning dispute with the town of Waterford. Id., 436, 438. Although the defendant had been ‘‘pleasant and cooperative’’ with the town’s attorney on dozens of previous occasions, he became upset after a particular court hearing, followed the town’s attorney out of the courthouse, and began yelling. (Internal quotation marks omitted.) Id., 438–40. The defendant told the attorney that ‘‘[m]ore of what happened to your son is going to happen to you’’ and that he was ‘‘going to be there to watch it happen.’’ (Internal quotation marks omitted.) Id., 440. The attorney, whose son had been injured in a highly publicized car accident, responded by calling the defendant ‘‘a piece of shit’’ and eventually walked away. (Internal quotation marks omitted.) Id., 440–41 and n.6. Before the attorney reached his car, he was approached once again by the defendant, who then apologized for his outburst. Id., 442. Although the attorney did not initially perceive the defendant’s comments as a threat, he eventually filed a complaint with the police department two days later. Id. The defendant was later charged with threatening in the second degree. Id.
We began our examination of the first amendment issue in Krijger by recognizing that the ‘‘absence of explicitly threatening language [did] not preclude the finding of a threat . . . .’’ (Internal quotation marks omitted.) Id., 453; see Planned Parenthood of the Columbia/Willamette, Inc. v. American Coalition of Life Activists, 290 F.3d 1058, 1078–79 (9th Cir. 2002) (‘‘context is critical in a true threats case . . . because without context, a burning cross or dead rat mean nothing’’ (citation omitted; footnotes omitted)), cert. denied, 539 U.S. 958, 123 S. Ct. 2637, 156 L. Ed. 2d 655 (2003); United States v. Malik, 16 F.3d 45, 50 (2d Cir.) (‘‘rigid adherence to the literal meaning of a communication without regard to its reasonable connotations derived from its ambience would render [statutes proscribing true threats] powerless against the ingenuity of threateners who can instill in the victim’s mind as clear an apprehension of impending injury by an implied menace as by a literal threat’’), cert. denied, 513 U.S. 968, 115 S. Ct. 435, 130 L. Ed. 2d 347 (1994); see also Haughwout v. Tordenti, supra, 332 Conn. 575 (‘‘[p]ut differently, even veiled statements may be true threats’’).
To discern the true nature of the defendant’s expression in Krijger, we looked to the context provided by both the prior relationship between the parties and the particular circumstances surrounding the alleged threat
The facts underlyng the present case differ significantly from those considered in Krijger. Although the phrase ‘‘you better watch your back’’6 can, in some contexts, be used to sincerely caution an addressee of an impending threat from some external source, it can also be used as a veiled or conditional threat of violence. See, e.g., State v. Lewis, Docket No. 96-P-0272 (DRF), 1997 WL 589914, *3 (Ohio App. August 22, 1997) (‘‘A statement such as ‘you better watch your back’ is what is known in law as a conditional threat. . . . Even in the absence of a reference to a specific action, the logical import of such a statement is that the person is being threatened with potential physical harm.’’ (Citations omitted.)).7 The record is bereft of any suggestion that the defendant’s decision to yell these words at Cherney was intended to convey the former sentiment. See State v. Taveras, supra, 183 Conn. App. 390 (Elgo, J., dissenting.) (‘‘[t]his is not a case of a bystander alerting a pedestrian to an errant vehicle’’). The defendant’s history at the preschool, his general demeanor during the course of this particular incident itself, and the subsequent reactions of the preschool’s staff, on balance, appear objectively to indicate the threat of the possibility of violence.
First, Bevilaqua’s testimony suggests the defendant had a hostile relationship with preschool staff. Bevilaqua not only stated that the defendant had previously caused several ‘‘escalated interaction[s]’’ at the preschool but also specifically testified that she had previously seen the defendant act in a threatening manner. 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’’). The fact that employees of the preschool notified Bevilaqua of the defendant’s late arrival even before it occurred, together with the fact that Bevilaqua immediately decided to return to
Although we agree with the defendant that evidence adduced by the state does not detail his precise physical movements during the incident in question, we cannot concur with his blanket assertion that there was ‘‘no evidence’’ of his conduct on that day. The evidence recounted previously in this opinion indicates that the defendant was irritated by the call he had initially received, that he became argumentative with staff after he arrived, and that his conduct eventually escalated to the point that he was asked to leave. After exiting through a set of locked doors, the defendant turned around, yelled at Cherney, and then unsuccessfully attempted to reenter the building. While neither Bevilaqua nor Kelly was able to describe the exact manner in which the defendant had attempted to open those doors, the evidence suggests that he was acting in an ‘‘enraged’’ and ‘‘intimidating’’ manner at that particular moment in time. We agree with Judge Elgo’s conclusion that, in light of the foregoing, the trial court could have reasonably found by a preponderance of the evidence that the defendant’s attempt to reenter the preschool was, at least more likely than not, ‘‘aggressive in nature.’’ State v. Taveras, supra, 183 Conn. App. 386 (Elgo, J., dissenting).
Another important factor in our independent analysis is the reactions of the preschool’s staff. Unlike the attorney in Krijger, who waited two days to contact the police, staff members in the present case immediately contacted their supervisor, Bevilaqua, to tell her what had occurred. Bevilaqua testified that, when she arrived at the preschool shortly thereafter, she found that her staff was ‘‘shaken up’’ and ‘‘concerned’’ by what had transpired. Bevilaqua then immediately contacted the police,9 formally prohibited the defendant from reentering the preschool, began pursuing a restraining order, and hired a police officer for additional security the following day.10 The immediate pursuit of these particular preventative measures reasonably suggests a specific fear of physical violence. The record now before us contains no suggestion that these measures were viewed, either contemporaneously or in hindsight, as an overreaction to the defendant’s remarks.
Ultimately, the state’s decision to present its case against the defendant through Bevilaqua and Kelly, neither of whom actually witnessed the defendant’s conduct at the preschool on that particular day, makes this case a harder one. Prosecutors, in deciding to accuse individuals of committing breach of the peace in the second degree in violation of
As an appellate tribunal, our constitutional obligation to independently examine the evidentiary record requires us to determine only whether a reasonable person in the defendant’s position would have known that the use of the phrase ‘‘you better watch your back,’’ combined with his demeanor and other surrounding context, would be perceived as a serious threat of physical violence. See, e.g., State v. Taupier, supra, 330 Conn. 190–94. The state has shown through the evidence presented that those remarks were, in fact, viewed as a threat of violence by Bevilaqua and her staff. The defendant’s choice of words, his previous interactions with preschool staff, the descriptions of his demeanor, and his attempt to reenter the preschool at the height of the altercation, collectively, point toward the conclusion that their perception was, if nothing more, objectively reasonable. As a result, we disagree with the Appellate Court’s conclusion that the defendant’s remarks warrant first amendment protection11 and remand the case for consideration of the defendant’s claims with respect to the admission of Bevilaqua’s testimony. See footnote 2 of this opinion.
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to consider the defendant’s remaining claims on appeal.
In this opinion ROBINSON, C. J., and MULLINS, ECKER and KELLER, Js., concurred.
Notes
Although portions of the prosecutor’s arguments before the trial court appear to track the language of