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Todd
Joseph RIZZO
Method of murder:
Hitting with
a 3-pound sledgehammer
Todd Rizzo was sentenced to death in 1999. The former
U.S. Marine was convicted of killing 13-year-old Stanley Edwards of
Waterbury with a 3-pound sledgehammer in September 1997 because he
wanted to see what killing someone felt like. Rizzo was 18 years old
when he committed the crime.
Death Sentence Upheld In
Bludgeoning Murder Of Waterbury Teen
By Dave Collins - Associated Press
November 21, 2011
HARTFORD, Conn. (AP) _ The Connecticut Supreme Court
on Monday upheld both the state’s death penalty law and the death
sentence of a man who killed a 13-year-old boy with a sledgehammer in
1997.
Both decisions came in the appeal of 33-year-old
death row inmate Todd Rizzo, whose lawyers challenged Rizzo’s
convictions and the legality of the state’s death penalty under the
Connecticut Constitution.
The high court issued a 6-1 decision rejecting all of
Rizzo’s arguments and upholding his death sentence. Justice Flemming L.
Norcott Jr., was the lone dissenter, saying he continued to maintain his
position that “the death penalty has no place in the jurisprudence of
the state of Connecticut” and recommending a life prison sentence for
Rizzo.
Rizzo’s public defenders and a state prosecutor who
handled Rizzo’s appeal didn’t immediately return phone messages Monday.
Police said Rizzo confessed that he struck up a
conversation with Stanley Edwards IV as the boy rode his bicycle by his
house in Waterbury on Sept. 30, 1997. Rizzo was an 18-year-old former
Marine at the time. The seventh-grader knew and trusted Rizzo through
Rizzo’s job at a video store, and he followed Rizzo into Rizzo’s
backyard to hunt snakes, prosecutors said.
Rizzo then told police that he straddled Edwards
“like a horse” and hit him 13 times with the three-pound sledgehammer as
the boy begged him to stop. Rizzo told police that he simply wanted to
know what it felt like to kill somebody.
Rizzo was sentenced to death under a 1995 state law
that allows jurors in death penalty cases to weigh aggravating factors,
such as a crime’s brutality, against mitigating factors, such as abuse a
defendant suffered during childhood. A three-judge panel imposed the
death sentence on Rizzo in 2005.
He had appealed his conviction on numerous claims
including that there was a lack of evidence of an aggravating factor,
that the three-judge panel improperly weighed aggravating factors
against mitigating factors and that the state’s death penalty law
violated both the U.S. and state constitutions.
The Supreme Court ruled that the death penalty does
not violate the constitution, which reaffirmed previous similar rulings
in the death penalty cases of serial killer Michael Ross, who was
executed in 2005, and Daniel Webb, who kidnapped and killed a bank
executive in Hartford in 1989 and remains on death row.
Rizzo’s lawyers also claimed that capital punishment
does not serve the legitimate goals of deterrence, incapacitation or
rehabilitation. The Supreme Court majority disagreed in 86-page opinion
written by Chief Justice Chase T. Rogers.
“As long as there remains powerful evidence of strong
public support for the death penalty … we will not attempt to discern a
contrary view of the public will, or to answer complex policy questions
best answered by the legislative process.”
Rizzo pleaded guilty to capital felony in 1999, and a
jury sentenced him to lethal injection. But the state Supreme Court
overturned the sentence in 2003, ruling that a judge had not properly
instructed jurors before they began deliberating.
Rizzo then chose a three-judge panel for the second
penalty phase trial, and the panel sent him back to death row in 2005.
He wanted to kill someone — and did
Robyn Adams - FreeRepublic.com
May 21, 2005
WATERBURY -- From the bedroom window
of his Marion Avenue home, Todd Rizzo watched children come and go and
knew the times they would go by as he obsessed about killing someone.
A year after being sentenced to die for killing 13-year-old
Stanley Edwards, a neighborhood boy Rizzo spotted while the boy was out
for a ride on his bicycle, Rizzo told a television reporter his
obsession to kill began when he was 13 in middle school and continued
through his high school years.
He thought that by enlisting in the U.S. Marine Corps,
his obsession would subside. Whether it did is unclear. But it
re-emerged when he was discharged.
On Sept. 30, 1997, two weeks after being discharged
from the Marines, Rizzo acted on that obsession to kill, and bludgeoned
Stanley to death with a sledgehammer. He struck the boy a dozen times.
The April 2000 telephone interview, taped by Shelly
Sindland of WTIC-Fox 61 television, was played at Waterbury Superior
Court on Friday during the fourth day of Rizzo's penalty hearing.
This is Rizzo's second penalty phase hearing. In
1999, a jury sentenced him to die. In 2003, the state Supreme Court
overturned that sentence because Judge William Holden did not instruct
jurors that aggravating factors had to outweigh mitigating factors
beyond a reasonable doubt to make death the appropriate sentence. The
sentence was also overturned because of statements State's Attorney John
Connelly made during closing arguments. This second penalty phase
hearing is to determine only if Rizzo should live or die. His guilt is
not the question.
Rizzo talked nonchalantly during the telephone
interview and answered Sindland's questions without hesitation. She
asked him what it was like to be on death row, whether he had a
relationship with other men on death row and what he felt about being
put to death. She asked him about killing Stanley and what the boy's
last words were.
Rizzo talked about his day in jail, rising at 7 a.m.,
watching television and going to bed whenever he wanted. He said he got
used to the constant banging he hears in prison, was writing 50 to 60
pages of fiction almost nightly and hadn't been outside since being
sentenced in August 1999. He told the reporter of smelling Stanley's
blood for a "whole month" and the gurgling sound the boy made when the
first blow of the sledgehammer connected with his head.
"When he got hit, it was like, taking a sip of beer
and letting out air, like he got the wind knocked out of him. He turned
around and spun around like a windmill. It was pitch black. I never saw
myself killing him. It was pitch black." But at some point during the
interview, he said the moon was out.
In September 1999, Sindland wrote to death row
inmates because the state was preparing the lethal injection chamber for
Michael Ross, a serial killer, who was put to death by lethal injection
last week.
Rizzo told Sindland he did not know Ross was a serial
killer but considered Jeffrey Dahmer "my father" and studied other
serial killings. "It was like when I made my decision I was going to do
it; it wasn't going to be anyone I knew. When Stanley showed up, I
exploded. There was no one around, and I thought it was the perfect
time. That is what I felt like."
Rizzo's 30 minute interview included conversations
about having no feelings and wanting to be put to death. His feelings
changed while in jail when he fell in love with a high school girl and
they planned to marry before the engagement broke off.
With a love in his life, Rizzo told Sindland he began
to have feelings about having killed someone, wondered what Stanley's
mother was going through and how he would feel if it had happened to
someone in his family.
"They should have killed me before when they
sentenced me. Punishment wasn't prison time, but death," Rizzo told
Sindland.
Rizzo told the reporter before he dies, he wants to
talk with Stanley's mother. He isn't sure what he'd say. Rizzo said he
isn't the animal he was in 1997, but that he would die like an animal.
"Technically, my life is over. My life ended at age
18. This is my life from now on," Rizzo said in the interview with
Sindland.
Rizzo said before he recognized Stanley that night,
he knew he wanted to kill him. He had seen Stanley around the
neighborhood and had come to think of him as a friendly, outspoken kid.
"I remember one day he said he heard I got out of the Marine Corps. I
almost snapped, and told him to mind his business. When he showed up, we
started talking. It didn't matter who he was, I had to kill that night."
Rizzo said he saw a woman look out a window and
thought he couldn't go through with it. Then he asked Stanley if he
wanted to see snakes in his backyard. Rizzo said he went to get a
flashlight, which was near the sledgehammer.
"I wasn't sure I was going to do it. Stanley was
giving up because he didn't see any snakes. He said they were probably
gone because it was dark out and that is when it happened. I was
standing on a ledge above him. My knees were parallel to the back of his
neck. He never turned around. I was shaking. I remember looking up at
the moon. It was like it wasn't even me."
Rizzo swung the sledgehammer down on the boy's skull,
jumped on his back and pummeled him a total of 12 times.
Rizzo told Sindland he began to feel regret about
killing Stanley in March or April of 1999 when his high school friend
came back into his life.
But in a letter written from his jail cell to a
Marine buddy two weeks after the killing, Rizzo bragged about achieving
his "second goal in life."
Sindland was the second witness called by the state.
The first was John Fleischer, his Marine buddy, of Canada. Fleischer was
questioned about his relationship with Rizzo after getting Rizzo's
letter, dated Oct. 10, 1997, that also included a news article about the
killing.
In the letter, Rizzo said: "Well, let's say, you
might be reading about me one day. Just add me to your long list of
famous killers, like Jeffrey Dahmer, Mr. John Gacy, Henry Lucas, and so
on. Yes, from the news article inclosed (sic), you'll learned (sic),
I've been arrested for murdering a 13 yr old boy. I beat the backside of
his skull in with a sledgehammer in my backyard and dropped his body on
a side road w/his head wrapped in a plastic bag. So way back in July,
when me, you, Jones and Sims talked about the truth if we could actually
kill another person? Well, I did. That knocks off number two on my goal
list."
Rizzo told Fleischer he'd keep him informed. He goes
on to say he was on the "entire front page of my paper and on many other
papers and all over the news! I am sorry for what I've done, because my
life is now over. Im (sic) either facing life in prison with no parroll
(sic) or the death sentence which in CT is lethal injection. Anyway, now
that my life is through, How's your's doing?"
After testimony by Fleischer and Sindland and the
tape was played in court, the state rested its case.
Rizzo's attorneys Ronald Gold and David Channing gave
the court a list of up to 35 witnesses they plan to call including
Rizzo's father.
Mothers say convicted killer was once a trusted
baby sitter
May 29, 2005
Convicted child killer Todd Rizzo was once a trusted
baby sitter, two mothers have testified in a hearing to consider his
penalty.
Lynne Connolly and Violet Boisvert told a three-judge
panel Friday that during the mid-1990s Rizzo, who is now 26, was a baby
sitter for their children, took them to the park and played with them.
Neither woman said she was concerned about leaving
their children with Rizzo, who was a high school student in Waterbury at
the time. "He was very good to my children," Boisvert said on the eighth
day of Rizzo's death penalty hearing in Waterbury Superior Court. "I
never had a problem with Todd. I never mistrusted him."
Boisvert said her two sons saw Rizzo as an older
brother, calling him "Todd Squad." "My kids loved Todd," she said. The
five children now range in age from 12 to 21.
Rizzo's public defenders are trying to prove that
mitigating factors, such as his difficult and unsupervised childhood and
past good deeds, should spare him the death penalty.
Prosecutors are trying to prove the crime was
particularly cruel and heinous, making Rizzo eligible for the death
sentence.
Perrin Markay also testified that he and Rizzo were
best friends when they attended middle school. Students often picked on
Rizzo because he was undersized and had red hair and freckles, he said.
But by their junior year in high school, Rizzo dyed his hair black,
watched violent movies and read books about serial killers, Markay said.
Rizzo also collected serial killer trading cards, he
said. "I was hoping it was just a phase he would let go as time went on,"
Markay said. "So I didn't really make a big deal about it."
Rizzo, an ex-Marine, was 18 on Sept, 30, 1997, when
he persuaded Stanley Edwards IV to hunt snakes with him. He told police
he straddled the 13-year-old boy "like a horse" and hit him 13 times
with a 3-pound sledgehammer as the boy begged him to stop. He pleaded
guilty to capital felony in 1999. He dumped the boy's body in a nearby
wooded lot. He told authorities he needed to know what it would be like
to kill someone.
A jury sentenced Rizzo to death, but the state
Supreme Court overturned the sentence in October 2003. The justices
ruled that the jury had not been properly instructed.
Todd Rizzo
The setting
for this story is Waterbury, Connecticut. According to most newspapers
this town is pretty quiet. But then again they always are, aren't they?
The 'hero' of
the tale is Todd Rizzo, 20.
It seems that
Todd had a bit of a thing for serial killers, especially Jeffrey Dahmer.
He told police his interest in murderers was rather intense. I hope this
doesn't give you lot reading this any silly ideas.
Young Todd
also had another interest, he was a marine. Well, he was actually a
former marine. It's always great of the US military to train these guys
to kill then tell them they don't belong in the army, sending them out
into society with their new found skills combined with an anger that was
not formally there.(rant, rant, rant . . .)
So Todd was
bored one day (Sept. 30, 1997). He couldn't think of anything to do, and
all he had to play with was a 3 pound hammer. One can't really think of
many fun games that you could play with one of those, at least not
without a playmate, which is exactly what Todd sought out.
The next door
neighbors 13 year old son, Stanley Edwards, just happened to come along
at this time. An idea appeared in Todd's tiny brain and he decided that
it was time to find out what it was like to kill someone.
He asked
Stanley if he wanted to come over and hunt some snakes (must be what
they do for fun in Waterbury) Stan seemed pretty interested in killing
some innocent animals so he jumped at the chance. Unfortunately for
Stanley he soon found out that the dumb animal was him.
Once the boy
was in the yard Todd took his hammer and proceeded to smash Stanley's
head in. Thirteen times the sledgehammer cracked against the young kids
skull. I guess he probably died after 6 or 7 blows, but Todd kept going
just in case.
It didn't take
long for police to arrest Todd, who then quickly confessed to what he
had done.
He told police
he wanted to see what it felt like to kill someone.
At his trial Todd's
lawyer said the murder was a tragic aberration in the life of a man who
held steady jobs and hosted church events. He also cited Rizzo's
academic success at Warren Kaynor Regional Vocational Technical School,
where he excelled in the culinary program. He asked the jury to consider
that Rizzo admitted to the September 30th, 1997 murder and cooperated
with police.
But the
jury found him guilty and recommended a death sentence anyway.
The Wacky World of Murder
Todd Rizzo
June 25, 1999
A Conneticut jury yesterday recommended a death sentence for a 20-year-old
man who confessed to killing a 13-year-old neighbor with a sledgehammer
because he wanted to know what it felt like to kill.
Todd Rizzo pleaded guilty to the Sept. 30, 1997
slaying of Stanley Edwards. He confessed to luring the boy into his yard
under the guise of hunting snakes and hitting him 13 times with a
3-pound sledgehammer. He told police he wanted to see what it felt like
to kill someone. Police had said Rizzo told them he had an intense
interest in Jeffrey Dahmer and other serial killers.
Todd Rizzo
October 3, 1997
A Waterbury, Connecticut, teen fascinated with serial killers told
police he lured a 13-year-old boy into a backyard and sledgehammered him
to death for "no good reason."
"It
was like a sort of urge, I guess." Rizzo, 18, told police. He also
said he was fascinated with Jeffrey Dahmer, and wanted to find out what
it felt like to kill somebody. The teen knew the seventh-grader casually
through his former job at a video store. After luring him into his
backyard to hunt for snakes, Rizzo "sat on him like a horse and hit
him a bunch of times in the head" until the boy stopped making
gurgling sounds.
Rizzo, who was just discharged from the Marine Corps after serving less
than a year, was linked to the crime by a woman who said she saw his car
in the area where the body was found.
Supreme Court Of Connecticut
State v. Rizzo
STATE of Connecticut v. Todd RIZZO
No. 17527.
Argued Oct. 22, 2010. -- November 29, 2011
ROGERS, C.J., and NORCOTT, PALMER, ZARELLA,
McLACHLAN, VERTEFEUILLE and DiPENTIMA, Js.*
Judith L. Borman and Ann M. Parrent, assistant
public defenders, with whom, on the brief, was Jennifer L. Bourn,
deputy assistant public defender, for the appellant (defendant).Harry
Weller, senior assistant state's attorney, with whom was John A.
Connelly, former state's attorney, for the appellee (state).
The defendant, Todd Rizzo, appeals from the
judgment rendered by a three judge panel, following a penalty phase
hearing held pursuant to General Statutes (Rev. to 1997) § 53a–46a,1
sentencing him to death for the murder of a thirteen year old victim,
Stanley G. Edwards. The defendant claims on appeal that: (1) his
waiver of a jury for the penalty phase hearing was constitutionally
invalid; (2) the presiding judge at the penalty phase hearing should
have disqualified himself due to bias; (3) the absence of a specific
intent requirement in the aggravating factor found by the panel
renders his death sentence unconstitutional; (4) the panel's finding
of an aggravating factor lacks evidentiary support; (5) the method of
establishing mitigating factors pursuant to § 53a–46a (d) violates the
eighth amendment to the United States constitution; (6) the panel's
finding of a single cumulative mitigating factor but no individual
mitigating factors was improper; (7) the panel improperly weighed
aggravating and mitigating factors and determined that death was the
appropriate punishment; (8) the death sentence was the product of
passion, prejudice and other arbitrary factors; and (9) the death
penalty is a per se violation of the state constitution. We disagree
with each of these claims and, accordingly, affirm the judgment
sentencing the defendant to death.
The basic facts and procedural history of the case
are as follows. In the early evening hours of September 30, 1997, the
defendant lured the young victim into the defendant's backyard under
false pretenses and, thereafter, bludgeoned the victim to death with a
small sledgehammer. The defendant initially attempted to conceal his
crime, but the following day, when confronted with powerful evidence
of his guilt, he confessed to murdering the victim. The defendant
pleaded guilty to murder in violation of General Statutes § 53a–54a
(a) and capital felony in violation of General Statutes (Rev. to 1997)
§ 53a–54b (9) and, following a § 53a–46a penalty phase that was tried
to a jury, he was sentenced to death. State v. Rizzo, 266 Conn. 171,
175–76, 833 A.2d 363 (2003). On appeal, this court reversed the
judgment as to the death sentence after concluding that the jury had
not been instructed properly as to a legal standard to be employed in
its imposition;2
id., at 243; and that the prosecutor had engaged in serious
impropriety during his closing argument. Id., at 243–44. The case was
remanded for a new penalty phase hearing, during which the defendant
waived his right to have a jury determine his sentence, instead opting
for sentencing by a three judge panel. After the penalty phase
hearing, the panel again sentenced the defendant to death. This appeal
followed. Additional facts and procedural history will be provided
where pertinent to the claims raised.
I
The defendant claims first that his waiver of a
jury for the penalty phase proceedings was constitutionally invalid.3
He argues specifically that his decision to forgo a jury determination
of whether death was the appropriate penalty, and to opt instead for
sentencing by a three judge panel; see General Statutes (Rev. to 1997)
§ 53a–46a (b)(3); General Statutes §§ 53a–45 and 54–82;4
was not knowing, intelligent and voluntary. According to the
defendant, an examination of the totality of the circumstances
surrounding his waiver leads to the conclusion that it was
ineffective. We disagree.
The following additional procedural history is
relevant to this claim. Jury selection for the defendant's penalty
phase proceedings began on March 15, 2005. During jury selection and
throughout the penalty phase proceedings, the defendant was
represented by Ronald Gold and David Channing, both of whom were
experienced public defenders. As of April 15, 2005, the twentieth day
of voir dire proceedings and a Friday, eight jurors had been chosen.
Late that day, after the trial court, O'Keefe, J., had dismissed the
current panel of prospective jurors and while the court was preparing
to adjourn the proceedings until the following Monday, the defendant
requested permission to waive his right to a sentencing jury.
Initially, Gold indicated to the trial court that some issue had
arisen, and requested a recess to confer with the defendant. The trial
court granted Gold's request, encouraging him to “[t]ake [his] time.”
When the defendant and Gold returned, the following discussion ensued:
“[Gold]: Your Honor, [the defendant] wanted to
address the court about something.
“The Court: I don't have any problem with that.
What do you want to tell me ․ ?
“The Defendant: Your Honor, over the past few weeks
since we've begun selecting a jury, my mind has changed from back in
[1999] when I elected a three judge panel, it might have been during
the probable cause hearing or the arraignment or my guilty plea, when
I originally elected—
“The Court: A jury.
“The Defendant: A jury.
“The Court: You elected a jury.
“The Defendant: A jury. I reviewed the law and my
lawyers presented me with a lot of information that showed that while
I'm, you know, if you're arrested for a crime, you're guaranteed a
jury trial by jury. But there are conditions, if a defendant wants to
elect a three judge panel, and I understand that it is the consent of
the state and the approval of the court, and in this situation I
haven't prepared any motion and I just wanted to put on the record
that I wanted to—
“The Court: You are thinking about changing your
election to a three judge panel?
“The Defendant: I have—right. I have no right to do
so, but what I—
“The Court: You are thinking about it.
“The Defendant: Yes. I wanted to find out if—
“The Court: If it could be done.
“The Defendant: If it can be done only in the
sense, if the state opposes, it's a dead issue. I fully accept a jury.
I had a jury before. A jury can be fair, but I feel it's in my best
interest this time around to have three judges review the evidence for
what it is.
“The Court: Okay. That's a surprise to me, what you
said. I'll consider it. There's nothing before me. There's nothing
formal before me. So you think about it over the weekend, talk to your
lawyers. Tell me how you feel on Monday. And, [state's attorney].
“[State's Attorney]: This is the first. I'm also
surprised, Your Honor, but I will think about it over the weekend.
“The Court: Yeah, how's that?
“[State's Attorney]: Just to let [the defendant]
know, that the state is not foreclosed to the possibility of a three
judge panel.
“The Court: Given my involvement so far in the
case, I would not be part of the—I wouldn't be one of the three
judges. That probably wouldn't be a good idea, would it?
“[Gold]: I haven't thought about that, Your Honor.
“The Court: We don't need to cross that bridge
right at this point. But—okay. You heard what [the state's attorney]
said.
“The Defendant: I appreciate you taking the time to
hear my request.
“The Court: No problem.
“The Defendant: Thank you, sir.
“The Court: Okay. We're adjourned.”
Before court reconvened the following Monday, the
defendant and his two attorneys met and discussed the defendant's
options for the penalty phase proceedings.5
Upon returning to the courtroom, defense counsel indicated that they
disagreed with the defendant's decision to waive a jury, but had been
unable to dissuade him from doing so. After the state consented to the
defendant's election of a three judge panel, the trial court asked the
defendant if he had any questions, to which the defendant replied: “I
just wanted to put on the record, Your Honor, that the law has been
explained to me by both of my lawyers, very thoroughly.” The trial
court then referred the defendant to a different judge to be canvassed
as to his jury waiver.
At the outset of the canvass proceedings, defense
counsel notified the trial court that they both had “explained the
various ramifications of the decision [to the defendant] and [had]
recommended against it.” The trial court, Iannotti, J., proceeded to
canvass the defendant:
“The Court: Now ․ it's my understanding that since
some time on Friday afternoon or Friday morning, up until now, that
you had indicated to your attorneys that you were contemplating
changing your election from a [twelve] person jury and electing a
three judge court—a three judge court, three judge panel. Is that
correct?
“[The Defendant]: Yes, sir.
“The Court: Now, have you had enough time to talk
to your lawyers about that change, sir?
“[The Defendant]: Yes, sir. Judge O'Keefe granted
us much time this morning to—
“The Court: Okay.
“[The Defendant]:—discuss it.
“The Court: And you're obviously, sir, aware that
your lawyers are recommending to you not to do this?
“[The Defendant]: Yes, sir. They've thoroughly
explained the differences between a jury trial and a court trial and—
“The Court: Tell me what they explained to you ․
“[The Defendant]: Well, they explained to me how
selecting a jury, considering the evidence, and it's different, it's
different. It's different for the defense to put on a case for
[twelve] people compared to [twelve] experienced judges.
“The Court: Three experienced judges.
“[The Defendant]: Did I say [twelve]?
“The Court: Yes, sir.
“[The Defendant]: I meant three, sir.
“The Court: Yes, sir.
“[The Defendant]: And they would prefer and I don't
really—I'm not sure how much I'm allowed to say.
“The Court: Well, you don't have to say anything
about the conversations you have with your lawyers. I just wanted to
know the understanding, that you understand what you're doing.
“[The Defendant]: Right. They understand—they—if
they are putting on this trial and to put on my best defense, they
feel that a—
“The Court: They feel they can do it better with a
[twelve] person jury than they can with a three judge panel.
“[The Defendant]: Yes, sir.
“The Court: Is that what they told you?
“[The Defendant]: Yes, sir.
“The Court: Now, here's the important part. Okay?
Once you change this election here today, okay, from a jury to a three
judge panel, you can't change your mind back again. Okay?
“That election ends here and today, and the only
thing that will occur after today is phone calls will be made and the
chief [court administrator] of this state will appoint a three judge
panel to your case, and your matter will be heard in front of that
three judge panel. Do you understand that?
“[The Defendant]: Yes, sir.
“The Court: So once that begins, once that process
begins or actually not even once that process begins. As soon as I
accept your election here today, you can't go into the back room and
talk to [defense counsel] and say, you know, geez, maybe I, maybe I
should have the jury. Okay? You cannot change your mind back again. Do
you understand that?
“[The Defendant]: Yes, sir.
“The Court: If you had originally elected a—the
other way, you could have changed—once you elect a court trial, it's
over. Do you understand that?
“[The Defendant]: Yes, sir.
“The Court: You can go from a jury to a court, you
can't go from a court to a jury.
“[The Defendant]: Yes, sir. That's exactly what
they explained to me this morning, very thoroughly.
“The Court: All right. And I'm sure what they also
explained to you is that when you have a [twelve] person jury in a
death penalty phase case like this, is that it would have to be
unanimous with those [twelve] people. Right?
“[The Defendant]: Yes, sir.
“The Court: And my guess is that their thought
process was, you know, they probably said to you ․ we think we have a
better chance with a [twelve] person jury here than we do with a three
judge panel because with a three judge panel of experienced judges,
it's the three of them versus the [twelve] person jury that they would
have to convince. Do you understand that?
“[The Defendant]: Yes, sir. I was told that it's
not unanimous with three judges, it's—it could be—
“The Court: Two out of three would be enough. But
not—obviously, with the jury it has to be unanimous. Do you understand
that?
“[The Defendant]: Yes, sir.
“The Court: All right. So they've explained all of
that to you thoroughly.
“[The Defendant]: Yes, sir.
“The Court: Right, Mr. Gold?
“[Gold]: Yes.
“The Court: Right, Mr. Channing?
“[Channing]: May I have one moment with him, Your
Honor?
“The Court: Sure.
“[Channing]: Thank you, Your Honor. Yes, we
explained what he said we explained.
“The Court: Is that right?
“[The Defendant]: Yes, sir. In writing and verbally
they told me.
“The Court: All right. And knowing all that, it is
still your decision here today that you want to change from a jury to
a three judge panel?
“[The Defendant]: Yes, sir. I do understand their
position, but I'm certain that I prefer a court trial.
“The Court: Do you have any other questions of your
lawyer[s]?
“[The Defendant]: I feel very satisfied that I've
been given every bit of information to make this decision, and I have
no further questions to my lawyers at this time that's going to change
my mind tomorrow.”
The trial court thereafter asked the defendant
whether he had had enough time to make his decision, and the defendant
replied, “Yes, sir. Plenty of time.” When the court asked him again
whether he needed more time, the defendant responded, “No, sir. I feel
very satisfied.” The colloquy continued:
“The Court: So you're confident that this is the
way you want to go, and you're confident you've discussed everything
you need [to] discuss with your attorneys?
“[The Defendant]: Yes, sir.
“The Court: And you're confident that you don't
need any additional time to make this decision. Is that correct?
“[The Defendant]: That is correct.”
After some discussion with the state's attorney
regarding the fact that the defendant, in an earlier penalty phase
proceeding, had elected to be tried by a jury, the trial court queried
the defendant further:
“The Court: ․ [S]o you have been through this
process before, and you have had a jury on this before, so you have a
complete understanding how that works. Is that a fair statement ․ ?
“[The Defendant]: Yes, it is, Your Honor.
“The Court: And another good point actually brought
up by [the state's attorney] is that you've had a lot of time to think
about this, you've had a lot of time to talk to your lawyers, but is
this your own decision based on your own free will? Are you doing this
knowingly? Are you doing this voluntarily? Did anybody pressure you,
and I don't mean your lawyers because clearly they have not, but
anybody pressure you from without to change your election here? Is
there any influence upon you other than your own decision-making
process that has led you to make this decision today?
“[The Defendant]: No, Your Honor. This has been
knowingly and it's definitely been voluntary because there's—
“The Court: Were you coerced by anybody?
“[The Defendant]: No, not even in the prison. I've
had no discussions with this, with even any of the escort officers.
“The Court: Did anybody suggest it to you?
“[The Defendant]: No, sir. I thought this was my
decision over the past few weeks and I voiced my opinion last week to
my lawyers.
“The Court: All right. So there [were] no outside
influences to change your mind from a jury to a court election
whatsoever. It was thought up by yourself, it was brought to your
lawyers' attention by yourself, was thoroughly discussed with your
lawyers by yourself, and again, your lawyers told you not to do this,
but regardless of that after having fully talked it out with your
lawyers, you have remained adamant that this is a decision that you
knowingly, voluntarily, and in complete knowledge wish to make?
“[The Defendant]: Yes, sir. I initiated this.” The
trial court continued to inquire:
“The Court: ․ [A]t this time or throughout this
decision-making process, as of right now, today, are you under the
influence of any alcohol, medication, or drugs of any kind?
“[The Defendant]: I take no medication, Your Honor,
and no alcohol, nothing.
“The Court: All right. So your decision making is
clear of any outside influences whatsoever with regard to that?
“[The Defendant]: Yes, sir.”
The trial court then found that the defendant's
decision to revoke his jury election and to proceed before a three
judge panel was knowingly and voluntarily made with the assistance of
his attorneys. The court further found that the defendant was not
under the influence of any alcohol, drugs or medication of any kind
and that he had had at least seventy-two hours to contemplate his
decision. Accordingly, the trial court accepted and approved the
defendant's waiver of his right to a jury and his election to be
sentenced by a three judge panel. Following the penalty phase hearing,
the three judge panel sentenced the defendant to death.
The defendant now claims that his waiver of a jury
for the sentencing proceedings was constitutionally inadequate because
the trial court failed to ensure that it was knowing, voluntary and
intelligent. According to the defendant, the totality of the
circumstances demonstrates that his waiver of the constitutional right
to have a jury decide his fate was invalid. Specifically, he points to
the timing and nature of his incarceration and the atmosphere during
the voir dire proceedings preceding his waiver. The defendant also
claims that his waiver was defective in the absence of specific advice
from the trial court as to the differences between court and jury
proceedings, and that the court should have inquired further about his
reasons for waiving a jury. We are not persuaded.6
Because the defendant did not raise this claim
during the penalty phase proceedings, it is not preserved for purposes
of appellate review.7
Nevertheless, a claim that a trial court has failed to ensure a proper
waiver of the right to a jury is of constitutional magnitude and
alleges a violation of fundamental rights. See State v. Woods, 297
Conn. 569, 578, 4 A.3d 236 (2010); State v.. Ouellette, 271 Conn. 740,
748 n. 14, 859 A.2d 907 (2004). Because there is an adequate record of
the defendant's waiver, we review his claim within the framework of
State v. Golding, 213 Conn. 233, 567 A.2d 823 (1989).8
We conclude, however, that the defendant has failed to establish that
a constitutional violation exists and deprived him of a fair trial.9
We begin with general principles. A defendant
charged with a felony possesses a constitutional right to be tried by
a jury, and that right extends to the determination of aggravating
factors in the sentencing phase of a death penalty prosecution. See
Ring v. Arizona, 536 U.S. 584, 609, 122 S.Ct. 2428, 153 L.Ed.2d 556
(2002). Nevertheless, the right to a jury trial, like many important
constitutional rights held by an accused, properly may be waived.10
See Adams v. United States ex rel. McCann, 317 U.S. 269, 275, 63 S.Ct.
236, 87 L.Ed. 268 (1942) (approving waiver of jury trial by
unrepresented felony defendant, “in the exercise of a free and
intelligent choice, and with the considered approval of the court”);
Patton v. United States, 281 U.S. 276, 312, 50 S.Ct. 253, 74 L.Ed. 854
(1930) (permitting waiver of jury for trial of felony charges upon,
inter alia, defendant's “express and intelligent consent”). Likewise,
a defendant who has pleaded guilty to, or has been found guilty of, a
capital offense in Connecticut may choose to relinquish his right to
have a jury determine his punishment, with the consent of the
prosecution and approval of the trial court. See General Statutes
(Rev. to 1997) § 53a–46a (b)(3); see also General Statutes §§ 53a–45
and 54–82.11
The question to be answered, as in other instances
of waiver, is whether the defendant's choice to forsake sentencing by
a jury, and to opt for a penalty phase proceeding before a three judge
panel, was knowing, voluntary and intelligent. State v. Gore, 288
Conn. 770, 776, 955 A.2d 1 (2008). “Relying on the standard
articulated in Johnson v. Zerbst, 304 U.S. 458, 464, 58 S.Ct. 1019, 82
L.Ed. 1461 (1938) [for waiver of the right to the assistance of
counsel], we have adopted the definition of a valid waiver of a
constitutional right as the intentional relinquishment or abandonment
of a known right․ This strict standard precludes a court from
presuming a waiver of the right to a trial by jury from a silent
record․ In determining whether this strict standard has been met, a
court must inquire into the totality of the circumstances of each
case.” (Internal quotation marks omitted.) State v. Gore, supra, at
776. We must review the entire record and determine whether it
“furnishes sufficient assurance of a constitutionally valid waiver of
the right to a jury trial.” Id., at 776–77. Our inquiry is flexible,
with the result turning on “the particular facts and circumstances
surrounding [each] case, including the background, experience, and
conduct of the accused.” (Internal quotation marks omitted.) Id., at
777. Finally, we indulge all reasonable presumptions against the
waiver of fundamental constitutional rights and, if the record is
silent, will not presume acquiescence in their loss.12
Id. “[W]hether a defendant has effectively waived his federal
constitutional [jury] rights in a proceeding is ultimately [a] legal
question” subject to de novo review, although we defer to the trial
court's subsidiary factual findings unless they are clearly erroneous.
