Lead Opinion
Opinion
In this certified appeal,
“Four days later, on July 23, 2002, at approximately 5 p.m., the victim was again walking home on Spruce Street when she noticed the same green car and driver. The defendant stopped the vehicle and rolled down the window. This time, without saying anything to the victim, he left the car and began walking toward her. She began to walk faster, but the defendant forcibly took her right arm. When she asked him to let go, he refused, yelling, ‘[n]o, it’s too wet out here; you’re getting in my car today.’ He tried to pull her toward his car, but she resisted, pulling back in the opposite direction. To get him to release her, the victim then leaned over to bite the defendant, at which point he quickly let go and rushed back to his car. In doing so, the defendant was almost hit by a maroon car. Upon being released, the victim ran home and told her mother what had transpired. The entire incident lasted only a few seconds.
“The victim’s mother called the police, and the victim gave a signed statement regarding the incidents, which took place on July 19 and 23, 2002. The victim also provided the police with a license plate number.
“The police traced the license plate number to the defendant. Upon arriving at his residence that same day, the police observed a turquoise Ford Thunderbird with plates matching the number provided by the victim. Officer David Evans of the Manchester police department asked the defendant whether he had been on Spruce Street around 5 p.m. Although the defendant admitted that he had driven through that area on his way home from work, he initially denied having spoken to anyone. Subsequently, however, he admitted to Sergeant Jeffrey Lampson that he had offered a young woman a ride. The police brought the victim to the defendant’s house, where she positively identified him as the man who had approached her on both occasions. The defendant was then arrested, handcuffed and placed in a police cruiser. Thereafter, Officer Evans obtained the defendant’s permission to search his car. The subsequent search revealed a rope noose and various debris in the trunk. Only the noose was seized. At the police station, the defendant admitted that on his way home from work, he had offered a young girl a ride home because it was raining, but denied any wrongdoing.
“In a three count substitute information, the state charged the defendant with attempt to commit kidnapping in the second degree in violation of [General Statutes] §§ 53a-94 (a) and 53a-49 (a) (2), kidnapping in the second degree in violation of § 53a-94 (a) and risk of injuiy to a child in violation of [General Statutes] § 53-21 (a) (1). After the jury found the defendant guilty
The defendant’s appeal from his conviction to the Appellate Court followed. There, he argued, inter aha, that § 53a-94 (a), proscribing the offense of kidnapping in the second degree, was unconstitutionally vague as applied to his conduct on July 23, 2002. Specifically, he argued that, in light of the brevity of his encounter with the victim and the minimal amount of restraint he employed, the statute failed to give him fair notice that his conduct was prohibited.
I
The state contends on appeal that the Appellate Court improperly reversed the defendant’s conviction of kidnapping in the second degree because the statute proscribing that crime is not unconstitutionally vague as applied to his conduct on July 23, 2002. We agree.
We begin with the applicable standard of review and general governing principles.
“Second, if arbitrary and discriminatory enforcement is to be prevented, laws must provide explicit standards for those who apply them. A vague law impermissibly delegates basic policy matters to policemen, judges, and juries for resolution on an ad hoc and subjective basis, with the attendant dangers of arbitrary and discriminatory applications. . . . Therefore, a legislature [must] establish minimal guidelines to govern law enforcement.” (Internal quotation marks omitted.) Gonzalez v. Surgeon,
Tempering the foregoing considerations is the acknowledgment that many statutes proscribing criminal offenses necessarily cannot be drafted with the utmost precision and still effectively reach the targeted behaviors. Consistent with that acknowledgment, the United States Supreme Court has explained: “The root of the vagueness doctrine is a rough idea of fairness. It is not a principle designed to convert into a constitutional dilemma the practical difficulties in drawing criminal statutes both general enough to take into account a variety of human conduct and sufficiently specific to provide fair warning that certain kinds of conduct are prohibited.” Colten v. Kentucky,
Section 53a-94 (a), by its plain terms, indisputably prohibits intentional, nonconsensual restraint of a person, by means of physical force, when that restraint is coupled with the intent to prevent that person’s liberation. See footnote 3 of this opinion. It further is clear that the statutory definition of “restraint” encompasses both movement of a person from one place to another and confinement of a person in the place where a restriction of movement commences. General Statutes § 53a-91 (1); see also footnote 3 of this opinion. The Appellate Court agreed with the defendant’s argument that, although he held the victim in place against her will through physical force, he did so for such a brief period of time that the statute did not afford him adequate notice that his behavior would be regarded as criminal and, moreover, to convict him of