(Internal quotation marks omitted.) United States v. Carmenate, 544
F.3d 105, 107 (2d Cir.), cert. denied, 555 U.S. 1019, 129 S.Ct. 586,
172 L.Ed.2d 442 (2008).
Our review of the record and careful consideration
of the totality of the circumstances convince us that the defendant's
waiver of a sentencing jury must be upheld. To begin, “there is no
evidence to suggest that the defendant was not of ordinary
intelligence or educational background”; (internal quotation marks
omitted) State v. Ouellette, supra, 271 Conn. at 758; or that he
lacked meaningful life experience. To the contrary, the defendant's
personal characteristics suggest a valid waiver. At the time of the
sentencing proceedings, the defendant was twenty-six years old, a high
school graduate, and had several years of steady employment history.13
Compare, e.g., State v. Cobb, 251 Conn. 285, 372, 743 A.2d 1 (1999)
(upholding validity of jury waiver where, inter alia, defendant was
twenty-nine years old, high school graduate, had some military
training and was employed at time of arrest), cert. denied, 531 U.S.
841, 121 S.Ct. 106, 148 L.Ed.2d 64 (2000), State v. Shockley, 188
Conn. 697, 707–708, 453 A.2d 441(1982) (upholding validity of jury
waiver where, inter alia, defendant was twenty-three years old at time
of trial and had completed two years of high school), and State v.
Smith, 100 Conn.App. 313, 324, 917 A.2d 1017 (upholding validity of
jury waiver where, inter alia, defendant had received general
equivalency diploma while incarcerated), cert. denied, 282 Conn. 920,
925 A.2d 1102 (2007).
Additionally, because the defendant previously had
been sentenced to death by a jury, he had particularly relevant
personal experience with the criminal justice system, which the trial
court properly considered in assessing his waiver. See Parke v. Raley,
506 U.S. 20, 37, 113 S.Ct. 517, 121 L.Ed.2d 391 (1992) (“evidence of a
defendant's prior experience with the criminal justice system [is]
relevant to the question whether he knowingly waived constitutional
rights”); see also State v. Cobb, supra, 251 Conn. at 372 (upholding
validity of jury waiver where, inter alia, defendant had been advised
of right to jury trial in connection with other charges); People v.
Smith, 176 Ill.2d 217, 227, 680 N.E.2d 291 (finding it “significant,”
for purposes of finding valid jury waiver in second capital sentencing
hearing, that “defendant had originally been convicted of murder and
sentenced to death by a jury, and thus was familiar with the jury's
function in a capital sentencing hearing”), cert. denied, 522 U.S.
920, 118 S.Ct. 311, 139 L.Ed.2d 241 (1997); People v. Albanese, 104
Ill.2d 504, 536, 473 N.E.2d 1246 (1984) (noting, in upholding jury
waiver for capital sentencing hearing, that defendant recently “had
been convicted of murder and sentenced to death by another jury ․ on a
related indictment and so became familiar with the jury's function at
the sentencing hearing”), cert. denied, 471 U.S. 1044,105 S.Ct. 2061,
85 L.Ed.2d 335 (1985). Here, the defendant responded affirmatively to
the trial court's query: “[S]o you have been through this process
before, and you have had a [penalty phase] jury ․ before, so you have
a complete understanding [of] how that works. Is that a fair statement
․ ?” The trial court properly relied on the defendant's assurance.
Next, the record clearly reveals that the
defendant, in waiving his right to a sentencing jury, acted of his own
volition after considerable reflection and after he had ample time to
confer with defense counsel and to evaluate his decision. As a result,
he possessed an informed awareness of the nature of the right he was
waiving, and he expressed his desire to proceed with a three judge
panel repeatedly and emphatically. Specifically, the defendant himself
initiated waiver proceedings after pondering the option for a “few
weeks․”14
At that time, he stated that he had reviewed the relevant law, and he
demonstrated an accurate understanding of the statutory requirements
for a waiver, namely, the consent of the state and the approval of the
court. See General Statutes (Rev. to 1997) § 53a–46a (b)(3). The trial
court gave the defendant an additional weekend to mull over the
decision and most of Monday morning to confer with defense counsel.
Before and during his canvass, the defendant repeatedly stated that
the differences between a court trial and a jury trial had been
explained to him thoroughly by his counsel, citing some examples, and
he confirmed numerous times that he had had adequate time in which to
consult with his attorneys and make his decision.15
Additionally, the trial court explicitly advised the defendant that a
twelve person jury would need to agree unanimously to impose the death
penalty, whereas only two votes from a three judge panel would
suffice. Both of the defendant's counsel also stated on the record
that they had explained the relevant law to the defendant. The
defendant stated variously that he was “certain that [he] prefer[red]
a court trial,” that he was “confident” that was the way he wished to
proceed and that he was “adamant” about his decision.
Under analogous circumstances, we regularly have
rejected claims of invalid jury waivers. See, e.g., State v. Woods,
supra, 297 Conn. at 586 (defendant's statements “were appropriate and
demonstrated that he understood his rights and the court's questions,”
he “confirmed that he wished to be tried by a three judge court, that
he had spoken with defense counsel to discuss this decision, and had
an adequate opportunity to do so, that defense counsel had spoken with
him about all the issues and possibilities associated with his
decision, and that he was sure of his decision to be tried by a three
judge court” and defense counsel agreed with defendant's statements);
State v. Ouellette, supra, 271 Conn. at 758 (defendant represented by
counsel, advised twice of right to jury in open court and both times
affirmatively stated that he understood he was giving up right to
trial by jury); State v. Williams, 205 Conn. 456, 462, 534 A.2d 230
(1987) (after consulting with counsel, defendant “vigorously and
knowingly persisted in articulating a preference for a court trial”);
State v. Marino, 190 Conn. 639, 645, 462 A.2d 1021 (1983) (concluding
it is reasonable to infer jury waiver “from the free expression by a
defendant of his election of a nonjury trial especially where he is
represented by counsel”); see also State v. Tocco, 120 Conn.App. 768,
780–81, 993 A.2d 989 (defendant responded to court in “intelligent and
courteous manner,” indicated that “he carefully had considered the
issue and that he was certain of his decision” and gave “immediate and
unequivocal replies to the court's inquiries”), cert. denied, 297
Conn. 917, 996 A.2d 279 (2010). In sum, in the present case, it cannot
“fairly be said that the record presents a picture of a defendant
bewildered by court processes strange and unfamiliar to him”;
(internal quotation marks omitted) State v. Shockley, supra, 188 Conn.
at 708; or one “intimidated [or] confused by the process.” State v.
Cobb, supra, 251 Conn. at 373.
Finally, in response to the trial court's
questioning, the defendant confirmed unequivocally that he was acting
of his own free will, that he was not under the influence of any
intoxicating substances and that his waiver of his right to a jury was
not a product of coercion or pressure from any outside influences.
Despite these assurances, the defendant on appeal urges us to conclude
that a variety of circumstances existing prior to his jury waiver
effectively had rendered him despondent, desperate to reach the
conclusion of the penalty phase proceedings and indifferent to his
fate, thereby making his waiver the involuntary product of irrational
thinking. Our careful review of the record compels us, however, to
reject this argument as unsupported and entirely speculative.16
In short, because this claim is not preserved, there simply is no
evidence in the record that the defendant felt as he now claims he did
or that his jury waiver was motivated by those purported feelings. In
fact, as we have explained, the record is decidedly to the contrary.
See Spann v. State, 985 So.2d 1059, 1072 (Fla.2008) (rejecting capital
defendant's claim that his depression rendered his penalty phase jury
waiver invalid where record contained no contemporaneous evidence of
depression); State v. Eley, 77 Ohio St.3d 174, 182, 672 N.E.2d 640
(1996) (rejecting capital defendant's “bald assertion that he is so
mentally challenged as to be incapable of giving a valid [jury]
waiver” because it was “not supported in the record”), cert. denied,
521 U .S. 1124, 117 S.Ct. 2522, 138 L.Ed.2d 1023 (1997); see also
People v. McLaurin, 184 Ill.2d 58, 95, 703 N.E.2d 11 (1998) (rejecting
as “speculation” capital defendant's claim that he was forced to waive
jury to obtain continuance where record did not support claim and
neither counsel nor defendant had complained of coercion), cert.
denied, 526 U.S. 1091, 119 S.Ct. 1506, 143 L.Ed.2d 659 (1999).
The defendant also argues that the trial court's
canvass, although extensive, was insufficient to ensure a knowing,
voluntary and intelligent jury waiver. Specifically, he complains that
the court was required to advise him that juries are better equipped
than judges to make moral judgments; about the various possibilities
that could ensue in the event of a hung jury;17
and that a panel of judges, unlike a jury, would be aware of his
previous death sentence, this court's opinion in State v. Rizzo,
supra, 266 Conn. at 171, and the results of a brain imaging test that
the court earlier had permitted the defendant to pursue.18
The United States Supreme Court has never held that
a defendant, when waiving the right to a jury, constitutionally is
entitled to be canvassed by the trial court, let alone to require a
specifically formulated canvass.19
See United States v. Carmenate, supra, 544 F.3d at 108. Nevertheless,
lower courts, both state and federal, and commentators wisely have
deemed a canvass to be the better practice for ensuring the validity
of a waiver.20
See State v. Gore, supra, 288 Conn. at 784–87 and nn. 14, 16 and 17.
Recently, this court agreed. In State v. Gore, supra, at 777–78, in
which we held, for the first time, that a criminal defendant
personally and affirmatively must waive his right to a jury trial on
the record, we also took the opportunity to exercise our supervisory
authority prospectively to require that trial courts, in cases in
which there is no written waiver of that right, canvass the defendant
to ensure that his choice is made knowingly, intelligently and
voluntarily.21
After surveying extensively the requirements for valid jury waivers in
other jurisdictions, we concluded that, “in the absence of a signed
written waiver by the defendant, the trial court should engage in a
brief canvass of the defendant․” (Emphasis added.) Id., at 787–88.
“This canvass need not be overly detailed or extensive, but it should
be sufficient to allow the trial court to obtain assurance that the
defendant: (1) understands that he or she personally has the right to
a jury trial; (2) understands that he or she possesses the authority
to give up or waive the right to a jury trial; and (3) voluntarily has
chosen to waive the right to a jury trial and to elect a court trial.”
(Emphasis added.) Id., at 788–89. Moreover, we emphasized, “[i]t is
not necessary that the canvass required for a jury trial waiver be as
extensive as the canvass constitutionally required for a valid guilty
plea,” because the latter necessarily involves the forfeiture of a
greater number of constitutional rights .22
Id., at 789 n. 18. Although this holding is to be applied
prospectively only,23
we consider it useful in determining whether the canvass provided to
the defendant was adequately detailed.24
Because the United States Supreme Court never has
held that a canvass is required for a valid waiver of the right to a
jury, it necessarily has not prescribed the contents of a canvass. In
other contexts, however, that court has explained: “the law ordinarily
considers a waiver knowing, intelligent, and sufficiently aware if the
defendant fully understands the nature of the right and how it would
likely apply in general in the circumstances—even though the defendant
may not know the specific detailed consequences of invoking it.”
(Emphasis in original.) United States v. Ruiz, 536 U.S. 622, 629, 122
S.Ct. 2450, 153 L.Ed.2d 586 (2002); id. (waiver of rights attendant to
guilty plea). Thus, the United States Supreme Court repeatedly has
rejected challenges to the validity of guilty pleas, with the
concomitant waiver of multiple constitutional rights, based on claims
that defendants harbored “various forms of misapprehension․”25
Id., at 630. In short, constitutional requirements may be satisfied
even though a defendant “lacked a full and complete appreciation of
all of the consequences flowing from his waiver․” (Internal quotation
marks omitted.) Iowa v. Tovar, 541 U.S. 77, 92, 124 S.Ct. 1379, 158
L.Ed.2d 209 (2004) (right to counsel); see also Patterson v. Illinois,
487 U.S. 285, 294, 108 S.Ct. 2389, 101 L.Ed.2d 261 (1988) (same).
Consistent with the foregoing, this court and
others have rejected claims that an otherwise valid waiver of the
right to a jury is undermined by the trial court's failure to include
a specific item of information in its canvass. For example, in State
v. Cobb, supra, 251 Conn. at 374–75, we rejected the defendant's claim
that the trial court's failure to inquire about his understanding of
the process of juror selection and voir dire, or its failure to advise
him that a three judge panel, unlike a jury, likely would become aware
of inadmissible and prejudicial information about the defendant,
rendered his waiver unknowing and involuntary. We reasoned that such
information, which relates to “the strategic advantages and
disadvantages ․ of a jury trial, as opposed to a trial to a panel of
judges”; id., at 374; was more properly the province of counsel to
explain to the defendant and was not a required part of the trial
court's canvass.26
Similarly, in State v. Ells, 39 Conn.App. 702, 707–708, 667 A.2d 556
(1995), cert. denied, 235 Conn. 940, 669 A.2d 577 (1996), the
Appellate Court rejected a defendant's claim that his jury waiver was
rendered constitutionally deficient because he was not advised that
the trial judge likely would be aware of his previously withdrawn
Alford27
plea. See also People v. Robertson, 48 Cal.3d 18, 38, 767 P.2d 1109,
255 Cal.Rptr. 631 (court's failure to advise capital defendant that it
statutorily was required to review automatically any verdict of death
returned by jury did not vitiate otherwise valid waiver), cert.
denied, 498 U.S. 1004, 111 S.Ct. 568, 112 L.Ed.2d 575 (1990); People
v. St. Pierre, 146 Ill.2d 494, 512, 588 N.E.2d 1159 (court's failure
to admonish capital defendant that sentencing jury would be unaware of
his prior death sentence for same murders did not undermine otherwise
valid waiver), cert. denied, 506 U.S. 942, 113 S.Ct. 381, 121 L.Ed.2d
291 (1992); State v. Foust, 105 Ohio St.3d 137, 145–46, 823 N.E.2d 836
(2004) (rejecting claim, in capital case, that defendant's waiver of
right to jury was invalid because he was not informed of, inter alia,
jury unanimity requirement for death sentence).28
In sum, courts have declined to require any formulaic canvass and
instead, consistent with the mandate of Johnson v. Zerbst, supra, 304
U.S. at 464, have looked to the totality of the circumstances of a
particular case to determine the validity of a jury waiver. This
approach recognizes that “[t]he defendant's rights are not protected
only by adhering to a predetermined ritualistic form of making the
record. Matters of reality, and not mere ritual, should be
controlling.” (Internal quotation marks omitted.) State v. Shockley,
supra, 188 Conn. at 712.
Applying these principles, we conclude that the
trial court's canvass was sufficiently detailed, and that the
omissions cited by the defendant do not render his otherwise valid
waiver of his right to a jury constitutionally deficient. Clearly,
consistent with the requirements that we prescribed in Gore, the trial
court verified that the defendant understood that he had the right to
a jury, but that he could waive that right and elect to be sentenced
by a court, subject to the requirements of § 53a–46a (b)(3) for
capital cases, and that the defendant's choice to waive his right to a
jury and to opt instead for a three judge panel was a voluntary choice
free of outside pressures or the effect of intoxicating substances.
Beyond that, the court advised the defendant that his choice could not
be readily undone, differentiated between the unanimity and majority
requirements for twelve person juries and three judge panels,
respectively, to render sentences of death, and inquired repeatedly
whether the defendant had had sufficient time to confer with defense
counsel and whether he was satisfied with their advice. In declining
to provide more specific information as to the consequences of a
waiver, the trial court properly relied on the defendant's prior
experience with a capital sentencing jury and his multiple assurances
that he had received adequate advice from his counsel.29
The defendant argues finally that the court should
have questioned him more thoroughly about his reasons for waiving his
right to a jury, in light of his counsel's representation that the
defendant would not state to counsel, in response to counsel's
entreaty, that he wanted a sentence of life without the possibility of
release, but did say that he wanted “justice.”30
In response to defense counsel's expressed concern, the trial court
asked the defendant whether he was under the influence of any
intoxicating substances, and the defendant confirmed that he was not.
The court also asked the defendant whether there was anything else he
wished to say in response to his counsel's remarks, and the defendant
declined that offer. The defendant now argues that defense counsel's
stated concern suggested that the defendant was suicidal and was
seeking, through his waiver of his right to a jury, to ensure that he
received a sentence of death. According to the defendant, therefore,
the trial court was obligated to conduct a more searching inquiry into
his reasons for waiving his right to a jury. We are not persuaded.
First, we disagree with the basic premise of the
defendant's argument, namely, that by choosing to forgo a sentencing
jury, he necessarily wanted the least favorable possible result and,
therefore, that he had a “death wish․” “[A]t the time when an accused
defendant must choose between a trial before the jury and a trial to
the court, it simply cannot be said which is more likely to result in
the imposition of death.” Lockett v. Ohio, 438 U.S. 586, 634, 98 S.Ct.
2954, 57 L.Ed.2d 973 (1978) (Rehnquist, J., concurring and
dissenting). Moreover, it is not unusual for a criminal defendant to
expect greater leniency from a court than from a jury, and there are
several logical justifications for opting to waive the right to a
jury. See 5 W. LaFave et al., Criminal Procedure (2d Ed.1999) §
22.1(h), pp. 264–65. Although the defendant now asserts that, at the
time of his waiver, he believed his counsel's advice that he would
fare better with a jury but nevertheless chose to be sentenced by the
court, the record indicates otherwise. Specifically, in explaining his
concerns to the trial court, Channing stated that the defendant
“trusts the judiciary․” Additionally, prior to being canvassed by
Judge Iannotti, the defendant stated to Judge O'Keefe that he had “had
a jury before,” and understood that “[a] jury can be fair, but [he
felt it was] in [his] best interest this time around to have three
judges review the evidence for what it is.”31
Viewed in conjunction with the fact that the defendant previously was
sentenced to death by a jury, the preceding comments suggest that the
defendant's decision was a strategic one, specifically, that he
believed he would fare better with a three judge panel and,
accordingly, disregarded his counsels' advice.
Furthermore, although the essence of the
defendant's argument is that his waiver was involuntary due to his
impaired mental state, he has never raised a formal challenge to his
competence in either the trial court or this court; see, e.g., State
v. Ross, 273 Conn. 684, 873 A.2d 131 (2005); there is no evidence in
the record that he suffers from any mental illness and he does not
claim that the trial court, sua sponte, should have ordered a
competency evaluation. Accordingly, the defendant presumptively was
competent to stand trial; see General Statutes § 54–56d (b); and,
consequently, competent to waive his right to a sentencing jury. See
Godinez v. Moran, 509 U.S. 389, 398–99, 113 S.Ct. 2680, 125 L.Ed.2d
321 (1993); State v. Ouellette, supra, 271 Conn. at 752–53. This court
repeatedly has determined that, even when a defendant has a history of
mental illness and/ or incompetency, if he presently is competent, the
trial judge need not engage in a more searching canvass than typically
is required before accepting the defendant's waiver of his right to a
jury. State v. Woods, supra, 297 Conn. at 584; State v. Ouellette,
supra, at 752. Here, there was nothing to suggest that the defendant
was incompetent, and the trial court clearly was not required to
inquire in that regard.
Finally, as a general matter, the law imposes no
obligation on a trial court to explore a defendant's tactical reasons
for waiving a jury. People v. Diaz, 3 Cal.4th 495, 571, 834 P.2d 1171,
11 Cal.Rptr.2d 353 (1992), cert. denied, 508 U.S. 916, 113 S.Ct. 2356,
124 L.Ed.2d 264 (1993); State v. Ross, 472 N. W.2d 651, 654
(Minn.1991). We reject the defendant's contention, which is not
supported by any legal authority, that his simply expressed desire for
“justice,” in the absence of any other evidence of incompetence,
misconception, coercion or improper influence and in the face of every
indication to the contrary, raises a question as to the voluntariness
of his decision that would trigger an exception necessitating further
inquiry by the trial court. Cf. State v. Ross, 272 Conn. 577, 611, 863
A.2d 654 (2005) (rejecting, as having no basis in logic, experience or
law, proposition that “defendant's decision to take control of his
fate by forgoing further legal challenges to his death sentences and
his ambivalent feelings over the consequences of that decision are, in
and of themselves, evidence of his incompetence” [emphasis added] ).
A person seeking to set aside a judgment rendered
following a jury waiver must make a “plain showing that such waiver
was not freely and intelligently made”; Adams v. United States ex rel.
McCann, supra, 317 U.S. at 281; and has the “burden of showing
essential unfairness ․ not as a matter of speculation but as a
demonstrable reality. Simply because a result that was insistently
invited, namely, a verdict by a court without a jury, disappointed the
hopes of the accused, ought not to be sufficient for rejecting it.”
Id.; see also Sowell v. Bradshaw, 372 F.3d 821, 835 (6th Cir.2004)
(when defendant waived jury for capital sentencing proceeding, knowing
death sentence was possible, he “took a litigation risk and lost;
these facts alone do not create a constitutional violation”), cert.
denied, 544 U.S. 925, 125 S.Ct. 1645, 161 L.Ed.2d 485 (2005). On the
basis of the foregoing analysis, the defendant's first claim fails.
II
The defendant claims next that Judge O'Keefe should
have disqualified himself, sua sponte, from serving on the three judge
panel that the defendant requested for the penalty phase proceedings.
According to the defendant, Judge O'Keefe's involvement in the case
prior to the defendant's waiver of his right to a jury—specifically,
his ruling on a pretrial motion, reading of this court's decision in
Rizzo and presiding over voir dire—gave rise to an improper appearance
of impartiality or risk of bias against the defendant such that he was
required to disqualify himself. Additionally, the defendant argues
that comments made by Judge O'Keefe during an unrelated proceeding
that took place approximately one year after the defendant was
sentenced prove that, during the defendant's penalty phase proceeding,
Judge O'Keefe actually harbored a bias that impaired his impartiality.
We are not persuaded.
The following additional procedural history is
relevant. On March 3, 2005, prior to the start of voir dire, the
defendant filed a motion requesting that he be transported to a
medical facility for certain brain imaging tests necessary to prepare
his defense for the penalty phase hearing. Judge O'Keefe granted the
defendant's motion. Apparently, the brain imaging tests were conducted
but failed to result in any mitigating evidence useful to the defense,
because no such evidence was offered during the penalty phase hearing.
During a March 9, 2005 hearing, just prior to the
commencement of voir dire, Judge O'Keefe asked a clerk for the
citation to this court's decision in Rizzo. Various comments made by
Judge O'Keefe during voir dire suggest that he had obtained and read
the opinion.
Over the course of voir dire, prospective panel
members were questioned about their views on the death penalty
generally and whether they had opinions about the appropriate
punishment for someone who had committed the crime the defendant had
admitted committing. Some panel members expressed beliefs that the
death penalty was appropriate both generally and in a case such as the
present one.
On April 18, 2005, the trial court accepted the
defendant's waiver of his right to a jury. On the following day, the
defendant, his counsel and the state's attorney appeared briefly in
court to discuss scheduling matters. At that time, Judge Iannotti
informed the parties that he had proposed a three judge panel
consisting of Judge O'Keefe as the presiding judge, along with Judge
William Cremins and Judge Salvatore Agati. The defendant did not
object to the composition of the panel or otherwise express any
concerns. The proposed panel subsequently was approved by the office
of the chief court administrator. At no time during the penalty phase
proceedings that followed did the defendant move to disqualify Judge
O'Keefe pursuant to Practice Book §§ 1–22 and 1–23.32
Additionally, the defendant did not file any posttrial motions raising
the issue of the possible impartiality of Judge O'Keefe.
On appeal, the defendant now argues for the first
time that Judge O'Keefe should have disqualified himself from
participating on the three judge panel because his pretrial
involvement in the case created an appearance or risk of partiality.
Specifically, the defendant claims that Judge O'Keefe's awareness that
the defendant had undergone brain imaging testing suggests that the
judge possessed improper knowledge of facts outside of evidence,
namely, that the testing had failed to establish that the defendant
had a developmental problem.33
Additionally, the defendant argues that Judge O'Keefe's exposure,
during voir dire, to inflammatory community views of the defendant,
the crime he committed and the death penalty in general put the
judge's impartiality at risk.34
Finally, according to the defendant, Judge O'Keefe's reading of this
court's opinion in Rizzo prior to the commencement of voir dire might
have caused him to form prejudicial opinions about the evidence,
rendering him predisposed toward finding the aggravating factor proven
and imposing the same death sentence that the defendant had received
after his first penalty phase hearing. Because the defendant did not
preserve this claim, he seeks review pursuant to State v. Golding,
supra, 213 Conn. at 239–40, arguing that his right to due process35
was violated by the appearance or risk of Judge O'Keefe's
impartiality. He argues, alternatively, that Judge O'Keefe's failure
to recuse himself constitutes plain error warranting reversal of the
judgment.
Normally, Connecticut's appellate courts do not
review judicial disqualification claims raised for the first time on
appeal because the parties, by failing to object, are deemed to have
consented to the participation of the allegedly disqualified judge.36
Nevertheless, because the record is adequate for review and the
defendant's claim implicates his constitutional right to a fair
penalty phase proceeding; see State v. McDougal, 241 Conn. 502,
523–24, 699 A.2d 872 (1997); we will address the claim. We conclude,
however, that the defendant has not shown that a constitutional
violation clearly exists and clearly deprived him of a fair
proceeding.
Judicial disqualification claims rarely raise due
process questions; more typically, they invoke statutes, rules or
common law imposing much stricter standards than are required
constitutionally. Bracy v. Gramley, 520 U.S. 899, 904, 117 S.Ct. 1793,
138 L.Ed.2d 97 (1997) (“[m]ost questions concerning a judge's
qualifications to hear a case are not constitutional ones, because the
[d]ue [p]rocess [c]lause of the [f]ourteenth [a]mendment establishes a
constitutional floor, not a uniform standard”); Aetna Life Ins. Co. v.
Lavoie, 475 U.S. 813, 828,106 S.Ct. 1580, 89 L.Ed.2d 823 (1986)
(“[t]he [d]ue [p]rocess [c]lause demarks only the outer boundaries of
judicial disqualifications”); Tumey v. Ohio, 273 U.S. 510, 523, 47
S.Ct. 437, 71 L.Ed. 749 (1927) (“All questions of judicial
disqualification may not involve constitutional validity. Thus matters
of ․ personal bias ․ would seem generally to be matters merely of
legislative discretion.”).
The United States Supreme Court has found judicial
bias claims to be due process violations only in egregious cases
involving actual bias or unusual circumstances creating an intolerably
high risk thereof, typically, when the judge had a pecuniary interest
or some other personal stake in the outcome of the case.37
See, e.g., Caperton v. A.T. Massey Coal Co., 556 U.S. 868, 129 S.Ct.
2252, 2264–65, 173 L.Ed.2d 1208 (2009) (due process clause violated by
newly elected appellate judge's participation in appeal that was
pending during his campaign after receiving most of his campaign
financing from prevailing party); Bracy v. Gramley, supra, 520 U.S. at
905 (if proven, corrupt judge's prosecution orientation in some
criminal cases, affected to deflect attention from other cases in
which he had been bribed by defendants, would violate due process
clause); Aetna Life Ins. Co. v. Lavoie, supra, 475 U.S. at 824–25 (by
authoring appellate decision creating law which applied to pending
actions in which he was party, judge essentially acted as judge in his
own cases in violation of due process clause); Mayberry v.
Pennsylvania, 400 U.S. 455, 465–66, 91 S.Ct. 499, 27 L.Ed.2d 532
(1971) (where judge became involved in “running, bitter controversy”
with pro se defendants due to their repeated insults and defiance of
court orders, due process required that different judge adjudicate
resulting criminal contempt charges); In re Murchison, 349 U.S. 133,
135, 139, 75 S.Ct. 623, 99 L.Ed. 942 (1955) (when judge tried perjury
and contempt charges that he had lodged against witnesses in grand
jury proceeding he had conducted, judge violated due process clause by
acting in same case as complainant, indictor, prosecutor and judge);
Tumey v. Ohio, supra, 273 U.S. at 523 (due process violated by system
that compensated judge for hearing cases by providing him portion of
fines levied on those whom he convicted and providing him no
compensation in event of acquittal). The defendant has not directed us
to any authority holding that an appearance or risk of bias arising
from a judge's mere exposure to information or opinions about a party
during his earlier participation in the proceedings is a due process
violation, and our research has not uncovered any. To the contrary, a
judge's pretrial involvement in a criminal case has not “been thought
to raise any constitutional barrier against [his] presiding over the
criminal trial and, if the trial is without a jury, against making the
necessary determination of guilt or innocence.” (Internal quotation
marks omitted.) State v. Canales, 281 Conn. 572, 596 n. 15, 916 A.2d
767 (2007), quoting Withrow v. Larkin, 421 U.S. 35, 56, 95 S.Ct. 1456,
43 L.Ed.2d 712 (1975). Accordingly, we reject the defendant's
constitutional claim.
Because the defendant has not established a
constitutional violation, we may disturb the judgment only if Judge
O'Keefe's failure to disqualify himself, sua sponte, on the basis of
his pretrial involvement in the case amounts to plain error. State v.
D'Antonio, 274 Conn. 658,669,877A.2d696 (2005). “[T]he plain error
doctrine ․ has been codified at Practice Book § 60–5, which provides
in relevant part that [t]he court may reverse or modify the decision
of the trial court if it determines ․ that the decision is ․ erroneous
in law․ The plain error doctrine is not ․ a rule of reviewability. It
is a rule of reversibility. That is, it is a doctrine that this court
invokes in order to rectify a trial court ruling that, although either
not properly preserved or never raised at all in the trial court,
nonetheless requires reversal of the trial court's judgment, for
reasons of policy․ The plain error doctrine is reserved for truly
extraordinary situations where the existence of the error is so
obvious that it affects the fairness and integrity of and public
confidence in the judicial proceedings․ A party cannot prevail under
plain error unless it has demonstrated that the failure to grant
relief will result in manifest injustice.” (Internal quotation marks
omitted.) Id.
Pursuant to our rules of practice; see Practice
Book § 1–22; a judge should disqualify himself from acting in a matter
if it is required by rule 2.11 of the Code of Judicial Conduct, which
provides in relevant part that “[a] judge shall disqualify himself ․
in any proceeding in which the judge's impartiality might reasonably
be questioned including, but not limited to, the following
circumstances ․ [t]he judge has a personal bias or prejudice
concerning a party or a party's lawyer, or personal knowledge of facts
that are in dispute in the proceeding.” Code of Judicial Conduct
2.11(a)(1). In applying this rule, “[t]he reasonableness standard is
an objective one. Thus, the question is not only whether the
particular judge is, in fact, impartial but whether a reasonable
person would question the judge's impartiality on the basis of all the
circumstances․ Moreover, it is well established that [e]ven in the
absence of actual bias, a judge must disqualify himself in any
proceeding in which his impartiality might reasonably be questioned,
because the appearance and the existence of impartiality are both
essential elements of a fair exercise of judicial authority.”
(Citation omitted; internal quotation marks omitted.) Ajadi v.
Commissioner of Correction, 280 Conn. 514, 527–28, 911 A.2d 712
(2006). Nevertheless, because the law presumes that duly elected or
appointed judges, consistent with their oaths of office, will perform
their duties impartially; Aetna Life Ins. Co. v. Lavoie, supra, 475
U.S. at 820; and that they are able to put aside personal impressions
regarding a party; Fair v. Warden, 211 Conn. 398, 414, 559 A.2d 1094,
cert. denied, 493 U.S. 981, 110 S.Ct. 512, 107 L.Ed.2d 514 (1989); the
burden rests with the party urging disqualification to show that it is
warranted. See 46 Am.Jur.2d, Judges § 129 (2006).
With certain well-defined exceptions not at issue
here,38 a
judge's participation in the preliminary stages of a case, and the
knowledge he or she thereby gains, will not ordinarily preclude his or
her continued participation in the same case thereafter.39
See, e.g., State v. Hayes, 127 Conn. 543, 581–82, 18 A.2d 895 (1941)
(judge's ordering of grand jury, presiding over grand jury proceedings
and ruling on numerous preliminary motions did not disqualify him from
presiding over trial), superseded by statute on other grounds as
stated in State v. Burns, 194 Conn. 469, 472–73, 481 A.2d 1077 (1984);
see also State v. Ortiz, 83 Conn.App. 142, 152–53, 848 A.2d 1246
(judge's knowledge of defendant's repeated inculpatory admissions
during pretrial proceedings did not require recusal), cert. denied,
270 Conn. 915, 853 A.2d 530 (2004); R. Flamm, Judicial
Disqualification: Recusal and Disqualification of Judges (2d Ed.2007)
§ 13. 1, pp. 343–44 (“fact that a judge may know something to the
discredit of a criminal defendant does not, in and of itself,
establish that she is biased against him”).
Although a judge, by participating in pretrial or
other proceedings, may be exposed to inadmissible evidence about a
party, the standard assumption is that he or she is able to disregard
it; see Liteky v. United States, 510 U.S. 540, 562, 114 S.Ct. 1147,
127 L.Ed.2d 474 (1994) (Kennedy, J., concurring) (“[t]he acquired
skill and capacity to disregard extraneous matters is one of the
requisites of judicial office”); State v. Santangelo, 205 Conn. 578,
602, 534 A.2d 1175 (1987) (judge not required to disqualify self from
sentencing upon receipt of letter containing unsubstantiated and
inflammatory comments concerning defendant); even if he or she
subsequently is to act as fact finder. See State v. Bebb, 99 Haw. 213,
215–16, 53 P.3d 1198 (App.2001) (judge not required to recuse self
from bench trial for defendant's charge of driving under influence
after granting defendant's motion to suppress results of breath test),
overruled on other grounds by State v. Maldonado, 108 Haw. 436, 445 n.