For many years prior to the events underlying this appeal, Connecticut’s appellate courts routinely rejected challenges to kidnapping convictions based on claims that the movement or confinement at issue was minimal and/or merely incidental to the commission upon the victim of another assault type crime. See State v. Salamon,
In several instances, we applied these principles to uphold kidnapping convictions that involved movement of the victim for a rather brief distance and/or confinement of the victim for quite a short period
356 (1982) (confinement of victims in freezers for two to fifteen minutes during robbery); State v. Lee,
Substantial vagueness jurisprudence provides that when a criminal statute is imprecise in describing the actions it proscribes, the presence of a specific intent requirement can temper that imprecision, thus clarifying the meaning of the statute, narrowing its application, and “purg[ing] a potentially vague [provision] of constitutional infirmity.” State v. Schriver,
We conclude that this court’s repeated pronouncements that there are no minimum time or distance requirements to establish a restraint within the meaning of § 53a-94 (a),*
Because direct evidence of an accused’s state of mind typically is not available, his intent often must be inferred from his conduct, other circumstantial evidence and rational inferences that may be drawn therefrom. State v. Silva,
In the present case, any potential for vagueness of § 53a-94 (a) as applied to the defendant’s conduct, standing alone, was counteracted by the overwhelming evidence that he possessed the requisite specific intent to prevent the victim’s liberation. The events of July 23, 2002, were not the victim’s first encounter with the defendant; rather, he was convicted of attempting to kidnap the victim only four days earlier. See, e.g., State v. Thomas W.,
We note in closing that our disposition of this matter “is informed by the understanding that the fundamental purpose of the void for vagueness doctrine is to ensure fair warning in order to avoid traps for the innocent. . . . The defendant has made no plausible argument, nor can we conceive of one, that [on July 23, 2002] he acted in reliance on the belief that his conduct was lawful, or that a person of ordinary intelligence would have no reason to know that he was engaging in prohibited conduct.” (Citation omitted; emphasis added.) State v. Payne,
II
The defendant argues that we may affirm the Appellate Court’s judgment
The following additional facts and procedural history, as recounted by the Appellate Court, are relevant. “Prior to driving the victim to the defendant’s house for the identification, Officer Aaron Calkins interviewed both the victim and her mother. The victim told Calkins about the incident that had just occurred and the one that had taken place on July 19. Calkins prepared a written statement, read it to the victim and had her sign it under oath. The statement indicated, in error, that the forcible taking incident had taken place on July 19 and the yelling incident had taken place on July 23. At trial, the victim testified that, two weeks earlier, she had reread the statement and noticed that the dates were mixed up. She also testified that she was not the one who had mixed them up and that she accurately had reported to her mother what had taken place on the respective dates. Calkins testified that the statement reflected what the victim had told him on July 23 about the sequence of events.
“After the close of the state’s case-in-chief, defense counsel announced his intention to call the victim’s mother and, through her, to offer a prior inconsistent statement to impeach the credibility
The state objected, arguing, inter alia, that “the [mother’s] statement was hearsay and that offering it for impeachment purposes was a mere subterfuge for introducing substantively inadmissible evidence [as contemplated by § 6-4 of the Connecticut Code of Evidence].
On appeal to the Appellate Court, the defendant argued that the mother’s statement was admissible under Whelan and was not barred by § 6-4 of the Connecticut Code of Evidence. The Appellate Court disagreed, concluding that the trial court properly excluded the statement as hearsay because it purported to report the statements of the victim. Id., 356-57. According to the Appellate Court, “[i]t is clear that the defendant’s primary purpose in calling the [victim’s] mother to testify, after being informed that she would recant, was to impeach her. In impeaching her, the defendant’s objective was to get the statement before the jury with the intent that it be used substantively . . . .’’Id., 357. Alternatively, the Appellate Court determined that the statement was inadmissible because it amounted to irrelevant extrinsic evidence offered to impeach the victim on a collateral matter, namely, the dates of the charged offenses. Id., 357 n.16. The Appellate Court held, therefore, that the statement properly was excluded. Id., 357. This appeal followed.
The defendant argues that, pursuant to Whelan, he had the right to present the signed, sworn statement of the victim’s mother as substantive evidence when she indicated that she would repudiate that statement if called to testify at trial, because the statement was in writing and had been signed under oath by the mother,
We begin our analysis by setting forth the applicable legal principles. “The federal constitution require[s] that criminal defendants be afforded a meaningful opportunity to present a complete defense. . . . The sixth amendment . . . [guarantees] the right to offer the testimony of witnesses, and to compel their attendance, if necessary, [and] is in plain terms the right to present a defense, the right to present the defendant’s version of the facts as well as the prosecution’s to the jury so that it may decide where the truth lies. . . . When defense evidence is excluded, such exclusion may give rise to a claim of denial of the right to present a defense. ... A defendant is, however, bound by the rules of evidence in presenting a defense. . . . Although exclusionary rules of evidence cannot be applied mechanistically to deprive a defendant of his rights, the constitution does not require that a defendant be permitted to present every piece of evidence he wishes. ... If the proffered evidence is not relevant, the defendant’s right to confrontation is not affected, and the evidence was properly excluded.” (Citation omitted; internal quotation marks omitted.) State v. West,
Finally, “we note that [t]he admissibility of evidence, including the admissibility of a prior inconsistent statement pursuant to Whelan, is a matter within the . . . discretion of the trial
Prior to 1986, Connecticut courts adhered to the common-law rule disallowing a party from impeaching or discrediting its own witnesses, in the absence of certain exceptions. See State v. Graham, supra,
Shortly after deciding Graham, we decided Whelan. Prior to deciding Whelan, we “adhered to the traditional view that a prior inconsistent statement of a nonparty witness is inadmissible hearsay if offered to prove the truth of the matters asserted therein and, therefore, is admissible only for impeachment purposes.” (Internal quotation marks omitted.) State v. Mukhtaar,
The rule of Whelan had implications for the rule of Graham, as the commentary to § 6-4 of the Connecticut Code of Evidence explains: “[I]f the prior inconsistent statement [offered to impeach a witness] is substantively admissible under State v. Whelan, [supra,
The defendant argues, in short, that the trial court improperly excluded the written statement of the victim’s mother pursuant to the Connecticut Code of Evidence § 6-4 because the statement was admissible substantively pursuant to the rule of Whelan, and, therefore, could not have been offered as subterfuge pursuant to Graham. We agree with the Appellate Court that the trial court properly excluded the mother’s statement for substantive purposes because, although that statement met the criteria of Whelan and was not itself hearsay, it nevertheless contained within it another level of hearsay for which no hearsay exception applied.
Specifically, because the mother had personal knowledge of what the victim said to her, the mother’s signed, sworn statement recounting the victim’s statements regarding the events of July 19 and 23, 2002, met the criteria of Whelan, and, therefore, was not itself hearsay. State v. Pierre,
The judgment of the Appellate Court is reversed in part and the case is remanded to that court with direction to affirm the judgment of conviction of kidnapping in the second degree. The judgment is affirmed in all other respects.
In this opinion NORCOTT, PALMER, VERTE-FEUILLE and McLACHLAN, Js., concurred.