13, 121 P.3d 901 (2005); R. Flamm, supra, § 12.9, pp. at 330, 334; cf.
State v. Cobb, supra, 251 Conn. at 375 (rejecting claim that three
judge panel trying capital murder charge improperly read nonpanel
member's earlier ruling on motion to suppress; no merit to claim that
defendant, during canvass regarding waiver of right to jury trial,
should have been advised of likelihood that panel “ ‘would become
aware of inadmissible and prejudicial information about [the]
defendant’ ”).
Likewise, opinions that judges may form as a result
of what they learn in earlier proceedings in the same case “rarely”
constitute the type of bias, or appearance of bias, that requires
recusal. See Liteky v. United States, supra, 510 U.S. at 554.40
To do so, an opinion must be “so extreme as to display clear inability
to render fair judgment.” Id., at 551. In the absence of unusual
circumstances, therefore, equating knowledge or opinions acquired
during the course of an adjudication with an appearance of impropriety
or bias requiring recusal “finds no support in law, ethics or sound
policy.” People v. Moreno, 70 N.Y.2d 403, 407, 516 N.E.2d 200, 521
N.Y.S.2d 663 (1987).41
The plain error doctrine exists “to prevent the
occurrence of manifest injustice[s] as the result of particularly
extraordinary trial errors.” (Internal quotation marks omitted.) State
v. D'Antonio, supra, 274 Conn. at 671. Given the foregoing law
governing judicial disqualification, the defendant's claim that Judge
O'Keefe's earlier participation in the case created an improper
appearance or risk of bias, requiring him to recuse himself, falls
well short of this threshold and, consequently, must fail. Because,
consistent with that law, a reasonable person would not conclude that
Judge O'Keefe's knowledge of the brain imaging tests, his awareness of
community views regarding the defendant and/or the death penalty or
his reading of Rizzo would cause him to be impartial, or lead him to
form an opinion so extreme that he clearly was unable to render fair
judgment; Liteky v. United States, supra, 510 U.S. at 551;
self-recusal was not warranted.
The defendant also argues that comments made by
Judge O'Keefe at an unrelated, noncapital proceeding that took place
approximately one year after the defendant was sentenced demonstrate
that the judge, when participating in the penalty phase hearing,
possessed an actual bias that prevented him from properly considering
the mitigation evidence presented by the defendant.42
Because the defendant could not have been aware of this claimed basis
for disqualification at the time of the penalty phase proceedings, he
cannot be faulted for his failure to raise it in an objection. See
Ajadi v. Commissioner of Correction, supra, 280 Conn. at 530–31 (party
did not consent to participation of disqualified judge when unaware of
basis for disqualification at time of trial); see also 46 Am.Jur.2d,
supra, § at 205.
The following additional facts are relevant. At an
August 14, 2006 hearing, Judge O'Keefe sentenced Keith M. Foster to a
total effective sentence of 110 years following his conviction of
multiple crimes, including felony murder, assault, kidnapping and
sexual assault, in connection with the torture, gang rape and killing
of a thirteen year old girl. The facts of the case were particularly
disturbing; see State v. Foster, 293 Conn. 327, 330–31, 977 A.2d 199
(2009); and, despite overwhelming evidence to the contrary, Foster
refused to admit his involvement in the crimes. When sentencing
Foster, Judge O'Keefe referenced previous cases in which he had taken
part to put Foster's crimes into perspective.
The defendant directs our attention to the
following comments. First, Judge O'Keefe listed a number of other
individuals whom he previously had sentenced, including the defendant,
stated that it was “like a murderers' hall of fame,” and concluded
that he was “going to have to add ․ Foster's name to that list.” Next,
Judge O'Keefe referred to murderers generally as “not human․”43
Finally, directing his comments toward Foster, Judge O'Keefe stated
the following, again referencing the defendant and others whom the
judge previously had sentenced: “Sometimes in life, just like Diego
Vas,44
Mark Chicano,45
Eric Steiger,46
Todd Rizzo, Adrian Peeler,47
you're defined by one incident, one episode. That's it. Everything
else is irrelevant. That applies to you. I don't care about your
background. I don't care about your upbringing. I don't care about
your future. I don't care about your daughter. I care about where
you're going to spend the rest of your life. And it should be in
prison. I can't explain why you did this. Nobody can. I don't care.
It's not important now. By this act you've defined yourself for the
rest of your life.” (Emphasis added.)
The defendant argues that Judge O'Keefe's remarks
at Foster's sentencing hearing prove that, at the time of the
defendant's penalty phase hearing, he was biased in such a way that he
was not capable of considering the defendant's mitigating evidence, as
is constitutionally and statutorily required, because he believed that
evidence to be irrelevant. According to the defendant, the comments
indicate that, in murder cases such as the defendant's, Judge O'Keefe
categorically rejects evidence as to background and upbringing,
thereby making it impossible for him to find that such factors are
mitigating in nature or to weigh them against aggravating factors in
an impartial manner. The defendant claims that the judge's comments
prove that he did not care about, and did not consider, the
defendant's upbringing or background before sentencing him to death.
We are not persuaded.
The concept of impermissible judicial “bias or
prejudice” contemplates the “formation of a fixed anticipatory
judgment on the part of the judge, as contradistinguished from an open
state of mind which will be governed by the law and the facts.”
(Emphasis added; internal quotation marks omitted.) Cleveland Bar
Assn. v. Cleary, 93 Ohio St.3d 191, 201, 754 N.E.2d 235,
reconsideration denied, 93 Ohio St.3d 1477, 757 N.E.2d 774 (2001); see
also 46 Am.Jur.2d, supra, § 128, p. at 248 (“[p]rejudice,” in
disqualification context, means judge's “pre-judgment or forming of an
opinion without sufficient knowledge or examination” or “[a] decision
in [a] matter ․ based on grounds other than the evidence placed before
him or her ” [emphasis added] ).
In contrast, there is nothing impermissible about
an opinion formed by a judge after a trial has concluded, on the basis
of the evidence and arguments that have been presented and the judge's
evaluation of them. Rather, “a trial judge will normally and properly
form opinions on the law, the evidence and the witnesses, from the
presentation of the case. These opinions and expressions thereof may
be critical or disparaging to one party's position, but they are
reached after a hearing in the performance of the judicial duty to
decide the case, and do not constitute a ground for disqualification.”
(Internal quotation marks omitted.) Haldane v. Haldane, 232 Cal.App.2d
393, 395, 42 Cal.Rptr. 828 (1965). Thus, “[t]he judge who presides at
a trial may, upon completion of the evidence, be exceedingly ill
disposed towards the defendant, who has been shown to be a thoroughly
reprehensible person. But the judge is not thereby recusable for bias
or prejudice, since his knowledge and the opinion it produced were
properly and necessarily acquired in the course of the proceedings,
and are indeed sometimes (as in a bench trial) necessary to completion
of the judge's task.” (Emphasis added.) Liteky v. United States,
supra, 510 U.S. at 550–51; see also Phillips v. State, 275 Ga. 595,
600, 571 S.E.2d 361 (2002) (purportedly disqualifying remarks made by
judge about defendant postsentencing did not demonstrate improper bias
because they “were based entirely upon what she learned of [him] and
his crimes during the course of trial”); 46 Am.Jur.2d, supra, § 127,
at p. 247 (“[t]he fact that the trial judge has become biased against
a party after the trial is over does not have any bearing on the
[fairness of the] previously conducted trial”).
We believe that Judge O'Keefe's comments here,
insofar as they reference the defendant, properly reflect the judge's
post-judgment assessment that, given the cruel, heinous and depraved
manner in which the defendant killed the victim; see part IV of this
opinion; the cumulative mitigating factor of his character, background
and history did not weigh heavily enough to offset the aggravating
factor in order to result in a life sentence. See part VII of this
opinion. The panel was bound, statutorily and constitutionally, to
consider factors weighing in favor of leniency, but once judgment
imposing death was rendered, those factors, much like the presumption
of innocence following a criminal conviction, effectively were removed
from the case. Although the defendant urges us to conclude that Judge
O'Keefe's comments, made more than one year after the defendant was
sentenced, are evidence of Judge O'Keefe's mindset prior to the
defendant's penalty phase proceeding and demonstrate prejudgment, that
argument is entirely speculative.48
First, the defendant has not directed us to any real evidence of
actual bias predating the proceeding, but only to unsupported
allegations regarding Judge O'Keefe's purported inclination in favor
of the death penalty.49
See footnotes 16 and 34 of this opinion; compare Nicodemus v. Chrysler
Corp., 596 F.2d 152,155 (6th Cir.1979) (court's reference to corporate
party as “bunch of villains ․ interested only in feathering their own
nests at the expense of everyone they can,” when made at hearing on
preliminary injunction, indicated prejudgment of case [internal
quotation marks omitted] ). Instead, Judge O'Keefe's comments at
Foster's sentencing indicate that he was expressing his current
opinion about the defendant and the outcome of his case, rather than
an opinion that he had formed before hearing the evidence and the
arguments of counsel. Compare United States v. Antar, 53 F.3d 568,
573, 576 (3d Cir.1995) (judge's comment at sentencing, that “[m]y
object in this case from day one has always been to get back to the
public that which was taken from it as a result of the fraudulent
activities of this defendant,” when considered along with other
circumstances, indicative of improper prejudgment requiring
disqualification [emphasis added; internal quotation marks omitted] ),
overruled on other grounds by Smith v. Berg, 247 F.3d 532, 534 (3d
Cir.2001).
Second, the record reflects clearly that Judge
O'Keefe properly considered and weighed the defendant's mitigating
evidence. Specifically, in a unanimous memorandum of decision, the
three judge panel, after stating explicitly that it was required to
consider constitutionally relevant mitigating evidence and citing
extensive law to that effect, found “by a preponderance of the
evidence that the cumulative effect of all the evidence presented
concerning the defendant's character, background and history is
mitigating in nature, considering all the facts and circumstances of
the case and, therefore, should in fairness and mercy be considered by
the court in the weighing process under § 53a–46a (f).” (Internal
quotation marks omitted.) The panel acknowledged its duty to weigh
that evidence against the proven aggravating factor and outlined the
applicable burdens of proof, then concluded, beyond a reasonable
doubt, that the aggravating factor outweighed the mitigating factor.
In the absence of any other evidence to the contrary, we must reject
the defendant's claim that Judge O'Keefe did not properly consider and
weigh the evidence of the defendant's character, background and
history.
In evaluating the propriety of Judge O'Keefe's
references to a “murderers' hall of fame” and to its members as being
“not human,” we are mindful of the context in which they were made,
namely, during the sentencing of an unrepentant defendant for
indisputably horrific crimes. That defendant, Foster, as well as all
of the other defendants to whom the judge referred, already had been
convicted for the murders of multiple victims and/or child victims.
See footnotes 44 through 47 of this opinion. Because a sentencing
judge ordinarily must explain the reasons for imposing the sentence he
or she has chosen,50
his or her explanatory comments, even if “harsh and unkind ․ will
rarely give rise to a cognizable basis for disqualification․” R.
Flamm, supra, § 16.4, at pp. 462–63. Indeed, “[i]t is the court's
prerogative, if not its duty, to assess the defendant's character and
crimes at sentencing, after ․ guilt has been decided.” United States
v. Pearson, 203 F.3d 1243, 1278 (10th Cir.), cert. denied, 530 U.S.
1268, 120 S.Ct. 2734, 147 L.Ed.2d 995 (2000). Furthermore, “[t]o a
considerable extent a sentencing judge is the embodiment of public
condemnation and ․ [a]s the community's spokesperson ․ can lecture a
defendant as a lesson to that defendant and as a deterrent to others.”
(Citation omitted.) United States v. Bakker, 925 F.2d 728, 740 (4th
Cir.1991). Accordingly, a court's derogatory statements to a defendant
during his sentencing ordinarily do not constitute a basis for
recusal; indeed, “[i]t is a rare occurrence when [a court] ․ flatters
a defendant for his criminal actions.” United States v. Gaertner, 519
F. Sup. 585, 588 (E.D.Wis.1981), aff'd, 705 F.2d 210 (7th Cir.1983);
see, e.g., State v. Dumas, 54 Conn.App. 780, 791, 739 A.2d 1251
(court's postsentencing characterization of defendant as “ ‘marauder’
“ not indicative of improper bias), cert. denied, 252 Conn. 903, 743
A.2d 616 (1999); State v. Ortiz, 91 Haw. 181, 195, 981 P.2d 1127
(1999) (no grounds for recusal where sentencing court referred to
defendant as “menace to society” and “menace to the community”
[internal quotation marks omitted] ).
Although the comments at issue were not made
directly to the defendant at his own sentencing, we consider that to
be a distinction without a difference for purposes of applying the
law. Specifically, if the comments would not have indicated improper
bias had they been delivered at the defendant's sentencing, it is
difficult to see how they could become improper simply because they
were subsequently expressed to a third party at that party's
sentencing. Because a sentencing judge enjoys wide latitude when
addressing a convicted criminal, Judge O'Keefe's comments, insofar as
they referenced the defendant, fall well short of remarks that would
warrant recusal. In sum, we reject the defendant's claims relating to
judicial disqualification.
III
Connecticut's statutory aggravating factors are
enumerated in § 53a–46a (i). The sole aggravating factor that the
three judge panel found proven was that the defendant had committed
his offense “in an especially heinous, cruel or depraved manner․”
General Statutes (Rev. to 1997) § 53a–46a (i)(4). The defendant claims
that this court's limiting construction of that aggravating factor;
see State v. Breton, 212 Conn. 258, 270–71, 562 A.2d 1060 (1989); is
unconstitutionally vague in violation of the eighth amendment to the
United States constitution51
and article first, §§ 8 and 9 of the constitution of Connecticut.52
The defendant argues specifically that our formulation of the mental
state associated with that aggravating factor provides inadequate
guidance to the sentencer and fails to distinguish adequately between
offenders and offenses that are death eligible and those that are not.
According to the defendant, therefore, the panel's imposition of the
death penalty in this case, which was premised on the existence of the
aggravating factor, must be reversed. We disagree.
The defendant did not raise this claim in the trial
court and now seeks review pursuant to State v. Golding, supra, 213
Conn. at 239–40. Because the record is adequate for review and the
defendant's claim is of constitutional magnitude, we will address the
claim. We conclude, however, that the third prong of Golding is not
satisfied because the defendant has failed to establish a
constitutional violation.
“Because the death penalty is exacted with great
infrequency even for the most atrocious crimes [there must be a]
meaningful basis for distinguishing the few cases in which it is
imposed from the many cases in which it is not. Furman v. Georgia, 408
U.S. 238, 313, 92 S.Ct. 2726, 33 L.Ed.2d 346, reh. denied sub nom.
Jackson v. Georgia, 409 U.S. 902, 93 S.Ct. 89, 34 L.Ed.2d 164 (1972)
(White, J., concurring).” (Internal quotation marks omitted.) State v.
Breton, supra, 212 Conn. at 262–63. Accordingly, “if a[s]tate wishes
to authorize capital punishment it has a constitutional responsibility
to tailor and apply its law in a manner that avoids the arbitrary and
capricious infliction of the death penalty. Part of a[s]tate's
responsibility in this regard is to define the crimes for which death
may be the sentence in a way that obviates standardless [sentencing]
discretion. Godfrey v. Georgia, 446 U.S. 420, 428, 100 S.Ct. 1759, 64
L.Ed.2d 398 (1980). Thus, where discretion is afforded a sentencing
body on a matter so grave as the determination of whether a human life
should be taken or spared, that discretion must be suitably directed
and limited so as to minimize the risk of wholly arbitrary and
capricious action. Gregg v. Georgia, 428 U.S. 153, 189, 96 S.Ct. 2909,
49 L.Ed.2d 859 (1976) (opinion of Stewart, Powell and Stevens, Js.).”
(Internal quotation marks omitted.) State v. Reynolds, 264 Conn. 1,
62, 836 A.2d 224 (2003), cert. denied, 541 U.S. 908, 124 S.Ct. 1614,
158 L.Ed.2d 254 (2004).
Relevant to the present matter, “a state must avoid
defining aggravating factors in an open-ended, subjective manner that
would allow the trier unfettered discretion in levying a death
sentence and thus create a substantial risk that the trier will
inflict punishment arbitrarily or capriciously. California v. Brown,
479 U.S. 538, 541, 107 S.Ct. 837, 93 L.Ed.2d 934 (1987). A capital
sentencing system could have standards so vague that they would fail
adequately to channel the sentencing decision patterns of [triers]
with the result that a pattern of arbitrary and capricious sentencing
․ could occur. Gregg v. Georgia, supra, [428 U .S.] at 195 n. 46.”
(Internal quotation marks omitted.) State v. Breton, supra, 212 Conn.
at 264. To prevent that result, “an aggravating [factor] must
genuinely narrow the class of persons eligible for the death penalty
and must reasonably justify the imposition of a more severe sentence
on the defendant compared to others found guilty of murder. Zant v.
Stephens, 462 U.S. 862, 877, 103 S.Ct. 2733, 77 L.Ed.2d 235 (1983).”
(Internal quotation marks omitted.) State v. Reynolds, supra, 264
Conn. at 62. Nevertheless, because the requisite degree of definition
of an aggravated factor “is not susceptible of mathematical
precision,” we are guided by the “basic principle that a factor is not
unconstitutional if it has some commonsense core of meaning ․ that
criminal [sentencers] should be capable of understanding․” (Citation
omitted; internal quotation marks omitted.) Tuilaepa v. California,
512 U.S. 967, 973, 114 S.Ct. 2630, 129 L.Ed.2d 750 (1994).
Pursuant to General Statutes (Rev. to 1997) §
53a–46a (i)(4), a defendant who has committed one of the capital
felonies enumerated in General Statutes (Rev. to 1997) § 53a–54b is
eligible for the death penalty if he or she “committed the offense in
an especially heinous, cruel or depraved manner․” Because the United
States Supreme Court held that similar phraseology was
unconstitutionally vague in the absence of a narrowing construction by
the state court; see Maynard v. Cart wright, 486 U.S. 356, 364–65, 108
S.Ct. 1853, 100 L.Ed.2d 372 (1988) (“ ‘heinous, atrocious, or cruel’
”); see also Godfrey v. Georgia, supra, 446 U.S. at 428–32 (“
‘outrageously or wantonly vile, horrible and inhuman’ ”); this court
adopted a limiting construction of § 53a–46a (i)(4) to cure that
vagueness and to create a standard that complies with the eighth
amendment to the United States constitution. State v. Ross, 230 Conn.
183, 242, 646 A.2d 1318 (1994), cert. denied, 513 U.S. 1165, 115 S.Ct.
1133, 130 L.Ed.2d 1095 (1995); State v. Breton, supra, 212 Conn. at
270–71.
We initially provided a core construction of §
53a–46a (i)(4), concluding that it included a defendant's “intentional
infliction of extreme pain or torture above and beyond that
necessarily accompanying the underlying killing.” State v. Breton,
supra, 212 Conn. at 270. We thereafter elaborated that the pain or
torture contemplated by that definition could be either physical or
psychological. State v. Ross, supra, 230 Conn. at 260. We explained
further that, “with respect to the requisite state of mind and
consequences thereof, either of the following will suffice [to satisfy
§ 53a–46a (i)(4) ]:(1) the defendant intended to, and in fact did,
inflict extreme physical or psychological pain, suffering or torture
on the victim; or (2) the defendant was callous or indifferent to the
extreme physical or psychological pain, suffering or torture that his
intentional conduct in fact inflicted on the victim.” State v. Cobb,
supra, 251 Conn. at 445; see also State v. Ross, supra, 230 Conn. at
262.53
In finding § 53a–46a (i)(4) proven in the present
case, the three judge panel relied on the second option, concluding
that the defendant had been callous or indifferent to the extreme
physical and psychological pain and suffering that he had inflicted on
the victim through his intentional conduct. The defendant now argues
that this finding was improper because the panel, even with the
benefit of this court's limiting construction of § 53a–46a (i)(4), was
guided by a standard that failed to limit its discretion and to narrow
the class of death eligible offenders sufficient to comport with the
eighth amendment. He claims, in essence, that to pass constitutional
muster, the aggravating factor, as construed, must require a specific
intent to inflict extreme physical or psychological torture beyond
that necessarily accompanying the underlying killing and that
permitting proof of the aggravating factor by callousness or
indifference renders application of that factor unacceptably
arbitrary. We disagree because decisions of the United States Supreme
Court are decidedly to the contrary.
We begin by emphasizing that the aggravating factor
is not proven by demonstrating merely that a defendant was callous or
indifferent to the death of his or her victim, as the defendant
repeatedly implies, but rather, the state must show that the defendant
caused additional pain, suffering or torture to be inflicted on his
victim and that he either specifically intended that additional pain,
suffering or torture or was callous or indifferent to it. The United
States Supreme Court has upheld against an eighth amendment vagueness
challenge the Supreme Court of Florida's functionally identical
limiting construction of that state's “especially heinous, atrocious,
or cruel” aggravating factor, namely, that the factor was directed at
“the conscienceless or pitiless crime which is unnecessarily torturous
to the victim.” (Emphasis added; internal quotation marks omitted.)
Proffitt v. Florida, 428 U.S. 242, 255–56, 96 S.Ct. 2960, 49 L.Ed.2d
913, reh. denied, 429 U.S. 875, 97 S.Ct. 197, 50 L.Ed.2d 158 (1976);
see also Bell v. Cone, 543 U.S. 447, 457–58, 125 S.Ct. 847, 160
L.Ed.2d 881 (reaffirming holding of Proffitt in concluding that
Tennessee Supreme Court's identical limiting construction was not
unconstitutionally vague), reh. denied, 544 U.S. 944, 125 S.Ct. 1655,
161 L.Ed.2d 512 (2005); Walton v. Arizona, 497 U.S. 639, 654–55, 110
S.Ct. 3047, 111 L.Ed.2d 511 (approving Arizona Supreme Court's
construction of “especially cruel” as “inflict[ion][of] mental anguish
or physical abuse before the victim's death,” when “the suffering of
the victim was intended by or foreseeable to the killer” [emphasis
added; internal quotation marks omitted] ), reh. denied, 497 U.S.
1050, 111 S.Ct. 14, 111 L.Ed.2d 828 (1990). These limiting
constructions essentially are indistinguishable from this court's
construction of § 53a–46a (i)(4), in that they require the imposition
of pain and suffering beyond that necessary to kill a victim, but do
not necessarily require the specific intent to cause that pain and
suffering. Consequently, the defendant's federal constitutional claim
must fail.
The defendant argues alternatively that this
court's limiting construction of § 53a–46a (i)(4) is impermissibly
vague in contravention of the constitution of Connecticut. We are not
persuaded. “[I]t is settled constitutional doctrine that,
independently of federal constitutional requirements, our due process
clauses, because they prohibit cruel and unusual punishment, impose
constitutional limits on the imposition of the death penalty․
Specifically, our due process clauses require, as a constitutional
minimum, that a death penalty statute ․ must channel the discretion of
the sentencing judge or jury so as to assure that the death penalty is
being imposed consistently and reliably․” (Citation omitted; internal
quotation marks omitted.) State v. Rizzo, supra, 266 Conn. at 206.
It further “is well established that federal
constitutional and statutory law establishes a minimum national
standard for the exercise of individual rights and does not inhibit
state governments from affording higher levels of protection for such
rights.” (Internal quotation marks omitted.) Id. In some instances, we
have found greater protections for citizens of Connecticut in our own
constitution than those provided by the federal constitution, and we
have acknowledged that “[o]ur state constitutional inquiry may proceed
independently from the decisions of the United States Supreme Court
upholding the constitutionality of the death penalty.” (Internal
quotation marks omitted.) Id., at 207.
“The analytical framework by which we determine
whether, in any given instance, our state constitution affords broader
protection to our citizens than the federal constitutional minimum is
well settled. In State v. Geisler [222 Conn. 672, 684–86, 610 A.2d
1225 (1992) ], we enumerated the following six factors to be
considered in determining that issue: (1) persuasive relevant federal
precedents; (2) the text of the operative constitutional provisions;
(3) historical insights into the intent of our constitutional
forebears; (4) related Connecticut precedents; (5) persuasive
precedents of other state courts; and (6) contemporary understandings
of applicable economic and sociological norms, or as otherwise
described, relevant public policies.” (Internal quotation marks
omitted.) State v. Rizzo, supra, 266 Conn. at 207–208.
We begin with the second Geisler factor, the
operative constitutional text. The defendant directs our attention to
article first, § 9, which precludes “punish[ment], except in cases
clearly warranted by law,” and he argues that use of the word
“clearly” indicates that Connecticut should interpret its aggravating
factor to encompass only conduct which can be proven consistently and
reliably.54
The defendant's argument, however, presupposes its conclusion, namely,
that only intentionally inflicted pain and suffering can be so proven.
We disagree, however, that a callous or indifferent mind-set is less
susceptible of proof than a specific intent to cause pain and
suffering; either finding typically requires the sentencer to draw
inferences from circumstantial evidence. Moreover, regardless of
whether the state opts to prove that a capital defendant inflicted
gratuitous pain or suffering on his murder victim intentionally, or
with callous indifference, it must provide proof that convinces the
trier beyond a reasonable doubt. Plainly read, the phrase “clearly
warranted by law” contemplates a requirement that the legal
prerequisites for imposing a particular punishment be definitively
established before punishment is imposed; it does not speak to the
question of what those prerequisites shall be. In short, the second
Geisler factor does not aid the defendant in his claim.
We next turn to the first and fifth Geisler
factors, relevant federal and sister state decisions. Controlling
precedent from the United States Supreme Court is contrary to the
defendant's claim, and lower federal courts have applied those
holdings to reject eighth amendment challenges similar to the present
one. See, e.g., Moore v. Gibson, 195 F.3d 1152, 1175–76 (10th
Cir.1999) (applying Walton to reject vagueness challenge to Oklahoma
court's jury instruction “that the phrase especially heinous,
atrocious or cruel is direct[ed] to those crimes where the death of
the victim was preceded by torture of the victim or serious physical
abuse,” with no specified mental state [internal quotation marks
omitted] ), cert. denied, 530 U.S. 1208, 120 S.Ct. 2206,147 L.Ed.2d
239 (2000); Bertolotti v. Dugger, 883 F.2d 1503, 1526 (11th Cir.1989)
(applying Proffitt to reaffirm constitutionality of Florida court's
construction of “especially heinous, atrocious or cruel” factor).55
With regard to sister state jurisprudence, our
research has disclosed a dearth of cases raising state constitutional
challenges to factors akin to our heinous, cruel or depraved
aggravator.56
A survey of the limiting constructions used in other states is
pertinent, however, because those constructions were supplied by those
states' highest courts. Several states, like Connecticut, employ
constructions that require the infliction of gratuitous pain,
suffering or torture on the victim, coupled with a mental state akin
to callousness or indifference. See, e.g., McCray v. State, Court of
Appeals, Docket No. CR–06–0360 (Ala.Crim.App. December 17, 2010)
(“especially heinous, atrocious or cruel” contemplates “those
conscienceless or pitiless homicides that are unnecessarily torturous
to the victim”); State v. Gallardo, 225 Ariz. 560, 566, 242 P.3d 159
(2010) (“especially cruel” requires jury to find that victim
“consciously suffered physical or mental pain, distress or anguish
prior to death” and defendant “kn[e]w or should have known that the
victim would suffer” [emphasis added; internal quotation marks
omitted] ), cert. denied, ––– U.S. ––––, 131 S.Ct. 1796, 179 L.Ed.2d
665 (2011); Hall v. State, 614 So.2d 473, 478 (Fla.1993) (“heinous,
atrocious, or cruel” means “accompanied by additional acts that show
that the crime was conscienceless or pitiless and was unnecessarily
torturous to the victim” [internal quotation marks omitted] ), cert.
denied, 510 U.S. 834, 114 S.Ct. 109, 126 L.Ed.2d 74 (1993); State v.
Osborn, 102 Idaho 405, 418, 631 P.2d 187 (1981) (“heinous, atrocious
or cruel” means “accompanied by such additional acts as to set the
crime apart from the norm of capital felonies—the conscienceless or
pitiless crime which is unnecessarily torturous to the victim”
[internal quotation marks omitted] ); State v. Anderson, 996 So.2d
973, 1006 (La.2008) (“heinous, atrocious, and cruel” requires “torture
or pitiless infliction of unnecessary pain”), cert. denied, ––– U.S.
––––, 129 S.Ct. 1906, 173 L.Ed.2d 1057 (2009); Bennett v. State, 933
So.2d 930, 955 (Miss.2006) (“heinous, atrocious or cruel” means “the
conscienceless or pitiless crime which is unnecessarily torturous to
the victim,” e.g., “the defendant inflicted physical or mental pain
before death” [internal quotation marks omitted] ), cert. denied, 549
U.S. 1133, 127 S.Ct. 976, 166 L.Ed.2d 740 (2007); State v. Syriani,
333 N.C. 350, 390, 428 S.E.2d 118 (“heinous, atrocious, or cruel” is
“directed at the conscienceless or pitiless crime which is
unnecessarily torturous to the victim”; “where the level of brutality
involved exceeds that normally present in first-degree murder”
[internal quotation marks omitted] ), cert. denied, 510 U.S. 948, 114
S.Ct. 392, 126 L.Ed.2d 341 (1993).
Several other states use more broadly formulated
limiting constructions, which, like the preceding jurisdictions,
require the infliction of gratuitous pain, suffering or torture on the
victim, but unlike those jurisdictions, do not specify a particular
accompanying mind-set. See, e.g., People v. Burgess, 176 Ill.2d 289,
314–15, 680 N.E.2d 357 (“exceptionally brutal or heinous behavior
indicative of wanton cruelty” means “involv[ing] prolonged pain,
torture or premeditation” [internal quotation marks omitted] ), cert.
denied, 522 U.S. 999, 118 S.Ct. 568, 139 L.Ed.2d 408 (1997); State v.
Kleypas, 282 Kan. 560, 570, 147 P.3d 1058 (2006) (“heinous, atrocious
or cruel” means that victim suffered “serious physical abuse or mental
anguish before death” [internal quotation marks omitted] ); State v.
Moore, 210 Neb. 457, 470, 316 N.W.2d 33 (“especially heinous,
atrocious, or cruel” is “directed to the pitiless crime which is
unnecessarily torturous to the victim and to cases where torture,
sadism, or the imposition of extreme suffering exists” [emphasis
added; internal quotation marks omitted] ), cert. denied, 456 U.S.
984, 102 S.Ct. 2260, 72 L.Ed.2d 864 (1982); Le v. State, 947 P.2d 535,
552 (Okla.Crim.App .1997) (“especially heinous, atrocious, or cruel”
is “directed to those crimes where the death of the victim was
preceded by torture of the victim or serious physical abuse” [internal
quotation marks omitted] ), cert. denied, 524 U.S. 930, 118 S.Ct.
2329,141 L.Ed.2d 702 (1998); State v. Odom, 928 S. W.2d 18, 26
(Tenn.1996) (“heinous, atrocious, or cruel” is act involving “torture
or serious physical abuse beyond that necessary to produce death”
[internal quotation marks omitted] ); State v. Kell, 61 P.3d 1019,
1036 (Utah 2002) (“especially heinous, atrocious, cruel, or
exceptionally depraved” involves serious physical abuse or bodily
injury before death that is “qualitatively and quantitatively
different and more culpable than that necessary to accomplish the
murder” [internal quotation marks omitted] ); Beck v. Commonwealth,
253 Va. 373, 387, 484 S.E.2d 898 (“ ‘vileness' “ means conduct
involving “ ‘torture’ “ or “ ‘aggravated battery’ “ to victim), cert.
denied, 522 U.S. 1018, 118 S.Ct. 608, 139 L.Ed.2d 495 (1997).
Although our research discloses some states that
join a specific intent requirement with the infliction of gratuitous
pain, suffering or torture, those jurisdictions are decidedly in the
minority. See Echols v. State, 326 Ark. 917, 987, 936 S.W.2d 509
(1996) (“cruel” requires intent to inflict mental anguish, serious
physical abuse or torture upon victim prior to death), cert. denied,
520 U.S. 1244, 117 S.Ct. 1853, 137 L.Ed.2d 1055 (1997); State v..
Perry, 124 N.J. 128, 172, 590 A.2d 624 (1991) (“ ‘torture’ or
‘aggravated battery’ “ requires intent to cause extreme physical or
mental suffering in addition to intent to cause death); Commonwealth
v. Stevens, 559 Pa. 171, 201–202, 739 A.2d 507 (1999) (same, as to
“torture”); State v. Moeller, 616 N.W.2d 424,454 (S.D.2000) (approving
limiting construction of aggravating factor of torture to require:
“[1] the unnecessary and wanton infliction of severe pain, agony, or
anguish; and [2] the intent to inflict such pain, agony, or anguish”);
Olsen v. State, 67 P.3d 536, 581(Wyo.2003) (construing “especially
atrocious and cruel, being unnecessarily torturous to the victim” to
require that physical or mental torture be intentionally inflicted);
cf. People v. Superior Court, 31 Cal.3d 797, 801–803, 647 P.2d 76, 183
Cal.Rptr. 800 (1982) (concluding, under state constitutional due
process analysis, that limiting construction approved by United States
Supreme Court in Proffitt is impermissibly vague). In sum, because the
number of other jurisdictions that utilize the construction advanced
by the defendant is significantly outnumbered by the number of
jurisdictions that do not, we conclude that the first and fifth
Geisler factors do not support the defendant's claim.