Notes
We granted the state’s petition for certification to appeal limited to the following issue: “Did the Appellate Court properly conclude that General Statutes § 53a-94 is unconstitutional as applied to the facts of this case?” State v. Winot,
The defendant also was convicted of attempt to commit kidnapping in the second degree in violation of General Statutes §§ 53a-49 (a) (2) and 53a-94 (a) and risk of injury to a child in violation of General Statutes § 53-21 (a) (1). The Appellate Court rejected the defendant’s multiple challenges to evidentiary rulings and upheld the attempted kidnapping conviction; State v. Winot,
General Statutes § 53a-94 (a) provides: “A person is guilty of kidnapping in the second degree when he abducts another person.” Pursuant to General Statutes § 53a-91 (2), “ ‘[ajbduct’ means to restrain a person with intent to prevent his liberation by either (A) secreting or holding him in a place where he is not likely to be found, or (B) using or threatening to use physical force or intimidation.” General Statutes § 53a-91 (1) defines “ ‘[rjestrain,’ ” in relevant part, as “to restrict a person’s movements intentionally and unlawfully in such a manner as to interfere substantially with his liberty by moving him from one place to another, or by confining him either in the place where the restriction commences or in a place to which he has been moved, without consent. ...”
The defendant did not argue that the restraint he employed was incidental to his commission of another crime against the victim.
The defendant did not raise separate vagueness claims under the federal and state constitutions. We previously have equated vagueness doctrine under the two documents and have declined to analyze vagueness claims any differently under the Connecticut constitution. See Ramos v. Vernon,
Additionally, we reasoned, “because there is no general prohibition against a person being convicted of multiple crimes arising out of the same act or acts, it is of no moment that the confinement or movement that provides the basis of a kidnapping conviction is merely incidental to the commission of another crime against the victim.” State v. Salamon, supra,
In Salamon, we examined more closely the contours of the intent to prevent a victim’s liberation. Although we did not attempt to provide a comprehensive definition of that intent, we determined that the legislature meant to exclude from its scope an intent to confine or move a victim that is wholly incidental to the commission of another crime which, by its nature, necessitates some restraint of the victim. State v. Salamon, supra,
Subsequent to our decision in Salamon, we heard two appeals that similarly challenged kidnapping convictions on the ground that the restraint at issue was brief and wholly incidental to the commission of another crime, which, in each case, was sexual assault. See State v. DeJesus,
Upon review of those briefs, contrary to the view of the dissenting justices, we are not persuaded that the rule of Salamon and, therefore, the remedy established by DeJesus, is implicated by the facts of the present appeal. First, the defendant did not claim, before either the trial court or the Appellate Court, that § 53a-94 (a) was unconstitutionally vague as applied because his restraint of the victim was incidental to his commission of another crime, but rather, only because the restraint was of short duration. Compare State v. DeJesus, supra,
Second, there was no evidence presented at trial suggesting that the defendant, when he grabbed the victim’s arm, was in the process of committing another crime against her to which the restraint potentially was incidental. Compare State v. DeJesus, supra,
Third, we disagree with the defendant that he is entitled to an incidental instruction in connection with the charge of risk of injury to a child because his conviction for that crime was reversed by the Appellate Court for insufficiency of the evidence and, therefore, he will not face retrial. State v. Winot, supra,
Case law decided subsequent to the events underlying the defendant’s kidnapping conviction extended the logic of these holdings even further. See State v. Luurtsema, 262 Conn.179, 202-204,
In deciding Salamon, we noted that a challenge based on this predicate remained viable under the vagueness doctrine. State v. Salamon, supra,
Connecticut courts frequently have relied on this reasoning to reject vagueness challenges to statutes with specific intent requirements. See, e.g., State v. Dyson,
In order to provide the requisite notice and fair warning to a defendant that his conduct is criminal, judicial opinions need not involve precisely the same factual scenario as the defendant’s case; Rose v. Locke, supra,
The defendant did not raise any distinct claim in his appeal before the Appellate Court, as to either his conviction of kidnapping in the second degree or attempt to commit kidnapping in the second degree, that his conduct actually constituted some other crime. Accordingly, that court did not consider such a claim. As a consequence, this case gives us no occasion to explore in detail the precise delineation between an attempt to commit kidnapping and a completed kidnapping.
More precisely, the defendant requests that we modify the Appellate Court’s judgment, from a directed judgment of acquittal on the charge of kidnapping in the second degree to a reversal of that conviction followed by a remand and retrial on that charge.
The state argues at the outset that we should not review the defendant’s claim because it has been waived. Specifically, it claims that, although the defendant petitioned this court for certification to appeal from the Appellate Court’s judgment, he did not request review of the issue presented here and, therefore, improperly has circumvented this court’s discretionary review process. Moreover, according to the state, the defendant’s proposed alternative ground for affirmance improperly seeks to have this court impose a different judgment than that rendered by the Appellate Court, namely, a remand and retrial rather than an acquittal. See footnote 13 of this opinion.