As to the fourth Geisler factor, related
Connecticut precedents, we have recognized that our due process
clauses, like the eighth amendment, prohibit cruel and unusual
punishment, and that they may impose limits on the imposition of the
death penalty independent of any federal requirements. State v. Rizzo,
supra, 266 Conn. at 206. Although we have been willing, therefore, to
consider claims that the Connecticut constitution provides greater
protection to capital defendants than does the federal constitution,
those claims rarely have been successful. See State v. Colon, 272
Conn. 106, 319, 864 A.2d 666 (2004) (rejecting claim that state
constitution provides for right of allocution at capital sentencing
hearing), cert. denied, 546 U.S. 848, 126 S.Ct. 102, 163 L.Ed.2d 116
(2005); State v. Rizzo, supra, at 223–24 (rejecting claim that state
constitution requires jury instruction that, to impose penalty of
death, aggravating factors must outweigh mitigating factors beyond
reasonable doubt); State v. Ross, supra, 230 Conn. at 247–51
(rejecting claim that state constitution forbids imposition of death
penalty under any circumstances); State v. Ross, supra, 230 Conn. at
252–56 (rejecting several facial challenges to death penalty statutes
as violative of state constitution); but see State v. Rizzo, supra, at
233–34 (concluding, with reference to state constitution, that jury,
to impose death penalty, must be instructed that it must be persuaded
beyond reasonable doubt that aggravating factors outweigh mitigating
factors, by any degree). Because our prior jurisprudence in this area
almost uniformly has held that, with respect to the specific claims at
issue, federal and state constitutional rights are coextensive, the
fourth Geisler factor does not assist the defendant.
As for policy considerations, the sixth Geisler
factor, the defendant is correct that our legislature intended for the
death penalty to apply only to the most culpable offenders, and the
statutorily enumerated aggravating factors are a means for
effectuating that intent. We disagree with his argument, however, that
the legislature's intent is frustrated by a limiting construction of §
53a–46a (i)(4) that includes those who are callous and indifferent to
the gratuitous pain and suffering they cause their victims. Review of
our capital jurisprudence discloses that, in the seventeen years since
we first articulated that construction, only a handful of offenders
have been convicted, and have had their death sentences upheld, on the
basis of the callousness/ indifference option, and, more importantly,
we are hard pressed to conclude that those individuals do not fall
within the class of the most culpable offenders.57
See, e.g., State v. Colon, supra, 272 Conn. at 337–38 (defendant
killed two year old victim, upon whom he previously had inflicted
severe physical abuse, by dragging her into bathroom and repeatedly
thrusting her head against shower wall, lifting her by hair with force
sufficient to cause clumps of hair to detach from her scalp); State v.
Cobb, supra, 251 Conn. at 448–50 (defendant abducted victim from
parking lot, forced her to drive to secluded place where he sexually
assaulted, bound and gagged her, threw her off twenty-three foot dam
into freezing water, then held her head under water to drown her after
she attempted to escape); State v. Webb, 238 Conn. 389, 486–87, 680
A.2d 147 (1996) (defendant abducted victim from parking garage, drove
her to remote location and attempted to sexually assault her, then
shot her repeatedly in back, chest and face as she cried for help and
attempted to escape).
Moreover, in the two cases in which this court has
concluded that the jury improperly applied § 53a–46a (i)(4), this
court did not hesitate to reverse their findings. Notably, however,
those reversals did not concern improper findings as to the
defendant's callousness or indifference, but rather, they concerned
improper findings as to the extent of the victim's pain and suffering;
State v. Johnson, 253 Conn. 1, 75, 76–77, 751 A.2d 298 (2000)
(evidence insufficient to establish that victim, who was ambushed and
fatally shot through heart while driving, experienced extreme physical
or psychological pain or suffering beyond that necessarily
accompanying killing); and whether the defendant intentionally had
inflicted psychological torture; State v. Reynolds, supra, 264 Conn.
at 95–97 (evidence insufficient to establish that defendant, by
continuing to fire shots at victim after shooting him in head from
close range, intended to psychologically torture victim rather than to
kill him); namely, the portions of our limiting construction that,
according to the defendant, provide clearer limits than the portion he
contests. In sum, the policy factor also does not support the
defendant's claim.
We address last the third Geisler factor,
historical considerations. As the state points out, the
jurisprudential underpinnings of the defendant's vagueness claim are
of relatively recent vintage. See Godfrey v. Georgia, supra, 446 U.S.
at 427–28; Gregg v. Georgia, supra, 428 U.S. at 189–95; Furman v.
Georgia, supra, 408 U.S. at 239. Historically, the death penalty was
available for a much broader range of offenses than under our present
constitutional and statutory scheme; see State v. Ross, supra, 230
Conn. at 250 n. 31; id., at 293 n. 8 (Berdon, J., dissenting); and
considerably more discretion was permitted in its imposition.
Consequently, this factor does not aid the defendant.
In sum, we conclude that consideration of the
Geisler factors counsels against a holding that our state constitution
requires a more restrictive limiting construction of § 53a–46a (i)(4)
that would exclude murderers who, with callousness and indifference,
impose upon their victims physical or psychological pain, suffering or
torture beyond that necessary to the underlying killing. Consequently,
the defendant's third claim fails.
IV
The defendant claims next that there was
insufficient evidence to prove that he committed his offense in an
especially heinous, cruel or depraved manner. He argues specifically
that the state failed to prove both that the victim experienced
extreme physical or psychological pain or suffering beyond that
necessarily accompanying his death and that the defendant was callous
or indifferent to that pain or suffering.58
We disagree.
“[W]e have interpreted the aggravating factor set
forth in § 53a–46a (i)(4) to require proof that the defendant engaged
in intentional conduct that inflicted extreme physical or
psychological pain [suffering] or torture on the victim above and
beyond that necessarily accompanying the underlying killing, and that
the defendant specifically intended to inflict such extreme pain
[suffering or] torture ․ or ․ the defendant was callous or indifferent
to the extreme physical or psychological pain, suffering or torture
that his intentional conduct in fact inflicted on the victim․
“In reviewing a claim that the evidence fail[ed] to
support the finding of an aggravating factor specified in [§ 53a–46a
(i) ] ․ we subject that finding to the same independent and scrupulous
examination of the entire record that we employ in our review of
constitutional fact-finding, such as the voluntariness of a confession
․ or the seizure of a defendant․ In such circumstances, we are
required to determine whether the factual findings are supported by
substantial evidence․
“Even with the heightened appellate scrutiny
appropriate for a death penalty case, the defendant's challenge to the
sufficiency of the evidence of aggravating circumstances must be
reviewed, in the final analysis, [first] by considering the evidence
presented at the defendant's penalty [phase] hearing in the light most
favorable to sustaining the facts ․ found by the [panel]․ 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 [the
existence of the aggravating factor] beyond a reasonable doubt․ This
court cannot substitute its own judgment for that of the [panel] if
there is sufficient evidence to support the [panel's] verdict․
“Furthermore, [i]n viewing evidence [that] could
yield contrary inferences, the [panel] is not barred from drawing
those inferences consistent with [the existence of the aggravating
factor] and is not required to draw only those inferences consistent
with [its nonexistence]. The rule is that the [panel's] function is to
draw whatever inferences from the evidence or facts established by the
evidence it deems to be reasonable and logical․
“[Finally], [i]n [our] process of review, it does
not diminish the probative force of the evidence that it consists, in
whole or in part, of evidence that is circumstantial rather than
direct․ It is not one fact, but the cumulative impact of a multitude
of facts [that] establishes [the existence of an aggravating factor]
in a case involving substantial circumstantial evidence․ Indeed,
direct evidence of the defendant's state of mind is rarely available․
Therefore, intent [or callousness or indifference] is often inferred
from conduct ․ and from the cumulative effect of the circumstantial
evidence and the rational inferences drawn therefrom.” (Internal
quotation marks omitted.) State v. Courchesne, 296 Conn. 622, 777–78,
998 A.2d 1(2010).
The three judge panel produced a written memorandum
of decision explaining its determination that the aggravating factor
had been proven beyond a reasonable doubt. The panel summarized the
relevant evidence and its findings as follows: “During the evening of
September 30, 1997, the defendant murdered [the victim] ․ at the
defendant's home in Waterbury. He did this by luring the victim into
the backyard of the defendant's home, where he bludgeoned the victim
to death by repeated blows to the head with a three pound
sledgehammer․
“On September 30, 1997, the victim was thirteen
years old. He lived with his mother and his sister in the Bunker Hill
section of Waterbury. At approximately 6:30 p.m., the victim left his
house and got onto his bicycle.
“Meanwhile, the defendant had left his job at Arett
Sales in Cheshire and, at approximately 5 p.m., returned to his house
in the Bunker Hill section, where he lived with his mother, his older
brother and his younger sister.
“At approximately 7:45 p.m., the defendant
encountered the victim as the victim rode his bicycle up to the front
of the defendant's home.
“The defendant recognized the victim because he had
spent time at the video store where the defendant previously had
worked. The defendant asked the victim if his mother or anyone else
knew where he was that evening, and the victim replied in the
negative. When the defendant heard this, he decided to kill the
victim.
“The defendant decided to lure the victim to a
secluded place where he could kill him unobserved. Believing that the
victim would be interested in snakes, the defendant told him that
there were snakes in his backyard, and he asked the victim if he
wanted to see them. When the victim agreed, the defendant told him
that they would need a flashlight to see the snakes in the darkness,
and that he would get one from his car. The defendant went to his car
and retrieved a flashlight and a three pound sledgehammer. The
defendant slipped the sledgehammer down the front of his pants,
rejoined the victim and took him into the backyard of the defendant's
home.
“The defendant handed the flashlight to the victim
so that he could look for snakes. As the victim was doing so, the
defendant took the sledgehammer from his pants, approached the victim
from behind, raised the sledgehammer over his head, held it there for
a moment, and then hit the victim on the side of the head with the
flat surface of the side of the sledgehammer. The victim rolled over
and implored the defendant to stop hitting him, but the defendant
straddled him ‘like a horse,’ and began to hit him in the head
‘because [he] didn't want [the victim] to scream out and alert the
neighbors.’ After the defendant had delivered a number of blows with
the sledgehammer, the victim made a gurgling sound. The defendant then
delivered another one or two blows to ensure that the victim was dead.
“In all, the defendant delivered approximately
twelve blows to the victim—four to the head, then eight others on the
back and shoulders. The blows to the back and shoulders were not
fatal, and did not result in bleeding. [N]one of these blows to the
back and shoulders would have rendered the victim unconscious. Any of
the blows to the head, however, could have been fatal, fracturing the
victim's skull and causing numerous lacerations that bled profusely.
Moreover, although any of the blows to the head could have rendered
the victim unconscious, none of them necessarily did so.
“During the attack, the victim attempted to protect
himself. One of the blows punched out a large fragment of the victim's
skull, creating a gaping hole.
“At some point, two dogs in a neighbor's yard began
to bark, and the dogs' owner came out of his house to quiet them down.
The defendant stopped the beating, and held the flashlight against his
body so that the neighbor would not see light coming from his yard.
After the neighbor returned to his house, the defendant shone the
flashlight on the victim's body, and saw that he was covered in blood
and had a large hole in his skull.
“The defendant then decided to dump the victim's
body on Fulkerson Drive in Waterbury, which [is] located a short
distance from the defendant's house. Realizing that his car was too
small to carry both the victim's body and his bicycle in one trip, the
defendant took the bicycle to Fulkerson Drive and left it next to a
dumpster. He then returned to his house, put garbage bags over the
victim's head and lower part of his body, dragged the body to his car,
and opened the hatchback. He then removed the rug that covered the
rear portion of his car to ensure that it would not be stained with
blood, placed the victim's body into the rear portion of the car, and
drove to Fulkerson Drive.
“At approximately 8:30 p.m., the defendant drove
into a condominium complex on Fulkerson Drive, looking for a place to
dispose of the body. Eventually, he located a dark, secluded area,
where he stopped the car and threw the victim's body onto the
pavement.
“The defendant then drove back to his house. He put
the sledgehammer and his blood soaked shirt into plastic bags. The
next morning, the defendant took the plastic bags containing the
sledgehammer and his shirt with him to work, and he threw them into
his employer's trash compactor.
“The victim's body was discovered on Fulkerson
Drive at approximately 8:45 p.m. that same night.
“By the next day the defendant had become the focus
of the investigation. At 5 p.m., the defendant was approached by
members of the Waterbury police department who asked him if he would
be willing to go to the police station and answer some questions. The
defendant agreed. During the course of his presence at the police
station the defendant denied that he knew the victim and claimed no
knowledge of the murder. The defendant was allowed to return to his
home with the police.
“Pursuant to consent by the defendant, the police
subsequently searched the defendant's car. That search produced smears
in the spare tire wheel well area that appeared to be blood. When
confronted with the blood smears in his car, the defendant said, ‘I
feel sick’ and ‘I did it.’ The defendant further explained that, as he
spoke to the victim, he ‘had an urge.’ He also stated [that] he ‘was
interested in serial killings and Jeffrey Dahmer’ and that, when he
saw the victim, the urge to commit murder ‘just came over him․’ The
next day, while being transported to court for his arraignment, the
defendant told a police detective that he had murdered the victim
because he just wanted to know what it was like to kill somebody.
“Additional evidence presented by the state
established that the defendant had served in the United States Marine
Corps from November, 1996, to September, 1997. While the defendant was
stationed in Hawaii, his sergeant had asked the members of his platoon
to make a list of their ten goals in life and to post the list in the
barracks. The second goal on the defendant's list was to ‘kill a man.’
“The panel unanimously finds that the state has
proven the aggravating factor beyond a reasonable doubt. The panel
unanimously finds that the murder of [the victim] was committed in an
especially cruel, heinous and depraved manner.
“The panel further unanimously finds, based on the
evidence and beyond a reasonable doubt, that the defendant engaged in
intentional conduct that inflicted extreme physical pain and
psychological pain (suffering) on the victim above and beyond that
necessarily accompanying the underlying killing and [that] the
defendant was callous and indifferent to the extreme physical pain and
psychological pain and suffering that his intentional conduct in fact
inflicted on the victim.
“The panel's findings of intentional conduct that
inflicted extreme physical pain and psychological pain and suffering
beyond that necessarily accompanying the underlying killing is based
upon: the type of weapon used by the defendant; the manner in which
the defendant utilized the sledgehammer; the defendant's obsession
with violent deaths and serial killers; [and] the defendant's
preexisting desire to kill.
“The finding that the victim experienced extreme
physical pain and psychological pain and suffering as the result of
the defendant's intentional conduct is supported by: the number and
nature of sledgehammer blows to the head and torso of the victim; the
victim's attempt to protect himself; the profuse bleeding from the
victim's wounds; the nature and circumstances of a nighttime attack in
a dark and secluded location; and the victim's last words, imploring
the defendant to stop hitting him.
“The finding that the defendant was callous or
indifferent to the extreme physical pain and psychological pain and
suffering that his intentional conduct in fact inflicted on the victim
is supported by: the defendant's emphasis in his postarrest statements
on his own feelings at the time of the murder; the type of weapon used
by the defendant; the manner in which the defendant utilized the
weapon; and the defendant's lack of remorse immediately following the
murder .” (Citations omitted.)
The defendant argues, in short, that the evidence
did not establish the heinousness, cruelty and depravity of his acts
in murdering the victim because the attack was unanticipated, the
victim's death likely was swift and, accordingly, the victim simply
did not suffer enough either physically or psychologically. We are not
persuaded. Courts frequently have concluded that aggravating
circumstances similar to Connecticut's cruel, heinous and depraved
factor were sufficiently proven in cases in which a victim was killed
by beating or bludgeoning, even when the attack is not especially
prolonged and the victim's loss of consciousness and death occur
rather quickly.59
See, e.g., State v. Colon, supra, 272 Conn. at 337–38 (defendant
repeatedly slammed two year old victim's head into shower wall); see
also United States v. Agofsky, 458 F.3d 369, 374–75 (5th Cir.2006)
(defendant stomped fellow inmate's head and neck into concrete floor
approximately eleven times), cert. denied, 549 U.S. 1182, 127 S.Ct.
1149, 166 L.Ed.2d 998 (2007); United States v. Battle, 264 F. Sup.2d
1088, 1199–1200 (N.D.Ga.2003) (defendant struck victim in head three
times with hammer); McGowan v. State, 990 So.2d 931
(Ala.Crim.App.2005) (defendant bludgeoned elderly couple with hammer),
cert. denied, 555 U.S. 861, 129 S.Ct. 136, 172 L.Ed.2d 104 (2008);
State v. Kiles, 222 Ariz. 25, 30, 39, 213 P.3d 174 (2009) (defendant
beat female victim with tire jack), cert. denied, ––– U.S. ––––, 130
S.Ct. 3274, 176 L.Ed.2d 1188 (2010); Roberts v. State, 510 So.2d 885,
894 (Fla.1987) (defendant killed victim by numerous blows to back of
head with baseball bat), cert. denied, 485 U.S. 943, 108 S.Ct. 1123,
99 L.Ed.2d 284 (1988); Atkins v. State, 497 So.2d 1200, 1202
(Fla.1986) (defendant beat six year old child in head and neck with
steel rod); Salvatore v. State, 366 So.2d 745, 747 (Fla.1978)
(defendant bludgeoned victim in head and face with pipe), cert.
denied, 444 U.S. 885, 100 S.Ct. 177, 62 L.Ed.2d 115 (1979); State v.
Brooks, 960 S.W.2d 479, 486, 496 (Mo.1997) (defendant beat child
victim in head with bed slat), cert. denied, 524 U.S. 957, 118 S.Ct.
2379, 141 L.Ed.2d 746 (1998); State v. Barden, 356 N.C. 316,371–72,
572 S.E.2d 108 (2002) (defendant beat victim in head fourteen times
with small sledgehammer and other weapon), cert. denied, 538 U.S.
1040, 123 S.Ct. 2087, 155 L.Ed.2d 1074 (2003); Willingham v. State,
947 P.2d 1074, 1085 (Okla.Crim.App.1997) (defendant punched and kicked
female victim in face and slammed her head into wall). In such cases,
given the extremely violent and brutal nature of the defendant's
chosen method of killing, relatively brief periods of intense physical
and psychological suffering generally are sufficient to establish the
gratuitous cruelty contemplated by the statutory aggravator.
Consequently, if the state can establish that the
victim remained conscious for some part of the defendant's attack, and
experienced extreme physical or psychological pain or suffering while
conscious, the evidence may be sufficient to prove the aggravator.
Evidence that the victim continued to move around during the attack is
relevant in this regard. See, e.g., McGowan v. State, supra, 990 So.2d
at 1004–1005 (evidence that victim was on hands and knees during part
of hammer attack demonstrated that he was conscious and suffered
before dying); State v. Barden, supra, 356 N.C. at 371 (defendant's
statement that victim, following initial blows, reached for his
pocket, suggested that victim did not die immediately); Eizember v.
State, 164 P.3d 208, 242 (Okla.Crim.App.2007) (evidence that victim
attempted to get up after being struck with butt of shotgun sufficient
to demonstrate conscious suffering), cert. denied, 552 U.S. 1269, 128
S.Ct. 1676, 170 L.Ed.2d 374 (2008); cf. State v. Breton, 235 Conn.
206, 222–24, 663 A.2d 1026 (1995) (evidence that victim moved around
room during beating and stabbing attack supports conclusion that she
was conscious and suffered extreme physical pain).
Additionally, evidence that a victim attempted to
protect himself from the blows inflicted by his attacker demonstrates
that the victim remained alive and conscious while being assaulted
and, therefore, endured physical and psychological pain and suffering.
See Williams v. State, 37 So.3d 187, 200 (Fla.2010) (“[t]he existence
of a defensive wound is relevant to the [heinous, atrocious, or cruel]
analysis—this [c]ourt has affirmed findings of [heinous, atrocious, or
cruel factor] where defensive wounds revealed awareness of impending
death” [internal quotation marks omitted] ); see also State v. Porter,
130 Idaho 772, 790, 948 P.2d 127 (1997) (numerous bruises on victim's
forearms appeared defensive and indicative of premortem suffering),
cert. denied, 523 U.S. 1126, 118 S.Ct. 1813, 140 L.Ed.2d 951(1998);
Young v. State, 992 P.2d 332, 344, 348 (Okla.Crim.App.1998) (defensive
fractures to victim's finger, hand and elbow proved her consciousness
and awareness of attack with baseball bat), cert. denied, 528 U.S.
837,120 S.Ct. 100,145 L.Ed.2d 84 (1999); State v. Melson, 638 S.W.2d
342, 367 (Tenn.1982) (defensive injuries to arms and hands of victim,
who was killed with ball peen hammer, proved “that there was time for
her to realize what was happening, to feel fear, and to try to protect
herself”), cert. denied, 459 U.S. 1137, 103 S.Ct. 770, 74 L.Ed.2d 983
(1983).
Finally, evidence that a victim spoke after the
attack began clearly is indicative of consciousness and, therefore,
pain and suffering. See State v. Kiles, supra, 222 Ariz. at 30
(defendant admitted that, following initial blow, victim asked him, “
‘[W]hy did [you] do this?’ ”); Salva tore v. State, supra, 366 So.2d
at 747 (victim bludgeoned as he cried for help); compare Herzog v.
State, 439 So.2d 1372, 1380 (Fla.1983) (where victim was under “heavy
influence” of drugs and neither spoke nor resisted during fatal
attack, it could be inferred that she was only semiconscious; murder,
therefore, was not unnecessarily torturous).
In the present case, evidence on which the panel
relied, in particular, the defendant's own sworn statement to the
police,60
established that the victim remained conscious beyond the first blow
to his head that the defendant inflicted with the sledgehammer and,
therefore, experienced physical and psychological pain and suffering
while some or all of the remaining blows were delivered. Specifically,
the defendant stated that, after a second swing of the hammer missed
the victim, the victim rolled over and told the defendant to stop
hitting him. Despite the victim's request, the defendant continued to
hit the victim in the head and torso, “approximately twelve” times,61
causing profuse bleeding that would have caused the victim to
experience psychological distress. The panel also cited the victim's
attempt to protect himself as evidence of his suffering. That finding
is supported by the evidence.62
Regarding the panel's finding that the defendant
was callous and indifferent to the pain and suffering he caused the
victim, we disagree with the defendant that the panel made improper
inferences from the evidence presented. The defendant's choice of a
sledgehammer as a weapon with which to beat the victim repeatedly on
his head, causing profuse bleeding and dislodging a portion of the
victim's skull, reasonably suggests that the defendant was not
concerned with the victim's pain and suffering. See State v. Call, 353
N.C. 400, 425, 545 S.E.2d 190 (defendant lured victim to isolated area
and beat him to death with shovel handle and tire iron with no
provocation, supporting inference that murder was conscienceless and
pitiless), cert. denied, 534 U.S. 1046, 122 S.Ct. 628, 151 L.Ed.2d 548
(2001). Moreover, the defendant's statements that he killed the victim
because he “had an urge” and “just wanted to know what it was like to
kill somebody,” as well as his general failure at the time to show any
remorse for murdering an innocent child,63
are competent evidence of the defendant's callousness and indifference
to the pain and suffering he caused the victim to endure. See State v.
Rizzo, supra, 266 Conn. at 278 (“[i]t is reasonable for a jury to
infer, based on a defendant's subsequent lack of remorse, that the
defendant was callous or indifferent to the victim's suffering at the
time of the offense”); see also Herzog v. State, supra, 439 So.2d at
1379 (defendant's “lack of remorse can be offered to the jury and
judge as a factor which goes into the equation of whether or not the
crime was especially heinous, atrocious, or cruel” [internal quotation
marks omitted] ); State v. Oliver, 309 N.C. 326, 346–47, 307 S.E.2d
304 (1983) (defendant's boasting to fellow inmates that he had enjoyed
killing victim, who had begged for his life, was evidence of
“conscienceless and pitiless murder inflicting psychological
torture”); cf. State v. Ross, supra, 230 Conn. at 263 (defendant's
lack of remorse indicative of intent to inflict suffering on victims);
State v. Smith, 649 S. W.2d 417, 434 (Mo.1983) (defendant's later
letter to newspaper, in which he described his reasons for killing
victim, evidenced his intent to cause victim's suffering before
death), cert. denied, 464 U.S. 908, 104 S.Ct. 262, 78 L.Ed.2d 246
(1983).
We conclude that the evidence was sufficient to
support the panel's findings that the defendant inflicted extreme
physical and psychological pain and suffering on the victim beyond
that necessarily accompanying his death and that the defendant was
callous or indifferent to that pain and suffering. Consequently, the
defendant's fourth claim is without merit.
V
The defendant's next claim is that General Statutes
(Rev. to 1997) § 53a–46a (d), which directs a capital penalty phase
fact finder to determine whether a particular mitigating factor,
having been established by the evidence, “is mitigating in nature,
considering all the facts and circumstances of the case,” is
unconstitutional. According to the defendant, requiring the fact
finder to make this determination as a prerequisite to the weighing of
aggravating and mitigating factors, the final step in the statutory
process for determining whether death is the appropriate penalty; see
General Statutes (Rev. to 1997) § 53a–46a (f); improperly prevents
mitigating evidence offered by the defendant from being given full
consideration and effect in violation of the eighth amendment to the
United States constitution.
The defendant acknowledges that this claim already
was raised, and rejected, in his first appeal; see State v. Rizzo,
supra, 266 Conn. at 290–91; but argues that this court decided it
incorrectly. We disagree. We have reviewed the authority cited by the
defendant, including the authorities that arose after our decision in
Rizzo,64
and we conclude that our previous holding, that the defendant had
failed to establish that § 53a–46a (d) was unconstitutional, is not in
error.
VI
The defendant claims next that the panel's findings
as to mitigation were improper. According to the defendant, it was
error for the panel to find proven only one of the mitigating factors
that he proposed and to reject all of the others. We disagree.
The following additional procedural history is
relevant to this claim. The defendant submitted a list of forty-five
proposed mitigating factors to the panel for its consideration,
arguing that the factors were both factually proven and mitigating in
nature. Generally, the proposed mitigating factors concerned the
defendant's age at the time of his crime, his deplorable home
environment and neglectful upbringing, his small stature as a child
and the resulting bullying and harassment he endured, his positive
attributes, talents and contributions to his family and community, his
steady employment history, his military service, his cooperation with
the police in their investigation of the victim's murder and his
eventual remorse for his crime.65
The final proposed mitigating factor submitted by the defendant was
“[t]he cumulative or combined effect of all the evidence concerning
[the defendant's] character, background or history or the nature [or]
circumstances of the crime which the court, in fairness and mercy,
finds is mitigating in nature and constitutes a basis for a sentence
of life imprisonment without the possibility of release.”
The panel, in its written memorandum of decision,
outlined the law governing the finding of statutory and nonstatutory
mitigating factors, and observed that, pursuant to state and federal
death penalty jurisprudence, a capital “sentencer may not be precluded
from considering, and may not refuse to consider, any constitutionally
relevant mitigating evidence․” (Citations omitted; internal quotation
marks omitted.) After noting that no statutory mitigating factors66
were at issue in this case, the panel found, by a preponderance of the
evidence, that the cumulative factor recited previously had been
proven factually and, further, that it was mitigating in nature
considering all of the facts and circumstances of the case.
Conversely, the panel did not find that any of the individual factors
proposed by the defendant were proven mitigating factors. The
defendant argues that, given the evidence presented, no fact finder
reasonably could have failed to find that these individual factors
were mitigating in nature.67
We are not persuaded.68
Our review of this claim is thorough, yet
deferential to the panel. “We previously have recognized that, [u]nder
our death penalty statute, the defendant must convince the [sentencer]
not only of the facts underlying an alleged nonstatutory mitigating
factor, but also that the factor is mitigating in nature, considering
all the facts and circumstances of the case, such that in fairness and
mercy, [it] may be considered as tending either to extenuate or reduce
the degree of his culpability or blame for the offense or to otherwise
constitute a basis for a sentence less than death. General Statutes
[Rev. to 1997] § 53a–46a (d)․ We also have recognized that, [a]lthough
our review of the evidence in mitigation of the death penalty is a
heightened one ․ we will not substitute our judgment or opinions for
that of a reasonable [sentencer]․ Instead, we must determine whether
the defendant's proof of a mitigating factor was so clear and so
compelling that the [sentencer], in the exercise of reasoned judgment,
could not have rejected it.” (Citation omitted; internal quotation
marks omitted.) State v. Breton, 264 Conn. 327, 366–67, 824 A.2d 778,
cert. denied, 540 U.S. 1055, 124 S.Ct. 819, 157 L.Ed.2d 708 (2003).
This standard of review applies to both aspects of the sentencer's
determination as to mitigating factors. Id., at 369–70.
We now turn to the evidence presented by the
defendant in support of mitigation. Ellen Knight, an investigator for
the division of public defender services, testified as to the state of
the defendant's home at 15 Marion Avenue shortly after his arrest.
Knight described the condition of the property as unlike anything she
had ever seen. In short, the house had fallen into severe disrepair,
was filthy and overrun with clutter and garbage, and reeked from the
presence of several cats and their accumulated waste. The washing
machine, oven, a refrigerator and one bathroom were not functional.
The kitchen subfloor long had been exposed due to removal, without
subsequent replacement, of the linoleum covering, and part of a
downstairs ceiling had collapsed from a leak in an upstairs bathroom.
The surrounding yard was poorly maintained and overrun with
vegetation. Extensive photographic and videotaped evidence showing the
condition of the property was submitted into the record after being
identified and described by Knight.
Next, the defendant offered testimony from his
mother, Joyce Moffatt, his father, Peter Rizzo, his older brother,
Brandon Rizzo, and his younger sister, Chelsea Rizzo. Brandon Rizzo is
approximately two years older than the defendant and Chelsea Rizzo is
approximately three years younger than the defendant. The whole family
spoke of the parents' unhappy marriage, their frequent arguments and
their eventual divorce in 1988, when the defendant was about ten years
old. The divorce was upsetting to the children, particularly to the
defendant. Following the divorce, Moffatt began to work long hours at
multiple jobs and, due to ongoing financial pressures, was forced to
leave the children unattended and unsupervised, often into the evening
hours. Also following the divorce, the family home gradually fell into
disrepair, ultimately reaching the state previously described. At
times, the heat was turned off for nonpayment. Eventually, the washing
machine and refrigerator broke and were not repaired. At some point,
the attic became inaccessible because raccoons were living in it. The
house became very cluttered and dirty, and, because Moffatt
consistently was tired, depressed and overwhelmed, she failed to
remedy that situation.
There was evidence showing that Peter Rizzo
sometimes had failed to abide by the parties' bi-weekly visitation
schedule by picking up his children as planned. Additionally, he
sometimes fell behind on his child support payments, although he
eventually caught up. On one occasion, after having the children with
him for the Thanksgiving holiday, he dropped them off early at home
while Moffatt was out of state visiting relatives. Although Peter
Rizzo generally lived nearby in Cheshire following the divorce, he
moved out of state for a period beginning in 1995, when the defendant
was about sixteen years old.
Testimony from the Rizzo family, as well as other
documentary evidence, established that the defendant had been a small
boy who suffered from a nervous stomach, and he remained substantially
smaller than his peers throughout childhood and adolescence.
Additionally, the defendant had a problem with bedwetting that lasted
into his teens, and his brother teased him about this problem. Because
of his diminutive stature, he also was picked on at school.
Two of the defendant's neighbors, Barbara Voglesong
and Paula Delage, also testified. They confirmed that the defendant
and his siblings often were unsupervised and outside alone after dark,
and that their house was disheveled and smelled strongly of cat urine.
The defendant and his sister played with Voglesong's children often,
and Voglesong testified that the defendant seemed to be looking for a
mother. A middle school friend of the defendant confirmed that he was
unsupervised and “had [a lot of] freedom․”
Several witnesses testified as to the defendant's
strong interest in violent, gory “slasher films” and horror themed
books, an interest he was able to pursue freely due to lack of
supervision. Moffatt was either unable or unwilling to prevent the
defendant from viewing these materials.
The defendant was an avid and talented cook. At
home, he prepared meals for himself and his siblings. While in high
school, he received an award for creativity in culinary arts.
Evidence was submitted to show that the defendant
was an involved churchgoer. The defendant and his sister continued to
attend church by themselves following their parents' divorce, when the
rest of the family ceased to go. The defendant brought homemade baked
goods to church events and he participated in a Christmas pageant one
year.
Testimony from several witnesses, both young and
adult, tended to show that the defendant had good relationships with
people who thought well of him and enjoyed his company. His parents
described him as a giving child who was funny, thoughtful and helpful
to other people. Chelsea Rizzo stated that she was close to the
defendant and still loved him. Kenneth Sweet, a high school classmate
of the defendant's, considered the defendant to be his best friend.
The two had socialized and spoke on the telephone a lot. Sweet
described the defendant as a “class clown,” outgoing and funny. Sean
Baranowsky, another high school classmate, also described the
defendant as a “clown,” who made people laugh. Perrin Markay, a friend
of the defendant's during middle school and high school, also
described him as a “best friend,” as well as a really good person who
took care of his sister.
Lynn Connolly managed a video store at which the
defendant once had worked, and she lived in an apartment above the
store. Connolly testified that the defendant spent much time at her
apartment and also at a neighbor's apartment, that she permitted the
defendant to baby-sit her children and that she never had any concerns
about him. Violet Boisvert also lived in the vicinity of the video
store and met the defendant when he was about fifteen years old. She
testified that the defendant often visited her home and that she never
had any problem with him. Boisvert testified that her family loved the
defendant, that he always was welcome in her home and that she trusted
him with her children. Mary Sweet McKeown, Kenneth Sweet's mother,
testified that the defendant visited her home a few times a month,
that he stayed overnight sometimes and that she would wash his clothes
for him. McKeown stated that the defendant was like a second son to
her, that she trusted him and that she had no concerns about him.
Daisy DeJesus, the mother of another high school friend of the
defendant, testified that the defendant was welcome at her home, that
he ate meals there and that he addressed her as a second mother.
DeJesus stated that she was there for the defendant, that she showed
him affection and that he seemed like a happy kid.
The defendant demonstrated that he had been a
decent student with no disciplinary problems. He was admitted to the
culinary arts program at Warren F. Kaynor Regional
Vocational–Technical School (Kaynor) after being highly recommended on
the basis of his good middle school grades, a strong interview and
other considerations. While attending Kaynor, the defendant maintained
an average class rank, and he graduated in 1996 in the middle of his
class. In his senior year, he was accepted into a culinary school in
South Carolina, but ultimately did not attend. Testimony from the
defendant's parents suggested that one or both of them had failed to
complete paperwork necessary for him to receive financial aid.
Following graduation, instead of attending culinary school, the
defendant joined the Marine Corps. While in the Marines, the defendant
completed boot camp and infantry training, and received a certificate
of appreciation for service he had performed as a recruit religious
lay reader. During the additional, highly rigorous training that
followed, the defendant became demoralized and caused himself to be
discharged from service, apparently by eating marijuana and
subsequently failing a drug test.
Evidence was presented about hazing activities,
some of a sexual nature, to which the defendant, and approximately
five to seven other classmates, were subjected in their sophomore year
at Kaynor. Senior classmates, typically within the confines of a
locker room, engaged in activities such as throwing the younger boys
into lockers, pulling their pants down and “goos[ing]” them. At times,
an upperclassman would shove a younger boy's face into the
upperclassman's crotch, or the upperclassman would sit on the younger
boy's face or on his chest facing his head, when the upperclassman
either was clothed or undressed with his private parts exposed. There
were rumors that the defendant had been a victim of sexual assault.
Although the younger boys complained, their teacher failed to address
the matter. Eventually, after an investigation by police and school
officials, the upperclassmen were suspended and the teacher resigned,
but no criminal charges were brought. With the help of his father, the
defendant participated in a civil action against Kaynor, which
ultimately was settled. The defendant received about $7500 as a
settlement payment, which he kept and spent himself.
The defendant introduced evidence showing that he
had been employed consistently for many years, beginning when he was
in middle school. He had worked at a video store, several restaurants
and a bakery, for the local newspaper and as a telemarketer. At the
video store, he was trusted and given a lot of responsibility. When he
returned home after being discharged from the Marine Corps, he
immediately secured employment through a temporary agency.
Finally, the defendant presented the expert
testimony of James Garbarino, a developmental psychologist who
specializes in childhood and adolescence, for the stated purpose of
providing context to the panel for its evaluation of the other
evidence offered in mitigation. Garbarino testified that the years
encompassing adolescence are not subject to fixed definition, and that
brain maturation typically continues into the early twenties. He
opined that, during adolescence, a person is more prone to impulsive
acts. Garbarino also spoke of the importance of adults, particularly
parents, being present in a child's life to teach and influence moral
behavior, and about the negative effects of abuse and neglect on a
child's development. He explained how shame could lead to rage,
possibly resulting in violent responses to relatively minor problems.
Garbarino also testified that chronic trauma or assaults could lead to
“emotional numbing” as an adaptation, making a person appear cold and
emotionless. Additionally, he discussed the potential outcomes of
“toxic environment[s],” which could be physical or social, and opined
that televised violence could affect a child's aggressive behavior.
Finally, Garbarino explained how the path of a particular individual's
development is determined both by the various risk factors to which he
is exposed and the individual's personal characteristics, in
particular his resilience. He added that a child's having at least one
person in his life who is “crazy about” him can add to the child's
resilience.
To rebut the defendant's case in mitigation, the
state relied on its cross-examination of defense witnesses. With
regard to the condition of the defendant's home, the state's attorney
established that, despite the deplorable state of the property, the
defendant's family members lived there for years, both before and
after his arrest, and essentially chose to live that way. Several
witnesses confirmed that, although they were aware that children lived
in the house they considered uninhabitable, they never thought to
report the situation to the department of children and families.
The defendant's family members verified that their
house did not always appear as it did at the time of the defendant's
arrest. Rather, prior to the parents' divorce, it was well kept and
clean. Additionally, the house was located in a nice neighborhood with
many other children and a park. Prior to the divorce, the family
celebrated holidays together, attended church and went on camping
trips. Moffatt testified that, after the divorce, there was no money
available for home repairs, but that her children were her number one
concern, she tried to maintain a stable home for them and she
sacrificed herself for them. Although she often was absent, no
physical harm to the children ever resulted. According to Moffatt, the
children were fed, clothed and received presents at holidays, and they
attended school and were told they were loved. Nobody ever complained
about the children to Moffatt or told her that she had to take better
care of them. Moffatt testified that she expressed her love for her
children and was physically affectionate with them.
Peter Rizzo testified that he never abused his
children, physically or psychologically, and that he loved them very
much. He stated that, during his marriage to Moffatt, the house was
neat and the children were happy and wanted for nothing. Following the
divorce, he supported the children as best he could, and they always
had health insurance. Peter Rizzo testified that he has never stopped
loving the defendant and has always been in contact with him.
Although both Chelsea Rizzo and Brandon Rizzo found
deficiencies in their upbringing, they nevertheless agreed that their
parents loved them. Both of them confirmed that, despite their
troubled and neglectful childhood experience, they had completed their
high school educations, had never been arrested and had maintained
steady employment. Brandon Rizzo testified that, although he did not
feel close to his parents when growing up, they were available to give
him advice if he wanted it.
When cross-examining Garbarino, the state's
attorney elicited that Garbarino had not interviewed or evaluated the
defendant, nor had he prepared a report specific to the facts of this
case. Particularly, Garbarino agreed that he knew “very little” about
the case and had read no reports about it other than “one very brief
summary․” During his questioning of Garbarino, the state's attorney
effectively highlighted that many of the risk factors or
characteristics of troubled youth about which Garbarino generally had
spoken did not apply to the defendant. Specifically, the defendant was
academically average, had no prior arrests and no apparent
neurological problems and was not involved in a gang. Moreover, there
was no indication that the defendant had been physically abused, and
neither he nor his family members had issues with criminal violence,
drugs or alcohol.
After our careful review of the evidence presented
by the defendant in support of mitigation, we disagree that, as to
each proposed individual factor, the evidence, viewed within the
context of all of the facts and circumstances of the case, “was so
clear and so compelling that the [panel], in the exercise of reasoned
judgment, could not have rejected it”; (internal quotation marks
omitted) State v. Breton, supra, 264 Conn. at 367; or that the
evidence necessarily “compel[led] a finding that [the established]
facts extenuate[d] or reduce[d] the degree of [the defendant's]
culpability or blame for the offense or ․ otherwise constitute[d] a
basis for a sentence less than death.”69
(Internal quotation marks omitted.) Id., at 379. The panel reasonably
could have concluded that the defendant's childhood, although severely
lacking in some respects, was positive in others. The panel might have
reasoned that, prior to his parents' divorce, the defendant's home
life was fairly normal, despite his parents' unhappiness. Although
following the divorce, parental presence and involvement in the
defendant's life clearly was deficient, the defendant was able to
develop close relationships with other adults and peers who loved and
supported him and welcomed him into their homes. The panel might also
have credited the testimony of the defendant's family that the
parents, although clearly neglectful, nevertheless loved their
children. As we previously have explained, “it is not inconsistent or
arbitrary for a sentencer to acknowledge, and even to have compassion
for, a defendant's past suffering and, nevertheless, to conclude that
that suffering does not mitigate the commission of a horrific offense․
Put another way, in considering whether certain proved facts are
mitigating, the pertinent question is not whether the defendant has
established some general ground for sympathy, but whether he has
established a reason to hold him less than fully responsible for the
conduct with which he is charged.” (Citation omitted.) Id. In short,
proven facts such as childhood abuse and/or neglect, or divorced
and/or otherwise struggling parents, do not invariably result in
proven mitigating factors. See, e.g., id., at 340–43, 371–73, 379.
Additionally, the panel reasonably could have found
uncompelling the argument that the defendant's youth, and the
traumatizing aspects of it, were mitigating in nature in light of the
substantial achievements the defendant was able to realize despite his
tender age and unfortunate circumstances. Specifically, the panel
might have questioned how a person could possess the maturity and
discipline to complete high school and military training, to maintain
several years of steady employment; see footnote 13 of this opinion;
and to refrain from abusing drugs or alcohol, but nevertheless lack
the awareness and self-control that would have prevented him from
murdering an innocent child without reason or provocation.70
Moreover, the panel reasonably could have concluded
that the testimony of Garbarino was of limited value in establishing
mitigation. Because Garbarino had not interviewed or evaluated the
defendant, and had only slight familiarity with the facts of the case,
he necessarily spoke in generalities. Compare, e.g., State v..
Carrasquillo, 290 Conn. 209, 214–15, 962 A.2d 772 (2009) (defendant
adduced psychiatric testimony regarding development of adolescent
brain generally and defendant's cognitive development in particular,
after examining defendant on three occasions). Accordingly, the panel
might have reasoned that the defendant's claims regarding his
emotional state and the causes of his criminal behavior simply were
unproven. Additionally, any mitigating value that the panel might have
assigned to the defendant's cooperation with the police could have
been undercut by its timing, in that the defendant initially denied
any knowledge of the victim's murder and began cooperating only after
he was confronted with powerful evidence of his guilt. Similarly, it
would not be unreasonable for the panel to have concluded that the
defendant's expression of remorse several years after his arrest rang
hollow when viewed in conjunction with statements he made shortly
after murdering the victim.71
“[T]he sentencer, in determining whether a
proposed, factually proven mitigating factor is actually mitigating in
nature, in light of all the facts and circumstances of the case, must
make a value judgment about that factor in light of those facts and
circumstances .” (Internal quotation marks omitted.) State v. Rizzo,
supra, 266 Conn. at 295. In the present matter, the mitigating
evidence submitted by the defendant was not so clear and compelling
that the panel could not reasonably have determined that, when
considered as discrete, individual factors, it was not mitigating in
nature. Consequently, we must defer to the panel's value judgment. We
conclude that the panel's finding of a single cumulative mitigating
factor, and its rejection of the remaining proposed individual
mitigating factors, was not unreasonable or otherwise improper.
VII
The defendant claims next that the panel improperly
determined that the proven aggravating factor outweighed the proven
mitigating factor.72
According to the defendant, the panel's determination was not a
reasoned moral judgment based on the evidence, and the sentence of
death that the panel imposed was excessive and disproportionate. The
state argues alternatively that the defendant's claim is not
reviewable or, even if it is, the panel reasonably concluded that the
aggravating factor outweighed the mitigating factor. We agree with the
state that the panel's determination was reasonable.
Pursuant to our death penalty scheme, if the state
proves the existence of one or more aggravating factors beyond a
reasonable doubt, and the defendant fails to prove any statutory
mitigating factors but proves one or more nonstatutory mitigating
factors by a preponderance of the evidence, the sentencer then weighs
the established aggravating factor or factors against the established
nonstatutory mitigating factor or factors. If the sentencer finds that
the nonstatutory mitigating factor or factors are outweighed by the
aggravating factor or factors, the defendant shall be sentenced to
death. General Statutes (Rev. to 1997) § 53a–46a (f). Although the
statutory language does not supply a standard for the sentencer to
employ in making the weighing determination, we concluded in Rizzo
that the sentencer must be convinced, beyond a reasonable doubt, that
the aggravating factor or factors outweigh, by any degree or amount,
the nonstatutory mitigating factor or factors. State v. Rizzo, supra,
266 Conn. at 224–25. We required the exacting, beyond a reasonable
doubt standard, in part, to ensure reliability and certainty in the
ultimate decision-making process. Id., at 237. We acknowledged the
reality that, once a sentencer arrives at the decision that death is
the appropriate penalty, “that decision would be, for all practical
purposes, unreviewable on appeal save for evidentiary insufficiency of
the aggravating factor․”73
Id.
In State v. Courchesne, supra, 296 Conn. at 784, we
assumed, without deciding, that a claim of improper weighing was
reviewable, and we concluded, on the basis of the evidence presented,
that the jury reasonably could have found, beyond a reasonable doubt,
that the proven aggravating factor outweighed the alleged
non-statutory mitigating factors.74
We conclude similarly today.
The evidence established, and the panel found, that
the defendant murdered the thirteen year old victim in a cruel,
heinous and depraved manner. The defendant lured the victim into a
secluded backyard under the pretense of looking for snakes, then
murdered the victim by beating him in the head repeatedly with a
sledgehammer. The defendant's conduct was intentional, and the victim
survived long enough to experience extreme physical and psychological
pain and suffering beyond that which was necessary to cause his death,
as evidenced by his attempt to protect himself and his request for the
defendant to stop hitting him. The defendant's choice and use of a
sledgehammer as his murder weapon, his postarrest statements and his
lack of remorse established that he was callous and indifferent to the
victim's pain and suffering. The defendant presented substantial
constitutionally relevant mitigating evidence regarding his relative
youth, his troubled upbringing and his positive character traits, and
he argued that those circumstances extenuated or reduced his
culpability and constituted a basis for a sentence less than death.
The panel concluded that this evidence, viewed cumulatively, was
mitigating in nature. The panel acknowledged the high level of
certainty applicable to the task of weighing mitigating and
aggravating factors, pursuant to our decision in Rizzo, and determined
that the proven aggravator was a weightier sentencing consideration
than the proven mitigator. Considering all of the foregoing, we are
unable to conclude that the defendant's age,75
troubled background and other aspects of his person were of such a
compelling character that the panel could not have reasonably
concluded, beyond a reasonable doubt, that they were outweighed, by
any amount or degree, by the cruelty, heinousness and depravity of the
defendant's crime.76
Accordingly, the defendant's seventh claim is not availing.
VIII
The defendant argues next that his death sentence
was imposed arbitrarily and capriciously in violation of General
Statutes § 53a–46b (b)(1)77
and the eighth amendment and contrary to federal guarantees of due
process and equal protection because there are no uniform standards in
Connecticut guiding prosecutors' decisions to seek the death penalty.78
According to the defendant, due to prosecutors' unbridled discretion
and disparate charging practices throughout the state, there is a
disproportionately greater likelihood of being sentenced to death in
the judicial district of Waterbury. He observes that more of
Connecticut's death row inmates have been prosecuted in that judicial
district than in any of the others.79
We disagree that the defendant has established a constitutional
violation, or that his sentence otherwise was a product of passion,
prejudice or any other arbitrary factor.80
In advancing this claim, the defendant cites no
authority that directly supports it, and completely ignores extensive
federal and state jurisprudence that rejects it. See McClesky v. Kemp,
481 U.S. 279, 307, 311–12, 313–14 n. 37, 107 S.Ct. 1756, 95 L.Ed.2d
262 (1987); Jurek v. Texas, 428 U.S. 262, 274, 96 S.Ct. 2950, 49
L.Ed.2d 929 (1976); Proffitt v. Florida, supra, 428 U.S. at 254; Gregg
v. Georgia, supra, 428 U.S. at 198–99 and n. 50, 224–26; United States
v. Mitchell, 502 F.3d 931, 982 (9th Cir.2007), cert. denied, 553 U.S.
1094, 128 S.Ct. 2902, 171 L.Ed.2d 843 (2008); United States v.
Sampson, 486 F.3d 13, 24–25 (1st Cir.2007), cert. denied, 553 U.S.
1035, 128 S.Ct. 2424, 171 L.Ed.2d 234 (2008); Williams v. Bagley, 380
F.3d 932, 963 (6th Cir.2004), cert. denied sub nom. Williams v.
Bradshaw, 544 U.S. 1003, 125 S.Ct. 1939, 161 L.Ed.2d 779 (2005);
Joubert v. Hopkins, 75 F.3d 1232, 1248 (8th Cir.), cert. denied, 518
U.S. 1029, 116 S.Ct. 2574, 135 L.Ed.2d 1090 (1996); Davis v. Greer, 13
F.3d 1134, 1144 (7th Cir.), cert. denied, 513 U.S. 933, 115 S.Ct. 328,
130 L.Ed.2d 287 (1994); Hawkins v. Wong, United States District Court,
Docket No. CIV S–96–1155 MCE EFB DP (E .D.Cal. September 2, 2010);
Duckett v. McDonough, 701 F. Sup.2d 1245, 1293 (M.D.Fla.2010); Kerr v.
Thaler, United States District Court, Docket No. 4:06–CV–372–Y
(N.D.Tex. September 17, 2009); Moeller v. Weber, 635 F. Sup.2d 1036,
1044–45 (D.S.D.2009); Moreland v. Bradshaw, 635 F. Sup.2d 680, 725–26
(S.D.Ohio 2009); United States v. Tisdale, United States District
Court, Docket No. 07–10142–05–JTM (D.Kan. December 8, 2008); Hamilton
v. Ayers, 458 F. Sup.2d 1075, 1144–45 (E.D.Cal.2006), rev'd in part on
other grounds, 583 F.3d 1100 (9th Cir.2009); Crowe v. Terry, 426 F.
Sup.2d 1310, 1355 (N.D.Ga.2005), aff'd sub nom. Crowe v. Hall, 490
F.3d 840 (11th Cir.2007), cert. denied, 553 U.S. 1007, 128 S.Ct. 2053,
170 L.Ed.2d 798 (2008); Middleton v. Roper, United States District
Court, Docket No. 4:03CV543 CDP (E.D.Mo. September 21, 2005); Madrigal
v. Bagley, 276 F. Sup.2d 744, 805 (N.D.Ohio 2003), aff ‘d, 413 F.3d
548 (6th Cir.2005); Smith v. Anderson, 104 F. Sup.2d 773, 846–47
(S.D.Ohio 2000), aff ‘d, Smith v. Mitchell, 348 F.3d 177 (6th
Cir.2003), cert. denied, 543 U.S. 841, 125 S.Ct. 278, 160 L.Ed.2d 65,
reh. denied, 543 U.S. 1016, 125 S.Ct. 646, 160 L.Ed.2d 488 (2004);
United States v. Davis, 904 F. Sup. 554, 559–60 (E.D .La.1995); United
States v. Cooper, 754 F. Sup. 617, 625 (N.D.Ill .1990); Phillips v.
State, 650 So.3d 971, 1037–38 (Ala.Crim.App.2010); State v. Smith, 193
Ariz. 452, 463, 974 P.2d 431, cert. denied, 528 U.S. 880, 120 S.Ct.
191, 145 L.Ed.2d 161 (1999); Simpson v. State, 339 Ark. 467,470–71, 6
S. W.3d 104 (1999); People v. Vines, 51 Cal.4th 830, 889–90, 251 P.3d
943, 124 Cal.Rptr.3d 830 (2011); Dawson v. State, 581 A.2d 1078,
1099–1100 (Del.1990), vacated on other grounds, 503 U.S. 159, 112
S.Ct. 1093, 117 L.Ed.2d 309 (1992); Wade v. State, 41 So.3d 857,
874–76 (Fla.2010), cert. denied, ––– U.S. ––––, 131 S.Ct. 1004, 178
L.Ed.2d 835 (2011); Arrington v. State, 286 Ga. 335, 337, 687 S.E.2d
438 (2009), cert. denied, ––– U.S. ––––, 131 S.Ct. 112,178 L.Ed.2d 69
(2010); People v. Thompson, 222 Ill.2d 1, 54, 853 N.E.2d 378 (2006),
cert. denied, 549 U.S. 1254, 127 S.Ct. 1393, 167 L.Ed.2d 163 (2007);
Harrison v. State, 644 N.E.2d 1243, 1258 (Ind.1995); Hunt v.
Commonwealth, 304 S.W.3d 15, 55 (Ky.2009), cert. denied, ––– U.S.
––––, 131 S.Ct. 203, 178 L.Ed.2d 122 (2010); Johnson v. State, 333
S.W.3d 459, 471 (Mo.2011); State v. Gales, 269 Neb. 443, 461–62, 694
N.W.2d 124, cert. denied, 546 U.S. 947, 126 S.Ct. 449, 163 L.Ed.2d 341
(2005); State v. Koedatich, 112 N.J. 225, 250–57, 548 A.2d 939 (1988),
cert. denied, 488 U.S. 1017, 109 S.Ct. 813, 102 L.Ed.2d 803 (1989);
State v. Clark, 128 N.M. 119, 142–43, 990 P.2d 793 (1999); State v.
Blakeney, 352 N.C. 287,312–13,531 S.E.2d 799 (2000), cert. denied, 531
U.S. 1117, 121 S.Ct. 868, 148 L.Ed.2d 780 (2001); Romano v. State, 847
P.2d 368, 392–93 (Okla.Crim.App .1993), aff'd, 512 U.S. 1, 114 S.Ct.
2004, 129 L.Ed.2d 1 (1994); State v. Longo, 341 Or. 580, 602–603, 148
P.3d 892 (2006), cert. denied, 552 U.S. 835, 128 S.Ct. 65,169 L.Ed.2d
53 (2007); Commonwealth v. Crews, 552 Pa. 659, 663–64, 717 A.2d 487
(1998); State v. Moeller, supra, 616 N.W.2d at 463; State v. Banks,
271 S.W.3d 90, 154–55 (Tenn.2008), cert. denied, ––– U.S. ––––, 129
S.Ct. 1677, 173 L.Ed.2d 1043 (2009); Whitaker v. State, 286 S .W.3d
355,367 (Tex.Crim.App.2009); State v. Lafferty, 20 P.3d 342,379 (Utah
2001), cert. denied, 534 U.S. 1018, 122 S.Ct. 542, 151 L.Ed.2d 420
(2001); State v. Harris, 106 Wash.2d 784, 793–94, 725 P.2d 975 (1986),
cert. denied, 480 U.S. 940, 107 S.Ct. 1592, 94 L.Ed.2d 781 (1987).
These cases recognize, in sum, that prosecutorial
discretion is an essential component of the criminal justice system in
general, and of a constitutional death penalty system in particular,
and it often results in leniency. Additionally, prosecutorial
discretion is not truly unbridled or standardless; rather, it is
constrained by statutes defining capital crimes and aggravating and
mitigating factors, our highly detailed capital punishment
jurisprudence, ethical codes governing charging decisions and the
strength of the evidence available in any given case to support a
potential capital prosecution. Finally, the trial process and
mandatory appellate review provide further checks against potentially
improper pursuit and imposition of the death penalty. Because the
defendant's claim is contradicted by overwhelming authority with sound
reasoning, we are compelled to reject it.
IX
The defendant's final claim is that the death
penalty, in general, constitutes cruel and unusual punishment in
violation of the state constitution. Although we previously have
rejected this claim; see State v. Ross, supra, 230 Conn. at 249–52;
see also State v. Webb, supra, 238 Conn. at 406; the defendant
requests that we reconsider it in light of subsequent developments in
law and policy.81
We accept the defendant's invitation to revisit this issue, but again
disagree that the death penalty violates the state constitution.82
In Ross, the defendant, like the defendant here,
raised a general challenge pursuant to the state constitution to the
validity of the death penalty under any and all circumstances. After
acknowledging that article first, §§ 8 and 9, of the constitution of
Connecticut protects against cruel and unusual punishment
independently of the eighth amendment to the United States
constitution, we conducted an analysis pursuant to the six factor
framework of State v. Geisler, supra, 222 Conn. at 684–86, to
determine whether the death penalty, per se, was offensive to those
state constitutional provisions. We concluded that it was not.83
State v. Ross, supra, 230 Conn. at 249–52.
We initially determined that five of the Geisler
factors—(1) the text of the constitutional provisions; (2) related
Connecticut precedents; (3) persuasive federal precedents; (4)
persuasive precedents of other state courts; and (5) historical
insights into the intent of our constitutional forbearers—did not
support the defendant's claim that the death penalty should be
declared unconstitutionally unacceptable on its face. Id., at 249. We
explained: “In article first, § 8, and article first, § 19, our state
constitution makes repeated textual references to capital offenses and
thus expressly sustains the constitutional validity of such a penalty
in appropriate circumstances. Connecticut case law has recognized the
facial constitutionality of the death penalty under the eighth and
fourteenth amendments to the federal constitution. See, e.g., State v.
Davis, 158 Conn. 341, 358, 260 A.2d 587 (1969), vacated and remanded
on other grounds, [Davis v. Connecticut] 408 U.S. 935, 92 S.Ct. 2856,
33 L.Ed.2d 750 (1972). Federal constitutional law does not forbid such
a statute outright. Gregg v. Georgia, supra, 428 U.S. at 153. Courts
in the overwhelming majority of our sister states have rejected facial
challenges to the death penalty under their state constitutions.
Finally, Connecticut's history has included a death penalty since
1650, when it was incorporated into Ludlow's Code ․ and such a penalty
was considered constitutional at the time of the adoption of the
constitution of 1818.” (Citation omitted.) State v. Ross, supra, 230
Conn. at 249–50.
We thereafter considered the sixth Geisler factor,
contemporary understandings of applicable economic and sociological
norms, and we disagreed with the defendant's argument “that the death
penalty is so inherently cruel and so lacking in moral and
sociological justification that it is unconstitutional on its face
because it is fundamentally offensive to evolving standards of human
decency.” Id., at 251. We reasoned that community standards of
acceptable legislative policy choices necessarily were reflected in
our constitutional text, our history and the teachings of the
jurisprudence of other state and federal courts. Id. We found
particularly compelling the fact that, in the ten years following the
United States Supreme Court's invalidation of all of the states'
capital punishment schemes due to their failure to channel properly
the sentencer's discretion, thirty-seven states had passed new death
penalty legislation designed to comply with the court's constitutional
directives. Id. We concluded that, given that circumstance, “the
probability that the legislature of each state accurately reflects its
community's standards approaches certainty.” (Internal quotation marks
omitted.) Id.
We then emphasized that, although the death penalty
itself is not cruel and unusual punishment contrary to the state
constitution, the imposition of the penalty must conform to
constitutional constraints. Specifically, we held that “the due
process clauses of our state constitution incorporate the principles
underlying a constitutionally permissible death penalty statute that
the United States Supreme Court has articulated in [its capital
punishment jurisprudence]․ These principles require, as a
constitutional minimum, that a death penalty statute, on the one hand,
must channel the discretion of the sentencing judge or jury so as to
assure that the death penalty is being imposed consistently and
reliably and, on the other hand, must permit the sentencing judge or
jury to consider, as a mitigating factor, any aspect of the individual
defendant's character or record as well as the circumstances of the
particular offense.” (Citations omitted.) Id., at 252. We concluded
that “[o]ur death penalty statute, § 53a–46a, meets these minimum
state constitutional law requirements.” Id.
Two years later, in State v. Webb, supra, 238 Conn.
at 406, an en banc panel comprised entirely of members of this court84
reaffirmed the holding of Ross recited herein,85
and we since have repeated the holding on several occasions without
elaboration. See State v. Colon, supra, 272 Conn. at 382–83; State v.
Breton, supra, 264 Conn. at 417–18; State v. Reynolds, supra, 264
Conn. at 236–37; State v. Cobb, supra, 251 Conn. at 496–97. The
defendant asks that we reconsider these holdings in light of the
current legal and sociological landscape.
We agree with the defendant that, in determining
whether a particular punishment is cruel and unusual in violation of
constitutional standards, we must “look beyond historical conceptions
to the evolving standards of decency that mark the progress of a
maturing society․ This is because [t]he standard of extreme cruelty is
not merely descriptive, but necessarily embodies a moral judgment. The
standard itself remains the same, but its applicability must change as
the basic mores of society change.” (Citations omitted; internal
quotation marks omitted.) Graham v. Florida, ––– U.S. ––––, 130 S.Ct.
2011, 2021, 176 L.Ed.2d 825 (2010). Thus, it is appropriate to revisit
our earlier holdings to examine what since has transpired. In so
doing, however, we remain cognizant that our constitution contains
explicit references to capital punishment; see Conn. Const., art. I,
§§ 8 and 19; and, therefore, “expressly sustains the constitutional
validity of such a penalty in appropriate circumstances.” State v.
Ross, supra, 230 Conn. at 249–50. The defendant's claim must be
evaluated against this clear textual backdrop.
We first consider developments in the capital
punishment jurisprudence of the United States Supreme Court.86
In the years since Ross and Webb were decided, the United States
Supreme Court has held that the death penalty is constitutionally
impermissible for nonhomicide crimes against individuals; see Kennedy
v. Louisiana, 554 U.S. 407, 413, 128 S.Ct. 2641, 171 L.Ed.2d 525
(2008); and it has adopted categorical rules prohibiting the
imposition of the death penalty for defendants who committed their
crimes prior to the age of eighteen; see Roper v. Simmons, 543 U.S.
551, 568–71, 125 S.Ct. 1183, 161 L.Ed.2d 1 (2005); or whose
intellectual functioning is in a low range. See Atkins v. Virginia,
536 U.S. 304, 318–21, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002). It
remains settled federal law, however, that the death penalty in
general is constitutionally permissible. Baze v. Rees, 553 U.S. 35,
47, 61, 62 n. 7, 128 S.Ct. 1520, 170 L.Ed.2d 420 (2008); see also
Gregg v. Georgia, supra, 428 U.S. at 177–78.
Notably, these federal constitutional developments
did not change the law in Connecticut, because our legislature had
acted ahead of the United States Supreme Court to prohibit executions
of persons with mental retardation. See General Statutes § 53a–46a
(h)(2), as amended by Public Acts 2001, No. 01–151, § 2. Moreover,
from the time they were adopted in 1973, our modern death penalty
statutes barred executions of those who committed their capital crimes
when they were under eighteen years old; see Public Acts 1973, No.
73–137, § 4; and did not authorize the death penalty for any crime not
involving the death of a victim.87
See Public Act 73–137, § 3. We are not convinced, therefore, that the
recent jurisprudence of the United States Supreme Court suggests that
Connecticut, by retaining the death penalty, is out of step with
national societal mores. To the contrary, over time, the national
landscape has become more closely aligned with Connecticut.
Additionally, we do not discern a fundamental disapproval of the death
penalty in general from that court's ongoing shaping of the categories
of offenses or offenders to which it should apply. Rather, such
refinements are consistent with the long-standing principle espoused
by the United States Supreme Court that society's ultimate sanction
ought to be reserved for the most egregious and culpable of offenders.
We turn to our sister states. It is true that, in
the intervening years since our decisions in Ross and Webb, the number
of states in which the death penalty is an available punishment has
declined slightly from the thirty-seven that authorized it in 1994.
Specifically, the legislatures of three states—Illinois, New Jersey
and New Mexico—have voted to abolish the death penalty.88
Although it is significant that these states have chosen to abandon
capital punishment, the decision to do so in each instance was based
on a variety of public policy determinations made by legislators and
governors, and did not result from the constitutional command of a
court. See, e.g., State v. Ramseur, 106 N.J. 123, 167–97, 524 A.2d 188
(1987) (rejecting claim that death penalty per se was violative of
state constitution); State v. Rondeau, 89 N.M. 408, 412, 553 P.2d 688
(1976) (same).
More importantly, at this point in time, a strong
majority of jurisdictions—thirty-four states, the federal government
and the military—still authorize the death penalty, while only sixteen
states do not. See Death Penalty Information Center, “Facts about the
Death Penalty,” (updated November 17, 2011), p. 1, available at
http:// www.deathpenaltyinfo.org/documents/FactSheet.pdf (last visited
November 18, 2011) (copy contained in the file of this case in the
Supreme Court clerk's office). Simply put, the recent actions of a
handful of states cannot reasonably be characterized as the type of
“dramatic shift in the state legislative landscape”; Atkins v.
Virginia, supra, 536 U.S. at 310; that would call our decisions in
Ross and Webb into question. Compare id., at 313–15 (holding
unconstitutional executions of persons with mental retardation, when
thirty states had disallowed them); Kennedy v. Louisiana, supra, 554
U.S. at 423 (same, for crime of child rape, when forty-four states had
disallowed them); Roper v. Simmons, supra, 543 U.S. at 564–65 (same,
as to executions of juveniles, when thirty states, including five over
prior fifteen years, had disallowed them); Enmund v. Florida, 458 U.S.
782, 788–92, 102 S.Ct. 3368, 73 L.Ed.2d 1140 (1982) (same, as to
executions of codefendants who did not kill, attempt to kill or intend
to kill, when forty-two states had disallowed them); Coker v. Georgia,
433 U.S. 584, 595–96, 97 S.Ct. 2861, 53 L.Ed.2d 982 (1977) (same, for
rape of adult woman, where forty-nine jurisdictions had disallowed
them).
Although “the clearest and most reliable objective
evidence of contemporary values is the legislation enacted by the
country's legislatures”; (internal quotation marks omitted) Atkins v.
Virginia, supra, 536 U.S. at 312; in assessing whether a punishment is
constitutionally sound, it also is appropriate for us to consider what
is occurring in actual practice. For example, in Graham v. Florida,
supra, 130 S.Ct. at 2024, in holding that the sentence of life
imprisonment without the possibility of parole was cruel and unusual
punishment for a juvenile who had committed a nonhomicide offense, the
United States Supreme Court considered, inter alia, that nationwide,
only 123 people were serving such sentences in only eleven
jurisdictions. In contrast, as to the death penalty generally, as of
January 1, 2011, there were 3251 inmates held on death row nationwide
by thirty-six states,89
the federal government and the military. See Death Penalty Information
Center, “Facts about the Death Penalty,” supra, p. at 2. Unlike the
United States Supreme Court in Graham, therefore, we cannot conclude
that the punishment of death has become a rarity imposed only in
limited portions of the nation.
The defendant directs us to the fact that, despite
the large number of inmates on death row, the number of executions
actually carried out over the past decade generally has declined
gradually, hitting a low point in 2008 before rising again.90
The numbers remain substantially higher, however, than those in the
ten years preceding our decision in Ross.91
In addition, the decrease in 2007 and 2008 likely was attributable in
part to moratoria imposed in 2007 following the United States Supreme
Court's grant of certification in Baze v. Rees, supra, 553 U.S. at 41,
an appeal in which it was argued, unsuccessfully, that the risk of
error in administration of lethal injection, the method of execution
utilized by most death penalty states, rendered that form of capital
punishment unconstitutional. Also a factor impeding executions in
recent years is a shortage of thiopental sodium, which is used in
lethal injections, as well as moratoria imposed in various states
while new lethal injection procedures are promulgated and challenged.