We disagree with the state that the defendant has waived his claim. A party need not first seek certification for review of an issue in order to raise it as an alternative ground for affirmance. Russell v. Mystic Seaport Museum, Inc.,
Generally, “[t]he credibility of a witness may be impeached by evidence of a prior inconsistent statement made by the witness.” Conn. Code Evid. § 6-10 (a).
It is not disputed that the victim’s mother did not witness, and, further, had no personal knowledge of, the incidents involving the defendant and the victim on July 19 and July 23,2002. The mother’s statement only purported to recount what the victim had told her following each incident.
In short, a statement admissible pursuant to Whelan satisfies a hearsay exception and, therefore, is admissible to prove the truth of the matter asserted therein, and not merely for impeachment purposes. See State v. Mukhtaar,
Section 6-4 of the Connecticut Code of Evidence provides: “The credibility of a witness may be impeached by any party, including the party calling the witness, unless the court determines that a party’s impeachment of its own witness is primarily for the purpose of introducing otherwise inadmissible evidence.”
Although the defendant in his brief challenges the exclusion of both the mother’s trial testimony and her written statement, we construe his claim as pertaining mainly to the question of the admissibility of the statement as substantive evidence, in the event that the mother had been permitted to repudiate her sworn testimony, as she indicated she would during the defendant’s offer of proof. Because the mother’s proposed testimony, as demonstrated by the offer of proof, was consistent with the victim’s testimony and, therefore, would not have been useful to the defendant either substantively or to impeach the victim, its exclusion did not harm him except insofar as it prevented the introduction of the mother’s prior inconsistent statement under Whelan. Furthermore, there is no indication from the offer of proof that the defendant intended to question the mother as to any other matters, nor does he claim on appeal that there were any such matters that he wished to pursue.
Additionally, even without the mother’s testimony and statement, the defendant otherwise was able to introduce evidence of the victim’s inconsistent reporting of the dates of the subject events, through the cross-examination of both the victim and Officer Calkins on that topic. See State v. Kelly,
As explained in the commentaiy to § 6-4 of the Connecticut Code of Evidence, this court, “[i]n Graham and subsequent decisions . . . has supplied a two-pronged test for determining whether impeachment serves as a mere subterfuge for introducing substantively inadmissible evidence. A party’s impeachment of a witness it calls by using the witness’ prior inconsistent statements is improper when: (1) the primary purpose of calling the witness is to impeach the witness; and (2) the party introduces the statement in hope that the jury will use it substantively. [See, e.g.], State v. Graham, supra,
This rule has been codified in § 8-5 of the Connecticut Code of Evidence, which provides in relevant part: “The following [is] not excluded by the hearsay rule, provided the declarant is available for cross-examination at trial:
“(1) Prior inconsistent statement. A prior inconsistent statement of a witness, provided (A) the statement is in writing or otherwise recorded by audiotape, videotape or some other equally reliable medium, (B) the statement or recording is duly authenticated as that of the witness, and (C) the witness has personal knowledge of the contents of the statement. . . .”
The defendant, in his brief, alludes to the victim’s statements as possibly meeting the requirements of the spontaneous utterance exception to the rule against hearsay. See Conn. Code Evid. § 8-3 (2). He did not so argue to the trial court, however, and it is well established that a party may not claim one ground for evidentiary error at trial and then argue a different ground on appeal. See State v. Jose <?.,
It is clear that the defendant, by arguing the applicability of Whelan, sought to introduce the victim’s statements, as recounted in her mother’s statement, substantively. He continues to argue on appeal that the mother’s statement, had it been admitted, “would not only [have] substantially undercut [the victim’s] testimony, but it would [have] supported] the defendant’s denials of touching or hurting any girl .... It would also [have] preclude [d] his conviction for the completed offense of kidnapping in the second degree, and undermine [d] the state’s closing argument that the defendant lied to police.”