See Death Penalty Information Center, “Death Penalty in Flux,”
available at http:// www.deathpenaltyinfo.org/ death-penalty-flux
(last visited November 18, 2011) (copy contained in the file of this
case in the Supreme Court clerk's office); Death Penalty Information
Center, “Lethal Injection,” (2011), available at
http://www.deathpenaltyinfo.org/ lethal-injection-morato-rium
-executions-ends-after-supreme-court-decision (last visited November
18, 2011) (copy contained in the file of this case in the Supreme
Court clerk's office). In light of the foregoing, we are hesitant to
assume, as the defendant invites us to do, that declines in actual
execution rates are attributable to decreased public support for the
death penalty.92
We recognize that imposition of new death sentences
also has declined substantially over the past decade, from 224 in 2000
to 112 in 2010. Death Penalty Information Center, “Facts about the
Death Penalty,” supra, at p. 3. Various reasons have been posited for
the decline, however, including: the high costs of the death penalty
at a time when state budgets are strained from a weak economy;
publicity about convictions overturned due to DNA evidence; a
significant drop in rates of violent crime and murder; improved legal
representation for capital defendants, including the greater use of
mitigation specialists; and the increasingly available option for
prosecutors to seek life sentences without the possibility of parole.93
Although some of these explanations suggest declining public support
for the death penalty because it offends contemporary standards of
decency and morality, others decidedly do not. Because of the
ambiguity underlying the decline in new death sentences, that
circumstance does not provide compelling support for abandoning our
decisions in Ross and Webb.94
The defendant points to public opinion polls as
support for his claim of waning societal support for the death
penalty. The most recent polling data indicate, however, that public
support for the death penalty in Connecticut remains strong.95
According to a Quinnipiac University poll released in March, 2011, 67
percent of Connecticut voters supported the death penalty, while only
28 percent were opposed to it.96
D. Schwartz, Quinnipiac University Poll (March 10, 2011), available at
http://www.quinnipiac . edu/images/polling/ct/ct03102011.doc (last
visited November 18, 2011) (copy contained in the file of this case in
the Supreme Court clerk's office). When asked to choose between
alternative penalties for first degree murder, 48 percent opted for
the death penalty, while 43 percent chose life in prison with no
chance for parole. Id. On both measures, the percentages favoring the
death penalty have increased each year since 2007. Id. Although we
recognize the weaknesses inherent in public opinion polls as objective
measures of the popular psyche, we mention this data to refute the
defendant's contention that it lends support to his constitutional
claim.
The defendant also argues that this court should
look to practices in some other nations, or to a resolution of the
United Nations calling for the abolition of capital punishment, to
determine whether the death penalty offends contemporary sociological
norms in Connecticut. In its eighth amendment jurisprudence, the
United States Supreme Court at times has referenced international
norms as support for its own determinations, while at the same time
making clear that the opinions prevalent in other nations could never
control over a domestic legislative climate running decidedly counter
to such opinions. See Graham v. Florida, supra, 130 S.Ct. at 2033,
(noting that punishment at issue had been rejected in all other
nations, but emphasizing that “[t]his observation does not control our
decision [and that] judgments of other nations and the international
community are not dispositive as to the meaning of the [e]ighth
[a]mendment”); Roper v. Simmons, supra, 543 U.S. at 578 (“[t]he
opinion of the world community [which universally97
had ceased to give official sanction to the juvenile death penalty],
while not controlling our outcome, does provide respected and
significant confirmation for our own conclusions ” [emphasis added] ).
In State v. Allen, 289 Conn. 550, 585, 958 A.2d
1214 (2008), we took a similar view of the relevance of international
norms in a case involving a claim of an unconstitutional sentence. In
rejecting the defendant's argument that life in prison with no
possibility of release for a juvenile convicted of capital felony and
murder was cruel and unusual punishment in violation of the eighth
amendment, we recognized that the overwhelming majority of countries
around the world had rejected that approach and that that circumstance
was constitutionally relevant. We agreed, moreover, that the large
number of juveniles serving life sentences in the United States raised
troubling questions. Id. We ultimately concluded, however, that the
overwhelming weight of authority from courts in this country that the
practice was constitutionally sound, strong indications of approval
from the United States Supreme Court and no evident trend away from
imposing serious adult criminal liability upon juvenile offenders
compelled us to defer to the legislative process on what ultimately is
a public policy determination. Id., at 585–86. We conclude similarly
today that international norms cannot take precedence over a domestic
legal climate in which capital punishment retains strong legislative
and judicial support.
As part of his constitutional claim, the defendant
argues that capital punishment is not serving legitimate penological
goals of deterrence, incapacitation or rehabilitation.98
In support of this argument, he cites to reports and recommendations
of various commissions and interest groups and the opinions of certain
current or past public officials.99
The state, in reply, directs us to similar material purporting to show
the contrary. We recognize that assessing the propriety of the death
penalty is not exclusively the domain of the legislature, and that
this court has an independent duty to determine that the penalty
remains constitutionally viable as the sensibilities of our citizens
evolve. See Atkins v. Virginia, supra, 536 U.S. at 312–13; State v.
Ross, supra, 230 Conn. at 249. In so doing, however, we must “exercise
our authority with great restraint”; State v. Ross, supra, 230 Conn.
at 249; and refrain from interfering with democratic processes unless
there is compelling “reason to disagree with the judgment reached by
the citizenry and its legislatures.” Atkins v. Virginia, supra, at
313. Moreover, it is clear that “[r]easonable people of good faith
disagree on the morality and efficacy of capital punishment”; Baze v.
Rees, supra, 553 U.S. at 61; and that “the value of [that sanction],
and its contribution to acceptable penological goals, typically is a
complex factual issue the resolution of which properly rests with the
legislatures․” (Internal quotation marks omitted.) Kennedy v.
Louisiana, supra, 554 U.S. at 441; see also Roper v. Simmons, supra,
543 U.S. at 571 (“[i]n general we leave to legislatures the assessment
of the efficacy of various criminal penalty schemes”); Gregg v.
Georgia, supra, 428 U.S. at 175 (“[i]n a democratic society
legislatures, not courts, are constituted to respond to the will and
consequently the moral values of the people” [internal quotation marks
omitted] ); cf. Baze v. Rees, supra, at 69 (Alito, J., concurring)
(“[p]ublic policy on the death penalty, an issue that stirs deep
emotions, cannot be dictated by the testimony of an expert or two or
by judicial findings of fact based on such testimony”). We therefore
conclude that, as long as there remains powerful evidence of strong
public support for the death penalty in the form of long-standing laws
enacted by the democratically elected representatives of this state
and other jurisdictions within the United States, we will not attempt
to discern a contrary view of the public will, or to answer complex
policy questions best answered by the legislative process, by choosing
among the competing opinions of interest groups and individuals whose
views are not necessarily in accord with those of the general
population.100
One final matter raised by the defendant merits our
consideration. In May, 2009, following the filing of the defendant's
initial brief, the General Assembly passed No. 09–107 of the 2009
Public Acts (P.A. 09–107), which was intended to repeal the death
penalty for crimes committed after the passage of the act. On June 5,
2009, however, P.A. 09–107 was vetoed by the governor, and the
legislature did not thereafter muster the two-thirds vote necessary to
override the governor's veto.101
Accordingly, P.A. 09–107 failed to become law. Similar legislation was
introduced in 2011 and voted out of the judiciary committee, but died
before making it to the floor for a full vote in either chamber.
Revised Senate Bill No. 1035, 2011 Sess.
Following the aborted passage of P.A. 09–107, the
defendant submitted his reply brief. He argues that the legislative
repeal of the death penalty, although subsequently vetoed by the
governor, evidences a powerful societal repudiation of capital
punishment in Connecticut that should compel this court to conclude
that such punishment violates the state constitution. We are not
persuaded.102
The governor, like our legislators, is an elected
representative of the people of the state. Additionally, executive
approval or veto of legislation is an integral part of the legislative
process; see Conn. Const., art. IV, § 15; and it is axiomatic that
when the governor exercises this power, he or she is acting in a
substantive legislative role. See Bogan v. Scott–Harris, 523 U.S. 44,
55, 118 S.Ct. 966, 140 L.Ed.2d 79 (1998); Bagley v. Blagojevich,
United States Court of Appeals, Docket No. 10–1389 (7th Cir. May 2,
2011); Baraka v. McGreevey, 481 F.3d 187, 197 (3d Cir.), cert. denied,
552 U.S. 1021, 128 S.Ct. 612,169 L.Ed.2d 393 (2007); Torres–Rivera v.
Calderon–Serra, 412 F.3d 205, 213 (1st Cir.2005); Butts v. Dept. of
Housing Preservation & Development, 990 F.2d 1397, 1406 (2d Cir.1993);
see also 1 N. Singer & J. Singer, Sutherland Statutes and Statutory
Construction (7th Ed.2010) § 16:1, p. 729 (“All American
[c]onstitutions give to the chief executive a formal and official role
in the legislative process, in addition to the important influence he
or she usually wields over the legislative process by reason of
political power and leadership. The [c]onstitutions of the United
States and of nearly every state require as an essential step in
enactment that bills which have passed both houses shall be presented
to the executive.” [Emphasis added.] ); 73 Am.Jur.2d 254, Statutes §
32 (2001) (“[i]n passing on laws that are submitted for approval, the
executive is regarded as a component part of the lawmaking body, and
as engaged in the performance of a legislative, rather than an
executive duty” [emphasis added] ). Thus, just as a governor's
approval of legislation may provide evidence of the motivations
underlying that legislation; Perez v. Rent A–Center, Inc., 186 N.J.
188, 215, 892 A.2d 1255 (2006) (crediting governor's signing statement
as evidence of statute's meaning), cert. denied, 549 U.S. 1115, 127
S.Ct. 984, 166 L.Ed.2d 710 (2007); Rangolan v. Nassau, 96 N.Y.2d 42,
49, 749 N.E.2d 178, 725 N.Y.S.2d 611(2001) (same); the absence of
approval, which the legislature thereafter is unable to override,
signifies that public support for the failed legislation was tenuous.
Accordingly, we are unable to accept the premise
underlying all of the defendant's various arguments as to the import
of P.A. 09–107, which, generally stated, is that the legislature's
vote establishes definitively a lack of public support for the death
penalty and, therefore, the governor's veto of that act thwarted the
public will. Rather, a more plausible view is that “[t]he [governor]
is a representative of the people just as the members of the Senate
and of the House are, and it may be, at some times, on some subjects,
that the [governor] elected by all the people is rather more
representative of them all than are the members of either body of the
[l]egislature whose constituencies are local and not [statewide]․”
(Internal quotation marks omitted.) Immigration & Naturalization
Service v. Chadha, 462 U.S. 919, 948, 103 S.Ct. 2764, 77 L.Ed.2d 317
(1983).
In light of the foregoing, we disagree that we
properly may discern contemporary community standards on the basis of
a “truncated [product] of the legislative process”; (internal
quotation marks omitted) Wilson v. Eu, 1 Cal.4th 707, 727, 823 P.2d
545, 4 Cal.Rptr.2d 379 (1992); that ultimately failed to gain all of
the constitutional approvals necessary to become the binding law of
this state. Cf. Kennedy v. Louisiana, supra, 554 U.S. at 431
(declining to discern contemporary norms based on proposed
legislation). Simply put, “[t]he [g]overnor is a part of the
legislative process and a veto renders a legislative action as if it
had not occurred.” Washington State Legislature v. Lowry, 131 Wash.2d
309, 330, 931 P.2d 135 (1997).
We conclude that the death penalty, as a general
matter, does not violate the state constitution. Accordingly, we
reaffirm our earlier holdings to that effect in State v. Ross, supra,
230 Conn. at 249–52, and State v. Webb, supra, 238 Conn. at 406.
The judgment is affirmed.
I concur in all respects with the well reasoned
opinion of the majority. I write separately only to express my
continued reservations about the efficacy of our application of the
Geisler test to claims raised by a party under the Connecticut
constitution. See State v. Geisler, 222 Conn. 672, 684–86, 610 A.2d
1225 (1992). The present case, however, is not the appropriate vehicle
to expand on those reservations, and, accordingly, I defer my views on
Geisler for the present.
I continue to “maintain my position that the death
penalty has no place in the jurisprudence of the state of
Connecticut.”1
State v. Ross, 269 Conn. 213, 392–93, 849 A.2d 648 (2004) (Norcott,
J., dissenting). Thus, I disagree with the majority's analysis in part
IX of its opinion, rejecting the arguments of the defendant, Todd
Rizzo, in support of reconsideration of this court's previous
decisions2
upholding the constitutionality of the death penalty under article
first, §§ 8 and 9, of the Connecticut constitution. I therefore
respectfully dissent from the judgment of this court affirming the
judgment of the trial court sentencing the defendant to death by
lethal injection.
As in my past dissenting opinions; see footnote 1
of this dissenting opinion; I do not intend to reiterate in full the
reasoning behind my belief that the death penalty “per se is wrong,”
“violates the state constitution's prohibition against cruel and
unusual punishment ․ [and] that our statutory scheme for the
imposition of the death penalty cannot withstand constitutional
scrutiny because it allows for arbitrariness and racial discrimination
in the determination of who shall live or die at the hands of the
state.” State v. Cobb, 251 Conn. 285, 543, 743 A.2d 1 (1999) (Norcott,
J., dissenting), cert. denied, 531 U .S. 841, 121 S.Ct. 106, 148
L.Ed.2d 64 (2000). Rather, I pause to reflect on my previously
expressed “optimis[m] that very early in the twenty-first century we
will all witness the abolition of [the death penalty] by Connecticut
as a state and the United States as a country.” State v. Webb, 252
Conn. 128, 147, 750 A.2d 448 (Norcott, J., dissenting), cert. denied,
531 U.S. 835, 121 S.Ct. 93, 148 L.Ed.2d 53 (2000); see also State v.
Cobb, supra, at 552 (Norcott, J., dissenting) (“with the alternative
of life imprisonment without the possibility of parole as a penalty,
the continuation of the death penalty simply makes no sense as we
approach a hopefully more enlightened new millennium”). Recent history
has, however, shown that my predictive abilities are no better than
those of any other court. Indeed, my optimism waned significantly six
years ago, when I found myself questioning, on the eve of an
execution, whether “our thirst for this ultimate penalty [has] now
been slaked, or do we, the people of Connecticut, continue down this
increasingly lonesome road?” State v. Ross, 273 Conn. 684, 723, 873
A.2d 131 (2005) (Norcott, J., concurring and dissenting).
Part IX of the majority's opinion in the present
case, coupled with the subsequent failures of two legislative measures
that would have repealed the death penalty,3
has, to my regret, answered the rhetorical question that I asked in
2005. Although the scholarship and drafting of the majority's opinion
is beyond reproach as a technical matter, it nevertheless leaves
Connecticut in step with much of the United States,4
which, in 2010, trailed only China, Iran, North Korea and Yemen with
respect to the number of reported executions.5
See Amnesty International, Report: Death Sentences and Executions 2010
(2011), p. 41, available at http://
www.amnesty.org/en/library/asset/ACT50/001/2011/
en/ea1b6b25–a62a–4074–927d–ba51e88df2e9/act500012011en.pdf (last
visited November 17, 2011). Given this company;6
see State v.. Allen, 289 Conn. 550, 585, 958 A.2d 1214 (2008)
(international practices relevant to constitutional question of
whether particular penalty constitutes cruel and unusual punishment);
I therefore remain disappointed that a majority of this court
continues to decline to declare the death penalty unconstitutional
under the Connecticut constitution, and continue to respectfully
dissent from its failure to do so.
I would reverse the judgment of the trial court
sentencing the defendant to death by lethal injection, and remand the
case to the trial court with direction to impose a sentence of life
imprisonment without the possibility of release.
FOOTNOTES
1. General
Statutes (Rev. to 1997) § 53a–46a provides in relevant part: “(b) For
the purpose of determining the sentence to be imposed when a defendant
is convicted of or pleads guilty to a capital felony, the judge or
judges who presided at the trial or before whom the guilty plea was
entered shall conduct a separate hearing to determine the existence of
any mitigating factor concerning the defendant's character, background
and history, or the nature and circumstances of the crime, and any
aggravating factor set forth in subsection (i)․ Such hearing shall be
conducted ․ before [a] jury ․ or ․ before the court, on motion of the
defendant and with the approval of the court and the consent of the
state․”Unless otherwise noted, all subsequent references to § 53a–46a
are to the 1997 revision of the statute.
2. We
clarified the appropriate burden of persuasion applicable to the fact
finder's weighing of aggravating factors against mitigating factors
pursuant to § 53a–46a (e) and (f). State v. Rizzo, supra, 266 Conn. at
224–43.
3. The
sixth amendment to the United States constitution provides in relevant
part: “In all criminal prosecutions, the accused shall enjoy the right
to a speedy and public trial, by an impartial jury of the State and
district wherein the crime shall have been committed․” The sixth
amendment right to a jury trial is made applicable to the states
through the due process clause of the fourteenth amendment. See Duncan
v. Louisiana, 391 U.S. 145, 149, 88 S.Ct. 1444, 20 L.Ed.2d 491 (1968).
Article first, § 8, of the Connecticut constitution provides in
relevant part: “In all criminal prosecutions, the accused shall have a
right ․ to a speedy, public trial by an impartial jury․” Article
first, § 19, of the Connecticut constitution, as amended by article
four of the amendments, provides in relevant part: “The right of trial
by jury shall remain inviolate, the number of such jurors, which shall
not be less than six, to be established by law; but no person shall,
for a capital offense, be tried by a jury of less than twelve jurors
without his consent․” Because the defendant does not contend that he
is afforded greater jury trial rights under the constitution of
Connecticut, we assume for purposes of this appeal that the rights
arising from the state and federal constitutions are coextensive. See
State v. Gore, 288 Conn. 770, 776 n. 7, 955 A.2d 1 (2008); see also
State v. Marino, 190 Conn. 639, 646, 462 A.2d 1021 (1983) (state
constitution does not demand more elaborate procedure for waiver of
right to jury than that required under federal constitution).
4. General
Statutes § 53a–45 provides in relevant part: “(b) If a person indicted
for murder or held to answer for murder after a hearing conducted in
accordance with the provisions of section 54–46a waives his right to a
jury trial and elects to be tried by a court, the court shall be
composed of three judges designated by the Chief Court Administrator
or his designee, who shall name one such judge to preside over the
trial. Such judges, or a majority of them, shall have power to decide
all questions of law and fact arising upon the trial and render
judgment accordingly․”General Statutes § 54–82 provides: “(a) In any
criminal case, prosecution or proceeding, the party accused may, if he
so elects when called upon to plead, be tried by the court instead of
by the jury; and, in such case, the court shall have jurisdiction to
hear and try such case and render judgment and sentence thereon.“(b)
If the accused is charged with a crime punishable by death or
imprisonment for life and elects to be tried by the court, the court
shall be composed of three judges to be designated by the Chief Court
Administrator, or his designee, who shall name one such judge to
preside over the trial. Such judges, or a majority of them, shall have
power to decide all questions of law and fact arising upon the trial
and render judgment accordingly.“(c) If the party accused does not
elect to be tried by the court, he shall be tried by a jury of six
except that no person, charged with an offense which is punishable by
death or life imprisonment, shall be tried by a jury of less than
twelve without his consent.”
5. The
transcript indicates that court did not reconvene until 11:20 a.m. on
Monday and that, prior to that time, defense counsel had spoken with
the defendant twice.
6. The
defendant also draws our attention to Judge O'Keefe's statement, when
the defendant first proposed waiving a jury, that the judge would not
be part of the three judge panel “[g]iven [his] involvement so far in
the case․” Because Judge O'Keefe ultimately was chosen to serve on
that panel, the defendant argues that his waiver was based on
prejudicial misinformation. Because, as we hold in part II of this
opinion, a reasonable person would not conclude that a judge's
pretrial involvement in a case and the knowledge thereby gained
necessarily impairs his or her impartiality, this claim is meritless.
7. We
disagree that the defendant's claim is preserved simply because his
waiver of his right to a jury was made contrary to his counsels'
advice. Counsel raised no formal objections to the waiver during the
colloquy. Furthermore, at no time during the penalty phase proceedings
that followed the waiver did the defendant or his counsel move to
revoke that waiver, or attempt to introduce any evidence that might
have called its effectiveness into question. Finally, after the
panel's imposition of sentence, the defendant did not file a motion to
vacate the judgment and cause the proceedings to be set for a jury
trial on the ground that he “was not fully cognizant of his rights” at
the time of his jury waiver or because “the proper administration of
justice require[d]” such a result. General Statutes § 54–82b (b); see
also State v. Ouellette, 271 Conn. 740, 751 n. 16, 859 A.2d 907 (2004)
(§ 54–82b [b] applicable after commencement of trial “to remedy any
[jury] waiver that was invalid”).
8. Pursuant
to State v. Golding, supra, 213 Conn. at 239–40, “a defendant can
prevail on a claim of constitutional error not preserved at trial only
if all of the following conditions are met: (1) the record is adequate
to review the alleged claim of error; (2) the claim is of
constitutional magnitude alleging the violation of a fundamental
right; (3) the alleged constitutional violation clearly exists and
clearly deprived the defendant of a fair trial; and (4) if subject to
harmless error analysis, the state has failed to demonstrate
harmlessness of the alleged constitutional violation beyond a
reasonable doubt. In the absence of any one of these conditions, the
defendant's claim will fail.” (Emphasis in original.)
9. In
addition to seeking Golding review, the defendant argues that the
trial court committed plain error in accepting his jury waiver.
Because we conclude that the defendant validly waived his right to a
jury, it necessarily follows that the trial court did not commit plain
error. See State v. Woods, supra, 297 Conn. at 589 n. 5; see also
State v. Corona, 69 Conn.App. 267,274–75, 794 A.2d 565, cert. denied,
260 Conn. 935, 802 A.2d 88 (2002).
10. “The
most basic rights of criminal defendants are ․ subject to waiver․ A
criminal defendant may knowingly and voluntarily waive many of the
most fundamental protections afforded by the [c]onstitution. See,
e.g., Ricketts v. Adamson, 483 U.S. 1, 10 [107 S.Ct. 2680, 97 L.Ed.2d
1] (1987) (double jeopardy defense waivable by pretrial agreement);
Boykin v. Alabama, 395 U.S. 238, 243 [89 S.Ct. 1709, 23 L.Ed.2d274]
(1969) (knowing and voluntary guilty plea waives privilege against
compulsory self-incrimination, right to jury trial, and right to
confront one's accusers); Johnson v. Zerbst, 304 U.S. 458, 465 [58
S.Ct. 1019, 82 L.Ed. 1461] (1938) ( [s]ixth [a]mendment right to
counsel may be waived).” United States v. Mezzanatto, 513 U.S. 196,
201, 115 S.Ct. 797, 130 L.Ed.2d 697 (1995).
11. Connecticut
is not alone in permitting defendants to waive jury rights in capital
sentencing proceedings, provided the waiver is knowing, voluntary and
intelligent; see, e.g., Peraita v. State, 897 So.2d 1161, 1195–96
(Ala.Crim.App.2003); Winkles v. State, 21 So.3d 19, 23 (Fla.2009);
People v. Maxwell, 173 Ill.2d 102, 119, 670 N.E.2d 679 (1996), cert.
denied, 520 U.S. 1174, 117 S.Ct. 1445, 137 L.Ed.2d 551 (1997); Baker
v. State, 367 Md. 648, 690, 790 A.2d 629, cert. denied, 535 U.S. 1050,
122 S.Ct. 1814, 152 L.Ed.2d 817 (2002); Bishop v. State, 812 So.2d
934, 945 (Miss.), cert. denied, 537 U.S. 976, 123 S.Ct. 468, 154
L.Ed.2d 335 (2002); Mack v. State, 119 Nev. 421, 427, 75 P.3d 803
(2003); State v. Ketterer, 111 Ohio St.3d 70, 72, 855 N.E.2d 48
(2006); and the defendant does not contest generally the propriety of
jury waiver in the capital punishment context. We agree with the
defendant, however, that a trial court should be particularly cautious
when considering whether to permit a capital defendant to waive a
sentencing jury. See Patton v. United States, supra, 281 U.S. at
312–13 (observing that caution exercised by court, in accepting jury
waiver, should “increas [e] in degree as the offenses dealt with
increase in gravity”); cf. California v. Ramos, 463 U.S. 992,998–99,
103 S.Ct. 3446, 77L. Ed.2d 1171(1983) (“the qualitative difference of
death from all other punishments requires a correspondingly greater
degree of scrutiny of the capital sentencing determination”).Although
some of the foregoing cases and other capital cases cited in this
opinion predate Ring v. Arizona, supra, 536 U.S. at 609, which
established that there is a constitutional, and not merely a
statutory, right to have a jury find aggravating factors in the
penalty phase of a capital trial, the standard for determining whether
a jury waiver is valid is the same regardless of whether the right is
constitutional or statutory in origin. See People v. Robertson, 48
Cal.3d 18, 36, 767 P.2d 1109, 255 Cal.Rptr. 631 (applying knowing,
voluntary and intelligent standard to waiver of statutory right, prior
to Ring, to capital penalty phase jury), cert. denied, 493 U.S. 879,
110 S.Ct. 216, 107 L.Ed.2d 169 (1989); People v. Maxwell, supra, 173
Ill.2d at 117 (“[d]espite the different origins of a defendant's
[constitutional] right to a jury at the guilt phase of the proceedings
and his [statutory] right [prior to Ring] to a jury at the capital
sentencing hearing, the waiver of either right to a jury must be
knowing, intelligent, and voluntary”); Jones v. State, 310 Md. 569,
597, 530 A.2d 743 (1987) (to be effective, waiver of statutory right,
prior to Ring, to capital sentencing jury must be knowing and
voluntary), vacated on other grounds, 486 U.S. 1050, 108 S.Ct. 2815,
100 L.Ed.2d 916 (1988); Commonwealth v. O'Donnell, 559 Pa. 320, 345,
740 A.2d 198 (1999) (finding, prior to Ring, “that a capital
defendant's waiver [of] his statutory right to a penalty-phase jury
must be knowing, voluntary and intelligent”); see also United States
v. Mezzanatto, 513 U.S. 196, 210–11, 115 S.Ct. 797, 130 L.Ed.2d 697
(1995) (upholding criminal defendant's waiver of protections afforded
by court rule where defendant had conferred with counsel prior to
waiver and “has never complained that he entered into the waiver
agreement at issue unknowingly or involuntarily”).
12. We
emphasize that, because the defendant never sought to withdraw his
jury waiver as invalidly effected; see footnote 7 of this opinion; the
question presented by his unpreserved claim “is not in full measure
whether [he] acted knowingly and intelligently in waiving a jury
trial, as in cases where an evidentiary hearing upon that subject has
been held.” State v. Marino, 190 Conn. 639, 643, 462 A.2d 1021(1983).
Rather, “[w]e must decide whether the bare appellate record before us
furnishes sufficient assurance of an effective waiver at least to
satisfy constitutional requirements for the disclosure of such a
waiver on the record.” Id., at 644. Our focus is on “the adequacy of
the record to show a waiver of a jury trial when its effectiveness is
first questioned on appeal without the benefit of a factual
exploration of that issue at some evidentiary proceeding.” Id., at
646.
13. The
record indicates that the defendant had worked even prior to reaching
the minimum age for employment, beginning when he was fourteen years
old.
14. We
disagree with the defendant's assertion that his counsel's opposition
to his jury waiver “is a factor ․ showing that the waiver was not
intelligently entered.” A waiver of jury rights made contrary to the
advice of counsel is not necessarily unknowing or unintelligent; see,
e.g., State v. Smith, supra, 100 Conn.App. at 313; even in a capital
case. See Peraita v. State, 897 So.2d 1161, 1196–97
(Ala.Crim.App.2003), aff'd, 897 So.2d 1227 (Ala.2004); Thanos v.
State, 330 Md. 77, 91–94, 622 A.2d 727 (1993). In fact, the right to a
jury is personal to a criminal defendant, and it is his decision alone
whether to waive it. See State v. Gore, supra, 288 Conn. at 777; see
also Rules of Professional Conduct 1.2(a). Moreover, as a logical
matter, we expect that counsel opposed to a defendant's proposed
waiver would provide every piece of information possible as to the
perceived advantages of a jury trial in attempting to dissuade the
defendant from waiving a jury. Even if disregarded, such advice would
lead to a more informed, and therefore more intelligent, waiver. We
note that “a decision [to waive a jury] need not be wise to be legally
‘intelligent.’ “ Thanos v. State, supra, at 94.
15. In
this regard, the defendant's assertions on appeal that he acted
“impulsively ․ with minimal consultation with his attorneys” and that
he “knew very little about what he was doing” are directly
contradicted by the record.
16. The
defendant argues that the following are among the circumstances that
contributed to the involuntariness of his decision to waive his right
to a jury: Due to the defendant's incarceration since the age of
eighteen, his psychological development was not that of a normal
adult; the transportation of the defendant each day from prison to
voir dire proceedings and the restraints that he wore during those
proceedings left him feeling despondent; the trial court employed a
lighthearted, humorous or sarcastic tone in overseeing the voir dire
proceedings, lessening their seriousness and making the defendant feel
that his life was unimportant; the trial court remarked unevenly on
prospective jurors' views of capital punishment, speaking more
positively to those who favored it than to those who opposed it; and
the appearance that jury selection would continue indefinitely.We have
reviewed carefully the entire record of the proceedings prior to the
defendant's jury waiver. As to some of the assertions, we conclude
that they simply are contrary to the record. For example, we disagree
with the defendant's characterization of the trial court's demeanor. A
review of the voir dire transcripts reveals an overall concern with
fairness and seriousness that permeated the entire proceedings, no
palpable sarcasm, and only isolated examples of brief and mildly
humorous quips that occurred with minimal frequency.Moreover, we
discern no pattern of more positive comments by the court to jurors
who favored capital punishment. First, very few prospective jurors
expressed definitive views on capital punishment. Rather, in response
to the multiple similar questions posed by counsel, most panel
members' answers best can be described as nuanced, internally
inconsistent and/or equivocal. Likewise, the trial court's comments to
prospective jurors, while generally positive and encouraging, also
vary and defy neat categorization. Finally, the specific comments that
the defendant deems more favorable were directed at times to potential
jurors that the defendant had dismissed, and at other times to
potential jurors that the state had dismissed. In short, the
defendant's characterization of the pattern of the court's comments is
highly subjective and not verifiable.The record is also contrary to
the defendant's assertion that it appeared that voir dire would drag
out for another ten weeks. On April 13, 2005, the eighteenth day of
jury selection and two days before the defendant's initiation of a
jury waiver, an on the record discussion between the court and counsel
at the close of the day indicated that jury selection was proceeding
at a typical rate for a capital case. On April 14, 2005, the
nineteenth day of jury selection and one day prior to the defendant's
waiver, the court indicated that seven of twelve jurors had been
chosen. The court thereafter indicated, as it had repeatedly
throughout the voir dire proceedings, that it expected to have a jury
chosen and to begin the penalty phase proceedings on May 9, 2005, in
other words, within three to four weeks. On the morning of the day the
defendant chose to waive a jury, an eighth juror was chosen. In sum,
it was clear that jury selection would not continue much
longer.Turning to the remaining circumstances cited by the defendant
as allegedly contributing to the involuntariness of his jury waiver,
because the defendant never complained about those circumstances
during the penalty phase proceedings and his counsel never raised any
question as to his competence generally or his ability to validly
waive his rights, the record is completely silent as to what effect,
if any, the conditions of his incarceration, transport and restraint
might have had on the defendant's personal development or his decision
to waive his right to a jury. This court cannot, as the defendant
requests, rely on excerpts from social science texts or journal
articles that were not recognized as authoritative by an expert and
admitted into evidence during the penalty phase proceedings; see
Conn.Code Evid. § 8–3(8); see also Pestey v. Cushman, 259 Conn. 345,
367, 788 A.2d 496 (2002); to make factual findings regarding the
defendant's state of mind for the first time on direct appeal. It is
axiomatic that this court does not find facts. State v. Joyce, 229
Conn. 10, 27 n. 19, 639 A.2d 1007 (1994). Moreover, although we
understand the defendant's desire to supplement the factual record
with new materials supportive of his unpreserved claim, “well
established principles governing appellate review of factual decisions
preclude us from utilizing this material to find facts on appeal. See,
e.g., State v. Dillard, 66 Conn.App. 238, 248 n. 11, 784 A.2d 38 (that
information was not before the trial court, and, on appeal, we do not
take new evidence), cert. denied, 258 Conn. 943, 786 A.2d 431(2001);
C. Tait & E. Prescott, Connecticut Appellate Practice and Procedure
(3d Ed.2000) § 8.8(a), pp. 305–306 (an appellate court does not retry
a case, admit new evidence or weigh the evidence).” (Internal
quotation marks omitted.) State v. Ovechka, 292 Conn. 533, 547 n. 19,
975 A.2d 1 (2009); see also Moore v. Moore, 173 Conn. 120, 122, 376
A.2d 1085 (1977) (adjudicative facts, i.e., those concerning parties
and events of particular case, are not subject to judicial notice,
without affording parties opportunity to be heard); E. Margolis,
“Beyond Brandeis: Exploring the Uses of Non–Legal Materials in
Appellate Briefs,” 34 U.S.F. L.Rev. 197, 216 (2000) (“it is clear that
non-legal information introduced for the purpose of assessing
adjudicative facts should be presented to the trial court, and not on
appeal”).If the defendant possesses compelling evidence in support of
this claim, the claim is better pursued in a collateral proceeding
where a hearing can be held and the evidence evaluated by a trier of
fact. See, e.g., Lewis v. Commissioner of Correction, 117 Conn.App.