Even if, however, the mother’s statement was offered only to impeach the victim’s credibility, as the defendant originally had sought to do by presenting the mother’s testimony, we agree with the Appellate Court that exclusion still would have been proper because the statement was extrinsic evidence of the victim’s prior inconsistent statements as to a collateral matter only, namely, the precise dates on which each of the charged offenses occurred. “As a general rule, extrinsic evidence of a prior inconsistent statement may not be admitted to impeach the testimony of a witness on a collateral matter. . . . Thus, on cross-examination, a witness’ answer regarding a collateral matter is conclusive and cannot be contradicted later by extrinsic evidence.” (Citation omitted.) State v. Valentine,
No statute of limitations or alibi defenses were at issue in this case, and “[i]t is a well-established rule in [Connecticut] that it is not essential in a criminal prosecution that the crime be proved to have been committed on the precise date alleged, it being competent ordinarily for the prosecution to prove the commission of the crime charged at any time prior to the date of the complaint and within the period fixed by the statute of limitations . . . .” (Citations omitted; internal quotation marks omitted.) State v. Romero, supra,
Dissenting Opinion
with whom, ZARELLA, J., joins, dissenting. I disagree with the majority’s determination that the defendant, Gregory B. Winot, is not entitled to a judgment reversing his conviction of kidnapping in the second degree and remanding the case for a new trial on that charge because, in the majority’s view, the new rule for kidnapping offenses adopted in State v. Sala-mon,
As the majority recognizes in footnote 7 of its opinion, in State v. Salamon, supra,
Notably, following our decision in DeJesus, we granted a motion for reconsideration of our decision in State v. Sanseverino,
Despite this case law, in the present case, the majority concludes that the remedy established by DeJesus is not implicated because, inter alia, there was “no evidence presented at trial suggesting that the defendant, when he grabbed the victim’s arm, was in the process of committing another crime against her to which the restraint was incidental.” I disagree. The evidence did indeed disclose conduct that could constitute another crime, i.e., assault in the third degree, breach of the peace, creating a public disturbance or disorderly conduct, to which a jury reasonably could find the restraint was wholly incidental.
Accordingly, I respectfully dissent.
In State v. Salamon, supra,
In light of this conclusion, I do not address the majority’s determination that the Appellate Court improperly concluded that the kidnapping in the second degree statute, General Statutes § 53a-94 (a), was unconstitutionally vague as applied to the defendant’s conduct. See Carrano v. Yale-New Haven Hospital,
General Statutes § 53a-61 (a) provides in relevant part: “A person is guilty of assault in the third degree when: (1) With intent to cause physical injury to another person, he causes such injury to such person or to a third person . . . .”
General Statutes § 53a-181 (a) provides in relevant part: “A person is guilty of breach of the peace in the second degree when, with intent to cause inconvenience, annoyance or alarm, or recklessly creating a risk thereof, such person ... (2) assaults or strikes another . . . .”
General Statutes § 53a-181a (a) provides in relevant part: “A person is guilty of creating a public disturbance when, with intent to cause inconvenience, annoyance or alarm, or recklessly creating a risk thereof, he (1) engages in fighting or in violent, tumultuous or threatening behavior . . . .” General Statutes § 53a-182 (a) provides in relevant part: “A person is guilty of disorderly conduct when, with intent to cause inconvenience, annoyance or alarm, or recklessly creating a risk thereof, such person: (1) Engages in fighting or in violent, tumultuous or threatening behavior . . . .”
I note that the decision to charge the defendant with any of these offenses would be solely within the state’s discretion. See State v. Kinchen,
Whether the state decides to charge the defendant with these other offenses, however, is irrelevant to the analysis of the question before this court. “Applying [the pertinent] standard to the facts in Salamon, we concluded that, although the defendant had not been charged with assault, the judgment of conviction of kidnapping in the second degree had to be reversed and the case remanded for a new trial because the defendant was entitled to a jury instruction explaining that a kidnapping conviction could not he if the restraint was merely incidental to the assault.” State v. Sanseveri.no, supra,
Certainly, this evidence is no more clear-cut than the evidence in Salamon that we concluded required a remand. See State v. Salamon, supra,