120, 123–24, 977 A.2d 772 (considering invalid jury waiver claim as
part of ineffectiveness of counsel claim in habeas corpus proceeding;
evidence was developed regarding what counsel told defendant and
whether defendant felt pressured to waive jury), cert. denied, 294
Conn. 904, 982 A.2d 647 (2009); see also Jells v. Mitchell, 538 F.3d
478, 509–10 (6th Cir.2008) (considering, in habeas proceeding,
evidence outside trial record, including affidavits from defendant and
counsel, to evaluate claim that counsel was ineffective in advising
defendant to waive jury for capital sentencing proceeding); Moreland
v. Bradshaw, 635 F. Sup.2d 680, 698–705 (S.D.Ohio 2009) (considering,
in habeas proceeding, testimony from defense counsel and prosecutors
to determine whether defendant's jury waiver was invalid because he
was under influence of sodium pentothal); Ciummei v. Commonwealth, 378
Mass. 504, 511–14, 392 N.E.2d 1186 (1979) (considering, in writ of
error proceeding, evidence outside trial record in support of claim
that defendant's jury waiver was not knowing and voluntary).
17. In
the event of a hung jury in the penalty phase of a capital trial, the
trial court has three options: “it may declare a mistrial; it may make
factual findings ‘acquitting’ the defendant of the death penalty; or
it may exercise its discretion, pursuant to General Statutes § 54–56,
to dismiss the death penalty proceeding.” State v. Daniels, 209 Conn.
225, 231, 550 A.2d 885 (1988), cert. denied, 489 U.S. 1069, 109 S.Ct.
1349, 103 L.Ed.2d 817 (1989). Accordingly, it is possible that a hung
jury will lead to the imposition of a sentence of less than death
either with, or without, the necessity of a retrial.
18. Apparently,
the brain imaging test produced no mitigating evidence.
19. Rule
23(a) of the Federal Rules of Criminal Procedure, which reflects the
holding of Patton v. United States, supra, 281 U.S. at 312, requires
that: (1) the defendant knowingly, intelligently and voluntarily waive
his right to a jury; (2) the prosecution consent to any waiver; (3)
the trial court accept the waiver; and (4) the waiver be written.
These requirements have “frequently been held constitutionally
adequate․” State v. Ouellette, supra, 271 Conn. at 756.Corresponding
Connecticut provisions similarly do not mandate a canvass. General
Statutes § 54–82b (b) requires only that the defendant, at the time he
is put to plea, be “advise[d] ․ of his right to trial by jury․”
Similarly, Practice Book § 42–1 directs that upon election of a court
trial, “the judicial authority shall advise the defendant of his or
her right to a trial by jury and that a failure to elect a jury trial
․ may constitute a waiver of that right․” As noted in this opinion, a
capital defendant's waiver of a sentencing jury requires both the
consent of the state and the approval of the court. General Statutes
(Rev. to 1997) § 53a–46a (b). Additionally, like the Connecticut and
the federal rules, the American Bar Association Standards for Criminal
Justice do not provide for a canvass. See A.B.A., Standards for
Criminal Justice: Discovery and Trial by Jury (3d Ed.1996) standard
15–1.2
20. The
United States Court of Appeals for the Second Circuit has “recommended
that a district court go beyond a written waiver and individually
inform each defendant, on the record, of the fundamental attributes of
a jury trial before accepting a waiver.” (Internal quotation marks
omitted.) United States v. Carmenate, supra, 544 F.3d at 107; see also
United States v. Lilly, 536 F.3d 190, 197 (3d Cir.2008) (noting that
Courts of Appeal for the First, Second, Third, Fourth, Sixth, Seventh,
Ninth, Tenth, and D.C. Circuits all have endorsed “[s]ome form of
waiver colloquy” in order to build record that defendant's waiver of
his right to jury trial is knowing, voluntary, and intelligent).
21. This
court long ago observed that “personal interrogation of the defendant
to determine his understanding of the significance of his execution of
the [jury] waiver form” was the preferable approach, although it was
not constitutionally required. State v. Marino, supra, 190 Conn. at
644. “Undoubtedly,” we opined, “a more comprehensive colloquy [than
the minimal one at issue in Marino] is generally desirable where a
defendant elects trial without a jury.” Id., at 641 n. 1, 646.
Consistent with that suggestion, canvassing a defendant who wishes to
waive his jury rights appears to have been standard practice in
Connecticut even prior to our decision in Gore.
22. “Waiver
of a jury, although certainly an important election, still leaves in
place another form of fact finding; it has not as much weight or
consequence as a guilty plea, which is tantamount to a conviction and
involves implicitly ․ the waiver of three constitutional rights—to
confront adverse witnesses, to be free of compulsion to testify
against oneself, and to be tried by jury․” Ciummei v. Commonwealth,
378 Mass. 504, 508, 392 N.E.2d 1186 (1979); cf. United States v.
Olano, 507 U.S. 725, 733, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993)
(“[w]hether a particular right is waivable; whether the defendant must
participate personally in the waiver; whether certain procedures are
required for waiver; and whether the defendant's choice must be
particularly informed or voluntary, all depend on the right at
stake”).
23. Our
opinion in Gore was released on September 23, 2008. The defendant was
canvassed as to his waiver of his right to a jury on April 18, 2005.
24. We
also remain cognizant that this case, unlike Gore, involves the death
penalty, and we reiterate that in capital cases, courts should be
particularly cautious in accepting a jury waiver, in part by
canvassing the defendant thoroughly to ensure the waiver is knowing,
voluntary and intelligent. At the same time, “although capital cases
do require a more extensive colloquy than other types of cases, the
simple fact that the case is capital does not mandate an exhaustive
colloquy.” Sowell v. Bradshaw, 372 F.3d 821, 834 (6th Cir.2004), cert.
denied, 544 U.S. 925, 125 S.Ct. 1645, 161 L.Ed.2d 485 (2005); see also
State v. Ketterer, 111 Ohio St.3d 70, 75,855 N.E.2d 48 (2006) (in
death penalty case, defendant “need not have a complete or technical
understanding of the jury trial right in order to knowingly and
intelligently waive it” nor is “trial court required to inform the
defendant of all the possible implications of waiver” [internal
quotation marks omitted] ). This is because the trial court may rely
not just on the colloquy, but on the totality of the circumstances,
when determining whether the defendant's choice is constitutionally
sound. State v. Gore, supra, 288 Conn. at 776.
25. “See
Brady v. United States, 397 U.S. [742, 757, 90 S.Ct. 1463, 25 L.Ed.2d
747 (1970) ] (defendant misapprehended the quality of the [s]tate's
case); [id.] (defendant misapprehended the likely penalties); [id.]
(defendant failed to anticipate a change in the law regarding relevant
punishments); McMann v. Richardson, 397 U.S. 759, 770 [90 S.Ct. 1441,
25 L.Ed.2d 763] (1970) (counsel misjudged the admissibility of a
confession); United States v. Broce, 488 U.S. 563, 573 [109 S.Ct. 757,
102 L.Ed.2d 927] (1989) (counsel failed to point out a potential
defense); Tollett v. Henderson, 411 U.S. 258, 267 [93 S.Ct. 1602, 36
L.Ed.2d 235] (1973) (counsel failed to find a potential constitutional
infirmity in grand jury proceedings).” (Internal quotation marks
omitted.) United States v. Ruiz, supra, 536 U.S. at 630–31.
26. The
defendant argues that this court cannot assume that his counsel
advised him of the various consequences of his jury waiver “[i]n the
absence of any evidence that counsel did so,” and where there is “no
suggestion on the record to support that presumption.” The current
record, however, offers many such suggestions. Prior to being
canvassed by the trial court, the defendant met twice with his counsel
for a period he described variously as “much time” and “[p]lenty of
time,” and, thereafter, he repeatedly refused the court's offers of
more time in which to confer. After meeting with his counsel, the
defendant stated that “the law has been explained to me by both of my
lawyers, very thoroughly”; that counsel “thoroughly explained the
differences between a jury trial and a court trial”; and that counsel
had provided explanations both “in writing and verbally․” The
defendant stated further that he “fe[lt] very satisfied that [he had]
been given every bit of information to make this decision, and [that
he had] no further questions to [his] lawyers․” Defense counsel
confirmed on the record that they had “explained the various
ramifications of the [waiver] decision” to the defendant and that they
had “explained what [the defendant] said [they] explained.”When a
defendant indicates that he has been advised by counsel and is
satisfied with the advice received, the trial court is entitled to
rely on that representation in determining whether a jury waiver is
knowing and intelligent. See State v. Woods, supra, 297 Conn. at 586
(“[t]he fact that the defendant was represented by counsel and that he
conferred with counsel concerning waiver of his right to a jury trial
supports a conclusion that his waiver was constitutionally sound”);
State v. Ouellette, supra, 271 Conn. at 758 (“[W]e cannot assume that
in performing his duty of competent representation [defense] counsel
did not advise the defendant of the consequences of his choice, even
to the extent of the refinements the defendant now demands․ In
addition, we will not assume that the defendant did not fully discuss
the decision to forgo a jury trial with defense counsel.” [Citation
omitted; internal quotation marks omitted.] ); State v. Cobb, supra,
251 Conn. at 373 (“[a]lthough the presence of counsel does not by
itself mean that the defendant's interests and rights are protected ․
[t]he fact of counsel being present and having advised the defendant
[concerning jury waiver] is a factor to be considered in determining
the question of the need for or sufficiency of any admonition given by
the court” [internal quotation marks omitted] ); cf. Bradshaw v.
Stumpf, 545 U.S. 175, 183, 125 S.Ct. 2398, 162 L.Ed.2d 143 (2005)
(guilty plea is constitutionally invalid if defendant has not been
advised of elements of crime, but court need not advise defendant
personally; “the constitutional prerequisites of a valid plea may be
satisfied where the record accurately reflects that the nature of the
charge and the elements of the crime were explained to the defendant
by his own, competent counsel”).
27. See
North Carolina v. Alford, 400 U.S. 25, 37, 91 S.Ct. 160, 27 L.Ed.2d
162 (1970) (defendant pleading under Alford doctrine neither admits
guilt nor protests innocence, but merely acknowledges that state has
evidence sufficient to obtain conviction).
28. But
see Commonwealth v. O'Donnell, 559 Pa. 320, 346–47, 740 A.2d 198
(1999) (finding invalid waiver of capital sentencing jury where trial
court, in addition to failing to advise defendant of unanimity
requirement for death sentence, failed to engage in any two-way
dialogue to ensure that defendant knew what right she was waiving,
that she had discussed it with her counsel or that she in fact had
chosen to waive it; in short, “there was no meaningful colloquy of
[the defendant] and no indication that she understood the significance
of her decision”); see also State v. Martinez, 132 N.M. 32, 39, 43
P.3d 1042 (2002) (holding, without considering totality of
circumstances, that trial court's failure to advise capital defendant
of unanimity requirement for death sentence “rendered his jury waiver
unknowing and unintelligent”).
29. In
support of his argument that the trial court was required to explain
to him the possible consequences of a hung jury, the defendant cites
Harris v. State, 295 Md. 329, 339–40, 455 A.2d 979 (1983). We have
reviewed carefully that decision, as well as additional relevant case
law, and conclude that the authority favoring the defendant's position
is either distinguishable or unpersuasively reasoned. In Harris, the
Maryland Supreme Court concluded that a capital defendant's jury
waiver was invalid because the trial court had failed to advise him
that, in the event of a hung jury, the court statutorily was required
to impose a life sentence. Id.; see also Trimble v. State, 321 Md.
248, 261, 582 A.2d 794 (1990) (applying Harris to conclude similarly
where trial court had misadvised defendant that its decision to impose
life sentence in event of hung jury was discretionary rather than
mandatory); Piper v. Weber, 771 N.W.2d352, 356–60 (S.D.2009) (citing
Harris to conclude similarly where trial court, in addition to failing
to advise defendant that statute required sentence of life
imprisonment in event of hung jury, had misadvised him that jury would
have to agree unanimously to either life imprisonment or death
sentence and, further, defense counsel had misadvised him that, if he
pleaded guilty, he had no right to penalty phase jury).In other cases,
the reviewing courts have held, contrary to Harris, that an otherwise
valid waiver was not undermined by a trial court's failure to advise a
capital defendant that, pursuant to statute, a life sentence
automatically would result if the jury did not agree unanimously to a
death sentence. See Whitehead v. Cowan, 263 F.3d 708, 732 (7th
Cir.2001) (noting that Illinois courts previously have reached that
conclusion, and also have declined to require that defendant be
informed that jury's decision to impose death penalty must be
unanimous), cert. denied, 534 U.S. 1116, 122 S.Ct. 927, 151 L.Ed.2d
890 (2002); see also People v. Shatner, 174 Ill.2d 133, 154, 673
N.E.2d 258 (1996) (Illinois courts repeatedly have held that defendant
need not be expressly advised that vote of single juror may preclude
imposition of death penalty).In People v. Robertson, supra, 48 Cal. at
3d 36–38, the Supreme Court of California rejected the defendant's
claim that his waiver of his right to a jury was invalid because the
trial court failed to advise him of the statutory requirement that
life imprisonment be imposed in the event of a jury deadlock. The
court examined the totality of the circumstances before upholding the
validity of the waiver, and noted specifically: that the defendant was
represented by two apparently competent counsel who, over the course
of several days, had discussed with him “ ‘at length’ “ the nature and
consequences of the waiver; that counsel had expressed on the record
their sound tactical reasons for recommending a jury waiver; and that
the trial court, before accepting the waiver, engaged in an extensive
colloquy with the defendant to determine that his waiver was knowing,
voluntary and intelligent. Id. That court concluded that the rule
sought by the defendant was “too stringent for any situation,” because
“no waiver requires the court to explain every single conceivable
benefit and burden of the choice being made.” Id., at 38. The court
explicitly declined to follow the reasoning of Harris as
“unpersuasive․” Id., at 38 n. 6.All of the preceding decisions,
regardless of whether they tend to support or favor the defendant's
position, are distinguishable because they involved statutory mandates
that life sentences be imposed in the event of jury deadlock, whereas
in Connecticut, that result is but one of three discretionary options
available to the trial court. State v. Daniels, 209 Conn. 225, 231,
550 A.2d 885 (1988), cert. denied, 489 U.S. 1069, 109 S.Ct. 1349, 103
L.Ed.2d 817 (1989). Moreover, we agree with the Supreme Court of
California that Harris is contrary to the law governing jury waivers
and, like that court, we decline to follow it. When determining in
Harris that the defendant's jury waiver was invalid, the Court of
Appeals of Maryland cited no authority, conducted no analysis of the
totality of the circumstances and instead reasoned simply that the
information omitted from the canvass “may very well [have been]
significant” to one facing a possible death sentence. Harris v. State,
supra, 295 Md. at 340. Although this statement may be true, it is not,
as we have explained herein, the test for a constitutionally valid
waiver. See Iowa v. Tovar, supra, 541 U.S. at 92 (defendant need not
have full and complete appreciation of all consequences flowing from
waiver); United States v. Ruiz, supra, 536 U.S. at 629 (defendant need
not know specific detailed consequences of invoking waived right);
Johnson v. Zerbst, supra, 304 U.S. at 464 (court must consider
totality of circumstances in assessing validity of waiver); State v.
Gore, supra, 288 Conn. at 776–77 (same); see also Harris v. State,
supra, at 341 (Murphy, C. J., dissenting) (describing majority
analysis as “badly strained and totally at odds with the governing
law”). Because Trimble and Piper rely on Harris, and also because they
are factually distinguishable, we similarly consider them to be
unpersuasive.
30. Channing
explained his concern to the trial court as follows: “I know that I
posited the question [of whether the defendant wanted a life sentence
without the possibility of release or to be executed] ․ to him, and he
said he wanted justice, and I described the adversarial—you know,
process to him that requires us to pull hard for our side, and I
couldn't get him to say, well, you know, I want to live, you know, I
want—I want a sentence of life without the possibility of release.“I
mean, I understand he trusts—he trusts the judiciary and I'm not
saying he shouldn't. I'm just saying that we prepared this case for a
unanimous verdict for [twelve] people, for [twelve] different kinds of
people, people that I don't—I don't think that will necessarily—we
won't have any input into choosing for a three judge panel, and I
think his chances are much better for the jury, and I couldn't get him
to say that that's what he wants, he wants-that he wants the best
chance as possible. He just says he wants justice.”
31. The
defendant's claim that he actively sought a death sentence also is
belied by the record of the proceedings subsequent to his jury waiver.
Specifically, there is no indication that the defendant in any way
prevented his counsel from putting forth the best case possible on his
behalf. Rather, the defendant permitted his counsel to file two
separate motions to impose a life sentence, to introduce extensive
evidence and to submit a list of forty-five suggested mitigating
factors for the panel's consideration. In this regard, the present
case is readily distinguishable from those cited by the defendant
involving defendants' refusals to present mitigating evidence, to
pursue appeals or to challenge obviously unconstitutional statutes.
32. Practice
Book § 1–22 provides in relevant part: “(a) A judicial authority
shall, upon motion of either party or upon its own motion, be
disqualified from acting in a matter if such judicial authority is
disqualified from acting therein pursuant to Rule 2.11 of the Code of
Judicial Conduct or because the judicial authority previously tried
the same matter and a new trial was granted therein or because the
judgment was reversed on appeal. A judicial authority may not preside
at the hearing of any motion attacking the validity or sufficiency of
any warrant the judicial authority issued nor may the judicial
authority sit in appellate review of a judgment or order originally
rendered by such authority․”Practice Book § 1–23 provides: “A motion
to disqualify a judicial authority shall be in writing and shall be
accompanied by an affidavit setting forth the facts relied upon to
show the grounds for disqualification and a certificate of the counsel
of record that the motion is made in good faith. The motion shall be
filed no less than ten days before the time the case is called for
trial or hearing, unless good cause is shown for failure to file
within such time.”
33. There
is no indication in the record as to what, precisely, the brain
imaging tests revealed. The defendant argues, however, that because
Judge O'Keefe knew that the testing had been done and, thereafter, no
evidence derived from the testing was introduced at the penalty phase
hearing, the judge “could not avoid concluding that the results were
not favorable to the defendant and did not establish a developmental
problem.”
34. The
defendant also claims that Judge O'Keefe's more favorable comments
toward jurors who spoke positively about capital punishment and his
failure to maintain the seriousness of the proceedings exacerbated the
appearance of impropriety created by his having presided over voir
dire. Because we concluded in part II of this opinion that the
defendant's characterization of Judge O'Keefe's comments and the voir
dire proceedings is inapt, we need not address this argument.
35. Although
the defendant cites the due process clauses of both the state and
federal constitutions, he has not provided an independent analysis of
the state claim as required by State v. Geisler, 222 Conn. 672, 685,
610 A.2d 1225 (1992). Accordingly, we will consider the due process
argument only pursuant to § 1 of the fourteenth amendment to the
United States constitution, which provides in relevant part: “No State
shall ․ deprive any person of life, liberty or property, without due
process of law․” See State v. Canales, 281 Conn. 572, 592–93 n. 12,
916 A.2d 767 (2007).
36. Pursuant
to General Statutes § 51–39(c), “[w]hen any judge ․ is disqualified to
act in any proceeding before him, he may act if the parties thereto
consent in open court.” We repeatedly have held that a party's failure
to object to a particular judge or to move for his recusal prior to or
during trial is the functional equivalent of consent. See, e.g., State
v. Fitzgerald, 257 Conn. 106, 117, 777 A.2d 580 (2001); Timm v. Timm,
195 Conn. 202, 205, 487 A.2d 191 (1985); State v. Kohlfuss, 152 Conn.
625, 630–31, 211 A.2d 143 (1965). The reason is that “[i]t would be
inequitable to permit the defendant to notice the purported bias,
proceed to trial, hoping to prevail on the merits, and then, after
losing at trial, request a reversal for the alleged bias not objected
to earlier.” State v. Fitzgerald, supra, at 117.
37. One
commentator explains: “The United States Supreme Court has never held
that an appearance of bias on the part of a state trial court judge,
alone, violates the [c]onstitution; that is, there is no Supreme Court
decision which clearly establishes that an appearance of bias or
partiality, where there is no actual bias, violates the [d]ue
[p]rocess [c]lause or any other constitutional provision. While the
[c]ourt has occasionally suggested, in dicta, that something less than
actual bias could result in a due process violation, such references
appear to be limited to situations in which the circumstances were
such as to give rise to a strong probability of actual bias.” R.
Flamm, Judicial Disqualification: Recusal and Disqualification of
Judges (2010 Sup.) § 2.5.2, pp. 22–24. In short, “an appearance of
bias, in and of itself, will never offend the [d]ue [p]rocess
[c]lause.” Id., p. at 25; see also State v. Canales, 281 Conn. 572,
595–96, 916 A.2d 767 (2007) (declining to find due process violation
for judge's failure to recuse where defendant claimed no actual bias).
38. See,
e.g., General Statutes § 51–183c (requiring different judge, in case
of court trial, after new trial is granted or judgment is reversed on
appeal and, in case of jury trial, after new trial is granted);
General Statutes § 51–183h (disallowing judge from hearing motion
attacking validity or sufficiency of arrest warrant that he or she
signed); Practice Book § 1–19 (requiring, for trial of nonsummary
contempt charges, different judge than judge who issued order that was
disobeyed or who oversaw proceedings during which contempt was
committed); Code of Judicial Conduct 2.11(a)(5)(A) (requiring
disqualification when judge previously acted as attorney in same
matter); see State v. Niblack, 220 Conn. 270, 280, 596 A.2d 407 (1991)
(judge who participates in negotiation of plea agreement between state
and criminal defendant should not preside at trial and sentencing if
negotiations are unsuccessful); Timm v. Timm, 195 Conn. 202, 204, 487
A.2d 191 (1985) (judge who engages in pretrial settlement discussion
in court case should disqualify himself or herself from presiding over
case, although disqualification may be waived by parties).
39. Similarly,
courts routinely hold that a judge's familiarity with a criminal
defendant and his or her prior offenses through participation in a
separate, earlier trial of the defendant; see, e.g., State v. Webb,
238 Conn. 389, 461, 680 A.2d 147 (1996); see also annot., 85 A.L.R.5th
560, § 2[a] (2001); or with his or her current offenses through
participation in the trial of a codefendant; see, e.g., Boyd v. State,
321 Md. 69, 78–80, 581 A.2d 1 (1990); see also annot., 72 A.L.R.4th
657–61, § 2[a] and [b] (1989); does not create grounds for
disqualification.
40. In
Liteky v. United States, supra, 510 U.S. at 541, the United States
Supreme Court was considering whether a judge's recusal was warranted
under 28 U.S.C. § 455(a), which contains disqualification guidelines
similar to those found in rule 2.11(a) of the Code of Judicial
Conduct.
41. “The
primary reason for the rule permitting judges who have presided over
earlier proceedings in a case to continue to sit in later proceedings
in the same matter is simple and straightforward: Were the rule
otherwise, a judge could never reach the end of a case without being
disqualified through exposure to it during its earlier stages.
Litigation, moreover, frequently unveils uncomplimentary facts about
individuals and their cases. Should disqualification result merely
because such facts were learned during the course of litigation—or
because conclusions were ultimately reached on the basis of those
facts—the law of judicial disqualification would likely cause the
judicial system to grind to a halt.” R. Flamm, supra, § 12.7, at p.
322.
42. In
support of this claim, the defendant has submitted a transcript from
the later proceeding. We agree with the defendant that this court may
take judicial notice of files or records of the Superior Court in the
same or other cases. See, e.g., Ajadi v. Commissioner of Correction,
supra, 280 Conn. at 522 n. 13. Accordingly, we have reviewed the
transcript.
43. The
following provides further context for that comment. In the course of
criticizing Foster for not admitting his crimes, Judge O'Keefe
explained that he considered the testimony of Foster's incarcerated
coconspirators, who had implicated Foster, to be credible. He then
stated: “When you arrest murderers, get them under control in proper
settings like maximum security penitentiaries, they start to act close
to human beings. They're not human, but they come close. What you had
was these individuals coming in and attempting to do something decent.
They are still murderers. They still deserve to be punished for this.
But many had no motive for false testimony․”
44. Diego
Vas was convicted of, inter alia, murder in connection with the
shooting death of his six year old daughter. State v. Vas, 44
Conn.App. 70, 71, 687 A.2d 1295, cert. denied, 240 Conn. 910, 689 A.2d
474 (1997).
45. Mark
Chicano was convicted of, inter alia, felony murder in connection with
the beating and strangulation deaths of two adults and an eleven year
old child. State v. Chicano, 216 Conn. 699, 703–704, 584 A.2d 425
(1990), cert. denied, 501 U.S. 1254, 111 S.Ct. 2898, 115 L.Ed.2d 1062
(1991).
46. Eric
Steiger was convicted of, inter alia, murder in connection with the
shooting deaths of two men. State v. Steiger, 218 Conn. 349, 350–51,
355, 590 A.2d 408 (1991).
47. Adrian
Peeler was convicted of conspiracy to commit murder in connection with
the shooting deaths of a woman and her young son. State v. Peeler, 267
Conn. 611, 614, 619, 841 A.2d 181 (2004).
48. Because
there is a strong presumption that judges perform their duties
impartially, a claim that a judge was required to recuse himself or
herself on the basis of bias must be supported by more than mere
speculation; State v. Shabazz, 246 Conn. 746, 769, 719 A.2d 440
(1998), cert. denied, 525 U.S. 1179, 119 S.Ct. 1116, 143 L.Ed.2d 111
(1999); conclusory opinion; State v. Ortiz, supra, 83 Conn.App. at
151; or representations of counsel. State v. Weber, 6 Conn.App. 407,
413, 505 A.2d 1266, cert. denied, 199 Conn. 810, 508 A.2d 771 (1986).
49. It
is axiomatic that a trial court's rulings adverse to a defendant
cannot in themselves demonstrate bias. See Liteky v. United States,
supra, 510 U.S. at 555; State v. Santangelo, supra, 205 Conn. at 602.
Accordingly, in the absence of something more, Judge O'Keefe's
determination that death was the appropriate sentence does not lend
support to the defendant's claim.
50. See
Practice Book § 43–10(6) (“[i]n cases where sentence review is
available [those involving sentences of three years or more; General
Statutes § 51–195], the judicial authority shall state on the record,
in the presence of the defendant, the reasons for the sentence
imposed”).
51. The
eighth amendment to the United States constitution prohibits, inter
alia, the infliction of “cruel and unusual punishments․”
52. Article
first, § 8, of the constitution of Connecticut provides in relevant
part that in all criminal prosecutions: “No person shall ․ be deprived
of life, liberty or property without due process of law․”Article
first, § 9, of the constitution of Connecticut provides in relevant
part: “No person shall be ․ punished, except in cases clearly
warranted by law.”We previously have held that these provisions,
Connecticut's due process clauses, impliedly prohibit punishment that
is cruel and unusual. State v. Ross, 230 Conn. 183, 246–47, 646 A.2d
1318 (1994), cert. denied, 513 U.S. 1165, 115 S.Ct. 1133, 130 L.Ed.2d
1095 (1995).
53. As
part of the present claim, the defendant argues that this court
improperly changed the meaning of § 53a–46a (i)(4) in Ross, after
defining the factor in Breton. We previously rejected a similar claim.
State v. Cobb, supra, 251 Conn. at 445–46. The defendant argues
further that applying the limiting construction of § 53a–46a (i)(4)
set forth in State v. Cobb, supra, at 445, to his case amounts to a
retroactive application of a substantive change in the law that
violates his right to due process because the opinion in Cobb
postdates the defendant's criminal conduct. See, e.g., Bouie v.
Columbia, 378 U.S. 347, 352, 84 S.Ct. 1697, 12 L.Ed.2d 894 (1964)
(unforeseeable and retroactive expansion of scope of criminal statute
by judicial construction violates due process). We disagree because
this construction appeared first in Ross, which predates the
defendant's criminal conduct. See State v. Cobb, supra, at 443. In
addition, because the core construction in Breton was not intended to
be comprehensive; see id., at 444–46; the subsequent elaboration
cannot reasonably be characterized as “unexpected and indefensible by
reference to the law which had been expressed prior to the
[defendant's criminal] conduct”; (internal quotation marks omitted)
State v. Courchesne, 296 Conn. 622, 724, 998 A.2d 1 (2010); or as “a
marked and unpredictable departure from prior precedent․” (Internal
quotation marks omitted.) Id., at 725.
54. Article
first, § 8, of the state constitution, which provides generally for
due process in criminal prosecutions, supplies no particular guidance
to the question at hand.
55. The
defendant directs our attention to United States v. Hall, 152 F.3d
381, 414 (5th Cir.1998), a decision of the United States Court of
Appeals for the Fifth Circuit that rejected a vagueness challenge to
the heinous, cruel or depraved aggravating factor contained in the
Federal Death Penalty Act, 18 U.S.C. § 3592(c)(6). In Hall, the jury
was instructed, consistently with the statutory language, that the
government was required to “prove that the killing involved either
torture or serious physical abuse to the victim.” (Internal quotation
marks omitted.) Id. The jury was instructed further that the
infliction of torture, i.e., severe mental or physical pain or
suffering, or serious physical abuse, must be specifically intended by
the defendant. Id. In sustaining the constitutionality of this
construction, however, the Court of Appeals did not indicate that its
holding was dependent on the inclusion of the specific intent
language. Indeed, such reasoning would have been inconsistent with the
United States Supreme Court's decisions in Proffitt and Walton.
56. The
only such decision of which we are aware is People v. Superior Court,
31 Cal.3d 797, 657 P.2d 76 (1982) (concluding, under state
constitutional due process analysis, that limiting construction
approved in Proffitt is impermissibly vague).
57. In
all of these cases, both prongs of the intent element of § 53a–46a
(i)(4) were determined to apply, i.e., the evidence was sufficient to
show that each defendant intended to cause his victim additional pain
or suffering, and that he was callous and indifferent to that pain or
suffering. Accordingly, experience does not substantiate the
defendant's argument that our construction of § 53a–46a (i)(4)
encompasses vastly more capital murderers than would a construction
requiring a specific intent to cause gratuitous pain and suffering.
Rather, the two groups overlap considerably.
58. The
defendant does not dispute that his conduct in striking the victim
repeatedly with a sledgehammer was intentional, and that he engaged in
that conduct with the intent to kill the victim.
59. Compare
State v. Johnson, supra, 253 Conn. at 78 (concluding that cruel,
heinous and depraved aggravating factor was unproven in case in which
victim, while seated in his police cruiser, was killed quickly by
single gunshot wound to lung and heart that was inflicted from
distance during 6.6 second fusillade of bullets). In Johnson, we
reasoned that “the absence of extreme pain or torture above and beyond
that necessarily accompanying the killing ․ [was] attributable both to
the instrument of death and the rapidity with which unconsciousness
and death ensued.” (Citation omitted; emphasis added; internal
quotation marks omitted.) Id., at 70. We acknowledged that, “[g]iven
the manner in which [the victim] was murdered and the speed with which
he died, as reprehensible as the attack was,” it did not rise to the
level of cruel, heinous and depraved, a category which is reserved for
only the most “horrible” and “noxious” of killings. (Emphasis added.)
Id., at 72. In contrast, implicit in the cases cited in the main text
is a recognition that a victim's conscious experience in being beaten
or bludgeoned to death is likely to be especially painful and
horrific, even when the murder is accomplished relatively efficiently.
60. The
quoted portions of the panel's memorandum of decision correspond to
language in the defendant's statement.
61. The
defendant takes issue with the court's finding as to the number of
blows he inflicted on the victim, arguing that the fact that the
victim suffered twelve injuries does not prove that he endured twelve
direct hits from the sledgehammer. The panel's memorandum of decision
states the number of blows as approximate, however, and does not
attempt to distinguish between direct and indirect strikes, i.e.,
those that might have been inflicted after the hammer was deflected
off of the victim's skull. In any event, after reviewing the
jurisprudence governing this claim, we conclude that the distinction
the defendant attempts to draw is not determinative of the outcome.
62. Specifically,
Joy Reho, a criminologist in the forensic biology unit of the state
forensic science laboratory, testified that both the front and back
sides of the victim's bicycle gloves were “[h]eavily saturated” with
blood and that they had been “in contact with a bloody source for a
period of time.” Although she could not say so with complete
certainty, Malka Shah, an associate medical examiner from the office
of the chief medical examiner, testified that the blood could have
gotten on the gloves when the victim raised his hands to his head in
an attempt to protect his head. Shah testified further that the victim
had no bleeding injuries to his limbs or torso. On the basis of this
testimony, we disagree with the defendant that the inference drawn by
the panel, that the defendant had attempted to protect himself, was an
unreasonable one. Compare Williams v. State, supra, 37 So.3d at
199–200 (mere presence of blood on victim's jeans, with no evidence as
to how blood likely got there or what pattern of blood indicated, did
not establish that victim was standing, and hence was conscious, when
blows to head were delivered).Although the defendant argues that the
panel should have drawn a different inference as to the source of the
blood on the victim's gloves, we do not agree. We reiterate that,
“[i]nviewing evidence [that] could yield contrary inferences, the
[panel] is not barred from drawing those inferences consistent with
[the existence of the aggravating factor] and is not required to draw
only those inferences consistent with [its nonexistence]. The rule is
that the [panel's] function is to draw whatever inferences from the
evidence or facts established by the evidence it deems to be
reasonable and logical.” (Internal quotation marks omitted.) State v.
Courchesne, supra, 296 Conn. at 778. Moreover, “[p]roof of a material
fact by inference from circumstantial evidence need not be so
conclusive as to exclude every other hypothesis․ Thus, in determining
whether the evidence supports a particular inference, we ask whether
that inference is so unreasonable as to be unjustifiable․ In other
words, an inference need not be compelled by the evidence; rather, the
evidence need only be reasonably susceptible of such an inference.”
(Internal quotation marks omitted.) State v. Reynolds, supra, 264
Conn. at 97. Here, the bloody gloves and the testimony of Reho and
Shah reasonably and logically suggest that the victim attempted to
protect his head with his hands.The defendant argues additionally that
the defendant's interest in serial killings does not reasonably
indicate that the victim experienced pain and suffering beyond that
necessary to cause his death. We agree. The trial court cited that
circumstance, however, in support of its finding that the defendant's
conduct was intentional, not in support of its finding that the victim
experienced extreme physical and psychological pain and suffering as a
result of the defendant's intentional conduct.
63. Again,
contrary to the defendant's argument, there was evidence sufficient to
show that the defendant lacked remorse. Sergeant Eugene Coyle, who
took the defendant's statement and interacted with him both prior and
subsequent to his arrest, testified that the defendant, throughout
that period of time, never exhibited any remorse or regret for killing
the victim, nor indicated that he was sorry for what he had done.
According to Coyle, the defendant's demeanor—when directing police to
the victim's body and bicycle, giving his statement, recounting the
killing, drawing a map of his yard and reporting why he had killed the
victim—consistently remained “stoic” or “matter of fact.”The defendant
cites extensively to extra record nonlegal materials to argue that the
trial court's factual finding as to his lack of remorse was erroneous,
and to request that this court draw different factual inferences from
his behavior. For the reasons explained in footnote 16 of this
opinion, the defendant's citation to material that was not admitted
into evidence is not properly used to attack the trial court's factual
findings on appeal, and, therefore, we do not consider it.
64. The
defendant cites Abdul–Kabir v. Quarterman, 550 U.S. 233, 127 S.Ct.
1654, 167L. Ed.2d 585 (2007), which involved a federal habeas petition
brought pursuant to 28 U.S.C. § 2254. Because the United States
Supreme Court's task in Abdul–Kabir was to determine whether the Texas
Court of Criminal Appeals had misapplied the law as clearly
established by decisions of the United States Supreme Court as of the
date of the Texas court's decision, which was November 24,1999; id.,
at 237–38; Abdul–Kabir necessarily did not create new law, not
existing at the time of our decision in Rizzo, that might warrant
revisiting this issue.
65. The
specific list of suggested mitigating factors submitted by the
defendant was as follows:“1. [The defendant] was an eighteen year old
adolescent, not having reached full physiological or emotional
maturity, when he murdered [the victim].“2. [The defendant's] parents
were so physically and emotionally absent from [the defendant] during
his formative years that they provided deficient nurturance, guidance,
support, protection, supervision or discipline for his normal
emotional and social development.“3. [The defendant's] parents were
unwilling and/or unable to communicate with [the defendant] about the
most emotionally damaging and/or stressful events in his life (e.g.,
his parents' divorce, the incident at Kaynor ․ and [the defendant's]
posthigh school career plans).“4. [The defendant's parents] did not
provide [the defendant] with clear expectations for behavior and they
failed to supervise and monitor [the defendant] as a child and
teen.“5. [The defendant] was neglected as defined by [General
Statutes] § 46b120 [8] in that he had been denied proper care and
attention, physically, emotionally or morally, or was permitted to
live under conditions, circumstances or associations injurious to his
well-being.“6. [The defendant] suffered significant emotional distress
as a result of his parents' volatile conflicts, repeated separations,
eventual divorce and his father moving away from him.“7. The
[defendant's] family was characterized by conflict and negative family
relationships that adversely affected [the defendant's] emotional
development.“8. [The defendant] suffered neglect as a result of his
mother's persistent depression and anger over the divorce.“9. After
the divorce of his parents, [the defendant's] family home at 15 Marion
Avenue, Waterbury, fell into such complete disrepair that it was
nearly impossible for anyone to perform household tasks like cooking,
bathing, or laundering bedding and clothing. The house was in such an
extremely unhealthy state that it was unfit for human habitation or
normal child development.“10. [The defendant] and his siblings
suffered poor living conditions despite the fact that his parents had
the financial resources to provide for them.“11. The absence of
responsible, caring and interested adults in [the defendant's] home
was so extreme that [the defendant] was forced to seek basic
necessities such as food, shelter, assistance with laundry, and
nurturing from friends and neighbors (maternal and paternal figures)
in the community.“12. After the divorce, [the defendant's] mother did
not secure any responsible child care for her children and left [them]
alone and unattended.“13. [The defendant] was too young to understand
the potential danger of seeking out inappropriate alternative maternal
and paternal figure[s] outside his home.“14. [The defendant's] mother
deprived her son of normal social peer interaction by continually
refusing to allow any nonfamily members into the family home.“15. [The
defendant's mother] inappropriately exposed her young son [the
defendant] to excessive media violence during his childhood and did
not provide the appropriate guidance and supervision to prevent his
continuing exposure to the potentially damaging violent content.“16.
[The defendant's] parents did not seek mental health counseling for
their son during the most emotionally damaging and stressful events in
his life (e.g., his parents' divorce and the incidents at Kaynor ․
).“17. [The defendant's father] knew of the deplorable physical and
emotional conditions that [the defendant] was living in, but did
nothing to take physical custody or otherwise rescue his son from
neglect.“18. [The defendant's father] moved out of state and became
less involved with [the defendant] despite being aware of the
deplorable conditions that [the defendant] was enduring.“19. [The
defendant's father] consistently chose his own happiness over the
emotional and physical well-being of his son.“20 [The defendant's]
plans to attend the Johnson and Wales culinary program were thwarted
by his parents' failure to fill out the basic financial aid paperwork
necessary for him to attend.“21 [The defendant] was physically small,
underweight, and a chronic bed wetter into his teenage years,
resulting in humiliation and ridicule from family members and
peers.“22. [The defendant's] experiences of having been humiliated and
bullied were significant enough to damage his emotional
well-being.“23. [The defendant], while a freshman and sophomore at ․
Kaynor ․ was subjected to repeated acts of physical hazing and sexual
harassment by upper-class students.“24. [The defendant] demonstrated
remarkable perseverance and resilience despite living under conditions
of extreme neglect which shows his potential to learn from his
mistakes.“25. [The defendant] was a good grammar and middle school
student resulting in his acceptance into Kaynor․“26. [The defendant]
had a genuine interest in and talent for cooking and baking, and
graduated from the culinary program in the middle of his class in 1996
from Kaynor․“27. [The defendant] was accepted as a student into the
culinary program at Johnson and Wales University in South
Carolina.“28. [The defendant] displayed kindness in helping to provide
for his mother, family, and friends by purchasing necessities and
gifts for them.“29. [The defendant] reached out to the church as a
positive influence in his life; he attended church throughout his
childhood and teenage years, often bringing his sister ․ with him, and
he continued to be actively involved in church activities even after
his parents stopped attending.“30. [The defendant] maintained a steady
history of employment from the age of fourteen until the time of his
arrest.“31. [The defendant] joined the United States Marine Corps at
the age of seventeen.“32. [The defendant] successfully completed boot
camp at Parris Island and infantry training at Camp Geiger.“33. [The
defendant] volunteered to serve as the lay reader for the Marine
recruits in his boot camp platoon and delivered the prayer during the
graduation ceremony.“34. [The defendant] took responsibility for his
actions when he cooperated with the police and confessed to the murder
of [the victim].“35. [The defendant] took responsibility for his
actions when he cooperated with the police and consented to the
searches of his home and his car.“36. [The defendant] took
responsibility for his actions when he cooperated with the police when
he disclosed to them the location in the rear yard at 15 Marion Avenue
where he murdered [the victim].“37. [The defendant] took
responsibility for his actions when he cooperated with the police when
he disclosed to them the location of the murder weapon.“38. [The
defendant] cooperated with the police when he disclosed the location
of where he placed [the victim's] body.“39. [The defendant's]
cooperation saved the Waterbury police department a lot of time and
effort.“40. [The defendant] cooperated with resolution of this case by
voluntarily pleading guilty to the murder of [the victim], thereby
taking both personal and legal responsibility for the murder.“41. [The
defendant] has shown remorse for the murder of [the victim].“42. [The
defendant's] act of murdering [the victim] was a tragic behavioral
aberration considering that he has no prior juvenile or criminal
record.“43. Life imprisonment without the possibility of release is
the appropriate sentence for [the defendant].“44. Any other factor
concerning [the defendant's] character, background, or history or the
nature and circumstances of the crime that has not been specifically
suggested which the court may, in fairness and mercy, find is
mitigating in nature and constitutes a basis for a sentence of life
imprisonment without the possibility of release.“45. The cumulative or
combined effect of all the evidence concerning [the defendant's]
character, background or history or the nature [or] circumstances of
the crime which the court, in fairness and mercy, finds is mitigating
in nature and constitutes a basis for a sentence of life imprisonment
without the possibility of release.”
66. Under
our death penalty scheme, once the state establishes the existence of
an aggravating factor, specified in § 53a–46a (i), beyond a reasonable
doubt, the burden shifts to the defendant “to establish the existence
of a mitigating factor by a preponderance of the evidence․ In this
regard, the statutory scheme sets out two types of mitigating factors:
(1) statutory mitigating factors, as defined in § 53a–46a (h), which,
if found, preclude the imposition of the death penalty under any
circumstances; and (2) nonstatutory mitigating factors, as defined in
§ 53a–46a (d).” (Citation omitted.) State v. Rizzo, supra, 266 Conn.
at 180.
67. The
panel was not required to make explicit findings as to the remaining
forty-four proposed mitigating factors; see State v. Rizzo, supra, 266
Conn. at 310; and, accordingly, it did not do so. We agree with the
defendant, however, that, because the panel found the cumulative
factor factually proven, it necessarily found at least some of the
proposed individual factors factually proven, but concluded that they
were not mitigating in nature, considering all of the facts and
circumstances of the case.
68. The
defendant also claims that, because the panel necessarily found some
individual proposed mitigating factors factually proven; see footnote
67 of this opinion; he statutorily and constitutionally was entitled
to have them weighed as individual mitigating factors, and not merely
as part of the cumulative mitigating factor found by the panel.
According to the defendant, because the panel found no individual
mitigating factors proven while simultaneously finding the cumulative
mitigating factor proven, his statutory and constitutional rights have
been violated. The defendant is incorrect.Pursuant to Connecticut's
death penalty scheme, the defendant bears the burden of proving, “by a
preponderance of the evidence ․ both the underlying factual basis of a
mitigating factor and its mitigating nature. ” (Emphasis in original;
internal quotation marks omitted.) State v. Rizzo, supra, 266 Conn. at
239; see also General Statutes (Rev. to 1997) § 53a–46a (c). Thus, the
statute clearly contemplates the outcome present in this case—proposed
mitigating factors being proven as a factual matter, yet not found to
be mitigating in nature. State v. Rizzo, supra, at 296–97.
Furthermore, as explained in part V of this opinion and Rizzo, we
repeatedly have upheld the constitutionality of this provision. In
short, “the mere establishment of the factual bases of mitigating
evidence does not compel a conclusion, as a matter of law, that a
defendant has proved the existence of mitigation.” Id., at 295.The
defendant argues, nevertheless, that because the panel concluded that
the proven individual factors, viewed cumulatively, were mitigating in
nature, it also must have found that those individual factors had
some, however minimal, mitigating quality and, therefore, they were
entitled to independent consideration in the final determination
whether to impose the death penalty. We are not persuaded. Although
each proven factor might have established something good or
sympathetic about the defendant, the panel apparently found that the
factors were not mitigating in nature until they were viewed
collectively. As we have explained, § 53a–46a (d) “does not require a
capital sentencer to give mitigating force to any particular proven
factor solely because that factor establishes something good about the
defendant.” (Internal quotation marks omitted.) Id., at 295–96; see
also State v. Reynolds, supra, 264 Conn. at 135 (§ 53a–46a [d] does
not require panel to find existence of mitigation if defendant
establishes “anything positive—no matter how slight” about himself).
In any event, the cumulative mitigating factor, which a capital
defendant has a right to submit for consideration; see State v.
Reynolds, supra, at 139, provides a mechanism for the sentencer to
consider all constitutionally relevant information about the defendant
and the case when making its final sentencing determination, even
though that information, when viewed piecemeal, is not found to be
mitigating in nature. The panel acknowledged its constitutional duty
to consider all relevant mitigating evidence, and we are convinced
that it did.
69. In
Rizzo, the penalty phase was tried to a jury, and the jury did not
specify which of the proposed nonstatutory mitigating factors it had
found proven. Consequently, in discussing the mitigating factors, we
allowed that the jury reasonably could have found any of the proposed
factors proven and, therefore, we drew all inferences in the
defendant's favor when we outlined the evidence presented and facts
potentially found. State v. Rizzo, supra, 266 Conn. at 192–201 and 193
n. 16. Here, because it is clear that the panel found only the
cumulative factor proven, we view the evidence with an eye toward
sustaining the panel's determinations unless they are unreasonable.
State v. Breton, supra, 264 Conn. at 366–67.
70. The
panel also might have questioned the defendant's suggestion that his
murdering the victim was an impulsive “behavioral aberration”; see
footnote 65 of this opinion; in light of a statement he made to a
television reporter during a jailhouse interview conducted by
telephone in April, 2000. The taped statement was introduced into
evidence as part of the state's case to prove the aggravating factor.
In the course of the interview, the defendant stated: “I had planned
to kill someone back when I was [about] fourteen [years old], and it
went all through my teens, and there [were] certain kids I'd pick out
in the neighborhood. And I'd say, you know, that's the perfect victim.
I watch[ed] from my bedroom window. And I could time it when they're
going by, when there's nobody around.” The defendant explained
further: “I wanted to kill all through the teenage years, being
obsessed with all these people that did it and got away [with it] and
these crazy ways that they did it.”
71. There
was evidence in the record of the defendant's eventual remorse,
specifically, his April, 2000 interview with a television reporter,
which was introduced as part of the state's case. In that interview,
the defendant stated that remorse recently had started to set in after
he had “met somebody” and, perhaps because of experiencing love, he
had begun to “have feelings back.” According to the defendant, he was
“sincerely sorry about killing [the victim]․” Moreover, he expressed
empathy for the victim's family, imagining what it would feel like if
the victim were his brother.The panel reasonably could have found that
the defendant's statements of remorse in 2000 lacked mitigating
quality in light of their belated expression, particularly when
contrasted against other words of the defendant, written shortly after
the commission of his crime, that charitably can be described as
boastful, callous and lacking in remorse. On October 10, 1997, the
defendant wrote to John Fleischer, a friend he had made while
undergoing training in the Marine Corps. Like the interview with the
television reporter, that letter was introduced into evidence as part
of the state's case. The letter stated in relevant part: “Well [let's]
just say, you might be reading about me one day. Just add me on to
your long list of famous killers, like Jeffrey Dahmer, John Gacy,
Henry Lucas, and so on.“Yes, from the news article [e]nclosed [you'll
have] learned, I've been arrested for murdering a [thirteen year] old
boy. I beat the backside of his skull in with a sledgehammer in my
backyard and dropped his body on a side road [with] his head wrapped
in a plastic bag. So way back in July, when me you Jones and Sims
talked about the truth if we could actually kill another person? Well
I did. That knocks off number two on my goal list!“I probably [won't]
go to trial until early [1999] maybe late [1998]. But I will keep you
informed if you continue to write me. I suppose you can let everyone
know, [there's] no secret. If I can get my hands on a better article,
I'll mail it to you. You [should've] seen it, I was on the entire
front page of my paper and many [other] papers and all over the news!
I am sorry for what I've done, because my life is now over, [I'm]
either facing life in prison with no [parole] or the death sentence,
which in [Connecticut] is lethal injection. Anyway, now that my life
is through, [how's] yours doing?”
72. In
the course of his argument on this claim, the defendant repeatedly
refers to “the mitigating factors,” as if the panel had found multiple
proposed factors both proven factually and mitigating in nature. As
explained in part VI of this opinion, the panel found proven the
cumulative mitigating factor only, and we have concluded that that
finding was not improper.
73. As
we concluded in part IV of this opinion, there was sufficient evidence
to support the panel's finding of the cruel, heinous and depraved
aggravating factor. Moreover, as we concluded in part VI of this
opinion, the panel's findings as to mitigation were not improper. To
the extent the defendant, in arguing this issue, has repeated his
attacks on the propriety of the panel's findings on aggravation and
mitigation, we will not respond to those attacks anew.
74. Because
the penalty phase in Courchesne was tried to a jury, there were no
findings, as there are in the present case, as to the specific
mitigating factor or factors found. Accordingly, we evaluated the
defendant's claim with reference to all of the mitigating factors
alleged. State v. Courchesne, supra, 296 Conn. at 629.
75. In
advancing this claim, the defendant emphasizes the fact that he was
just shy of his nineteenth birthday when he murdered the victim. He
argues that that factor, as a general matter, strongly diminishes
culpability and, therefore, carries heavy weight to offset the
aggravating factor and, further, renders the punishment of death
disproportionate. Although the defendant's age undoubtedly was a
consideration; see, e.g., Johnson v. Texas, 509 U.S. 350, 367, 113
S.Ct. 2658, 125 L.Ed.2d 290 (“[t]here is no dispute that a defendant's
youth is a relevant mitigating circumstance”), reh. denied, 509 U.S.
941, 114 S.Ct. 15, 125 L.Ed.2d 767 (1993); the specific weight to
assign to it in the weighing process was a matter for the panel to
decide in its discretion, just as with any other nonstatutory
mitigating factor. As the defendant acknowledges, statutory and
constitutional eligibility for the death penalty begins at age
eighteen. See General Statutes (Rev. to 1997) § 53a–46a (h)(1); see
also Roper v. Simmons, 543 U.S. 551, 568, 125 S.Ct. 1183, 161 L.Ed.2d
1 (2005). Consequently, the cases from which he quotes that concern
juveniles are inapposite. See id., at 568–69; see also Eddings v.
Oklahoma, 455 U.S. 104, 115–16, 102 S.Ct. 869, 71 L.Ed. 1 (1982). To
the extent that the defendant suggests the line between eligibility
for, and categorical exclusion from, capital punishment has been drawn
in the wrong place, that argument is best directed at the legislature.
See State v. Allen, 289 Conn. 550, 585, 958 A.2d 1214 (2008)
(declining to strike, as violative of eighth amendment, statute
mandating life imprisonment without possibility of release for those
who commit capital felonies while under age eighteen because “[t]he
delineation between juveniles and adults for purposes of prosecution
and punishment is a public policy determination reserved to the
legislative branch of government, except where constitutional
principles apply”); State v. Heinemann, 282 Conn. 281, 310,920 A.2d
278 (2007) (declining to hold that sixteen year old was entitled to
jury instruction that would have directed jury to consider his age
when evaluating his defense of duress, with aim of accounting for
differences in how adolescents evaluate risks, because doing so “would
usurp the legislature's role and require this court to vitiate what is
an inherently legislative determination that sixteen year olds are to
be treated like adults for purposes of criminal liability”).
76. The
defendant requests that this court consider extra-record social
science reference materials to evaluate the reasonableness of the
panel's weighing determination. For the reasons previously explained;
see footnote 16 of this opinion; we cannot rely on evidence not
introduced at trial to second-guess the panel's determination. Cf.
State v. Arthur H., 288 Conn. 582, 588 n. 4, 953 A.2d 630 (2008)
(declining to consider similar materials, first introduced on appeal,
in deciding whether trial court abused discretion when ordering
defendant to register as sex offender.).
77. General
Statutes § 53a–46b (b) requires this court to review all death
sentences to determine whether they are “the product of passion,
prejudice or any other arbitrary factor․”
78. The
defendant also claims state constitutional violations, but the only
argument he provides in support of those claims is a conclusory
reference to Geisler analyses in different portions of his brief that
are directed at different issues. Accordingly, we deem any state
constitutional claim regarding the present issue to be abandoned due
to inadequate briefing.
79. According
to the defendant, at the time he was sentenced, six of Connecticut's
ten death row inmates had been prosecuted in the judicial district of
Waterbury and, at the time his brief was filed, six of thirteen.
80. As
part of this claim, the defendant also argues that his sentence was an
improper product of the presiding judge's bias regarding mitigating
evidence. Because we disagree that the defendant has established the
factual predicate of this argument; see part II of this opinion; we do
not address it further.
81. In
advancing this claim, the defendant cites to extra-record reference
materials as evidence of contemporary societal norms to advocate for a
new constitutional rule rather than, as in parts I, IV and VII of his
brief, to attempt to readjudicate this particular case on appeal. See
footnotes 16, 63 and 76 of this opinion. We have in the past permitted
citation to such evidence in this context. See Connecticut Coalition
for Justice in Education Funding, Inc. v. Rell, 295 Conn. 240,310 n.
56,990 A.2d 206 (2010) (considering scientific studies in the context
of the sixth Geisler factor, although not part of the trial court
record”); see also Moore v. Moore, 173 Conn. 120, 122, 376 A.2d 1085
(1977) (legislative facts, that is, facts that “help determine the
content of law and policy,” are subject to judicial notice); E.
Margolis, “Beyond Brandeis: Exploring the Uses of Non–Legal Materials
in Appellate Briefs,” 34 U.S.F. L.Rev. 214 (2000) (opining that it is
appropriate to introduce nonlegal material in support of policy
arguments at the appellate stage of litigation”).
82. The
defendant also argues that the death penalty, per se, constitutes a
violation of the eighth amendment to the United States constitution.
Clearly, we are bound by precedents of the United States Supreme Court
holding to the contrary. See, e.g., Gregg v. Georgia, supra, 428 U.S.
at 168–87. It is the prerogative of that court alone to overrule its
own precedents, even if subsequent decisions or developments may
appear to have significantly undermined the rationale for an earlier
holding. See United States v. Hatter, 532 U.S. 557, 567, 121 S.Ct.
1782, 149 L.Ed.2d 820 (2001).
83. In
State v. Ross, supra, 230 Conn. at 183, 286, four members of a five
judge panel voted to sustain the constitutionality of the death
penalty, with Justice Berdon in dissent.
84. In
contrast, in State v. Ross, supra, 230 Conn. at 183, the five judge
panel that decided the appeal had been comprised of three members of
this court and two Appellate Court judges sitting by designation.
85. In
State v. Webb, supra, 238 Conn. at 551, the vote sustaining the
constitutionality of the death penalty was four to three, with
Justices Berdon, Norcott and Katz in dissent.
86. We
undertake, in essence, a partial Geisler analysis regarding what has
occurred since 1994, because our constitutional text and history
remain the same, and this court repeatedly has sustained the
constitutionality of the death penalty generally and our death penalty
statutes in particular. Accordingly, our focus is on recent federal
and state jurisprudence and contemporary economic and sociological
norms.
87. When
originally enacted, § 53a–54b authorized a capital felony conviction
for a nonhomicide offense that, nevertheless, contributed to the death
of a person. See Public Act 73–137, § 3(6) (identifying as capital
felony illegal sale, for economic gain, of cocaine, heroin or
methadone to person who dies as direct result of use of such cocaine,
heroin or methadone). This provision was eliminated in 2001. See
Public Act No. 01–151, § 3. Since then, Connecticut's statutorily
enumerated capital felonies have included only various types of
murders.
88. Moreover,
in People v. LaValle, 3 N.Y.3d 88, 120, 817 N.E.2d 341, 783 N.Y.S.2d
485 (2004), the New York Court of Appeals held that a jury deadlock
instruction prescribed by New York's death penalty statute violated
that state's constitution. Because state legislators have not cured
the statutory defect, New York effectively has been without a death
penalty since 2004.Notably, the New Mexico ban is prospective only and
no clemency has been granted to convicted capital offenders, leaving
that state's existing death row intact. Given that circumstance, it is
unlikely that the New Mexico legislature was convinced that the death
penalty is intolerable under any and all circumstances. See Atkins v.
Virginia, supra, 536 U.S. at 342 (Scalia, J., dissenting) (legislation
that abolished death penalty for persons with mental retardation
prospectively only “is not a statement of absolute moral repugnance,
but one of current preference between two [constitutionally] tolerable
approaches”).
89. This
statistic includes two inmates in New Mexico who remain on death row
despite that state's repeal of the death penalty because the repeal,
by its terms, is prospective only. It also includes sixteen Illinois
inmates who were on death row in January of 2011, but were
subsequently granted clemency by that state's governor when the repeal
of the death penalty in Illinois took effect on July 1, 2011, bringing
the number of inmates held on death row nationwide to 3235 in
thirty-five states.
90. The
numbers of executions carried out, nationwide, over the previous
sixteen years, are as follows: 1994–31; 1995–56; 1996–45; 1997–74;
1998–68; 1999–98; 2000–85; 2001–66; 2002–71; 2003–65; 2004–59;
2005–60; 2006–53; 2007–42; 2008–37; 2009–52; 2010–46. See Death
Penalty Information Center, “Facts about the Death Penalty,” supra, at
p. 1. As of October 21, 2011, 38 executions have taken place. See id.
91. The
numbers of executions carried out, nationwide, in the decade preceding
Ross were, as follows: 1983–5; 1984–21; 1985–18; 1986–18; 1987–25;
1988–11; 1989–16; 1990–23; 1991–14; 1992–31; 1993–38. See Death
Penalty Information Center, “Facts about the Death Penalty,” supra, at
p. 1.
92. Moreover,
although the pace of executions has slowed in recent years, they still
occur at a rate substantially higher than that typically considered by
the United States Supreme Court to evidence a dearth of public support
for a particular punishment. See, e.g., Kennedy v. Louisiana, supra,
554 U.S. at 433 (no executions of child rapists since 1964, or for any
nonhomicide offense since 1963); Roper v. Simmons, supra, 543 U.S. at
564–65 (only three executions of juvenile offenders in ten year
period); Atkins v. Virginia, supra, 536 U.S. at 316 (only five
executions of defendants with mental retardation in thirteen year
period); Enmund v. Florida, supra, 458 U.S. at 794 (only six
executions of nontriggerman felony murderers between 1954 and 1982).
93. See
Death Penalty Information Center, “The Death Penalty in 2010: Year End
Report,” (December, 2010), available at http:// www.deathpenalty
info.org/documents/2010YearEnd-Final.pdf (last visited November 18,
2011) (copy contained in the file of this case in the Supreme Court
clerk's office); N. Lewis, “Death Sentences Decline, And Experts Offer
Reasons,” N.Y. Times, December 15, 2006, p. A28.
94. Indeed,
declining imposition of capital punishment may indicate that the death
penalty is being employed precisely as was intended, to punish only
the very worst of society's criminals, and only after a vigorous legal
process has ensured that the defendant has been found guilty after a
fair trial with demanding procedural safeguards. As the United States
Supreme Court has observed, “the relative infrequency of jury verdicts
imposing the death sentence does not indicate rejection of capital
punishment per se. Rather, [it] ․ may well reflect the humane feeling
that this most irrevocable of sanctions should be reserved for a small
number of extreme cases.” Gregg v. Georgia, supra, 428 U.S. at 182.
95. The
defendant filed his initial brief in this appeal in 2008, when support
for the penalty appeared somewhat weaker, and he referred to an
earlier Quinnipiac poll reflecting that circumstance.
96. The
views of Connecticut residents are consistent with those held
nationally. A 2010 Gallup poll showed 64 percent of Americans in favor
of the death penalty and 29 percent in opposition to it. See Gallup,
“In U.S., 64% Support Death Penalty in Cases of Murder,” (November 8,
2010), available at http://www.gallup.com/poll/1
44284/Support–Death–Penalty–CasesMurder.aspx (last visited November
18, 2011) (copy contained in the file of this case in the Supreme
Court clerk's office).
97. Unlike
the punishments at issue in Graham and Roper, capital punishment in
general has not lost the support of the entire world community.
According to Amnesty International, ninety-six countries have
abolished the death penalty for all crimes and nine have abolished it
for all but “exceptional crimes,” thirty-four countries retain the
death penalty but have not executed anyone in the last ten years, and
fifty-eight countries retain the death penalty and, apparently, have
employed it recently. See Amnesty International, “Abolitionist and
Retentionist Countries,” available at
http://www.amnesty.org/en/death-penalty/
abolitionist-and-retentionist-countries (last visited November 18,
2011) (copy contained in the file of this case in the Supreme Court
clerk's office).
98. The
defendant deemphasizes retribution, which is recognized as a
constitutionally legitimate purpose of punishment. Graham v. Florida,
supra, 130 S.Ct. at 2028. In explaining her veto of legislation
intended to repeal the death penalty, then Governor M. Jodi Rell
relied expressly on this justification, among others. See Governor's
Veto Message for Public Act 09–107 Bill Notification Release No. 19
(June 5, 2009), available at
http://www.ct.gov/governorrell/cwp/view.asp?A=1716 & Q=441210 (last
visited November 18, 2011) (copy contained in the file of this case in
the Supreme Court clerk's office).
99. The
defendant also includes lengthy quotes from the opinions of dissenting
justices in capital cases, which express views similar to those
reflected in the commission and interest group reports. He further
observes that death row inmates have been exonerated in other
jurisdictions, but makes no suggestion that any person on
Connecticut's death row, presently or previously, was convicted
wrongfully.
100. As
the Supreme Court of New Jersey observed when upholding that state's
death penalty against a general constitutional challenge, “[t]he
‘contemporary standard of decency’ against which the death penalty
must be tested ․ is that of the community, not that of its scientists,
penologists, or jurists.” State v. Ramseur, supra, 106 N.J. at 171.
101. The
repeal legislation originally had passed in the House of
Representatives with ninety members voting in favor of it, fifty-six
members voting against it and five members abstaining. The vote had
been closer in the Senate, with nineteen members voting in favor of
the legislation and seventeen voting against it.In support of this
claim, the defendant cites extensively, but selectively, to the
portions of the legislative history of P.A. 09–107 in which some
supporters of repeal expressed their beliefs that the death penalty is
morally wrong, arbitrarily imposed or penologically ineffective. He
ignores or discounts other portions of the legislative history that
suggest that the attempted repeal was motivated by practical rather
than moral concerns, as well as the portions reflecting substantial
opposition to the repeal.
102. The
defendant also argues that the unsuccessful repeal attempt deprives
the death penalty of the legislative authorization necessary for its
constitutionality, and that “[t]he state constitution does not empower
the [g]overnor to authorize the death penalty after its repudiation by
the General Assembly․” Obviously, all of our current death penalty
legislation was enacted via the process specified in our constitution,
which requires both legislative and gubernatorial approval, and
subsequently has been upheld by this court against numerous
constitutional challenges. The defendant provides no direct support
for the proposition that a legislature's unsuccessful repeal attempt
somehow vitiates a law that was enacted constitutionally by a previous
legislature and governor, and we are not aware of any. Moreover, to
the extent the defendant raises a new claim as to purported
constitutional limitations on the governor's authority to veto death
penalty legislation, a claim to which the state has had no opportunity
to reply, we need not address his arguments. SS–II, LLC v. Bridge
Street Associates, 293 Conn. 287, 302, 977 A.2d 189 (2009) (parties
may not raise new claims in reply brief). In any event, the
defendant's arguments in this regard are meritless.
1. See
State v. Ross, 273 Conn. 684, 721, 873 A.2d 131 (2005) (Norcott, J.,
concurring and dissenting); State v. Peeler, 271 Conn. 338, 464, 857
A.2d 808 (2004) (Katz, J., with whom Norcott, J., joins, dissenting),
cert. denied, 546 U.S. 845, 126 S.Ct. 94, 163 L.Ed.2d 110 (2005);
State v. Ross, supra, 269 Conn. at 392–93 (Norcott, J., dissenting);
State v. Breton, 264 Conn. 327,446–49, 824 A.2d 778 (Norcott, J.,
dissenting), cert. denied, 540 U.S. 1055, 124 S.Ct. 819, 157 L.Ed.2d
708 (2003); State v. Webb, 252 Conn. 128, 147, 750 A.2d 448 (Norcott,
J., dissenting), cert. denied, 531 U.S. 835, 121 S.Ct. 93, 148 L.Ed.2d
53 (2000); State v. Griffin, 251 Conn. 671, 742–48,741 A.2d 913 (1999)
(Norcott, J., dissenting); State v. Ross, 251 Conn. 579, 597, 742 A.2d
312 (1999) (Norcott, J., dissenting); State v. Cobb, 251 Conn. 285,
543–52, 743 A.2d 1 (1999) (Norcott, J., dissenting), cert. denied, 531
U.S. 841, 121 S.Ct. 106, 148 L.Ed.2d 64 (2000); State v. Webb, 238
Conn. 389, 566–70, 680 A.2d 147 (1996) (Norcott, J., dissenting); see
also State v. Ross, 272 Conn. 577, 613, 863 A.2d 654 (2005) (Norcott,
J., concurring); State v. Rizzo, 266 Conn. 171, 313–14, 833 A.2d 363
(2003) (Norcott, J., concurring); State v.. Courchesne, 262 Conn. 537,
583–84, 816 A.2d 562 (2003) (Norcott, J., concurring).
2. See,
e.g., State v. Webb, 238 Conn. 389, 405–406, 680 A.2d 147 (1996);
State v. Ross, 230 Conn. 183, 249–52, 646 A.2d 1318 (1994), cert.
denied, 513 U.S. 1165, 115 S.Ct. 1133, 130 L.Ed.2d 1095 (1995).
3. See
Senate Bill No. 1035, 2011 Sess., “An Act Revising the Penalty for
Capital Felonies” (died prior to receiving floor vote); Public Acts
2009, No. 09–107 (legislation vetoed by former Governor M. Jodi Rell).
4. As the
majority notes, thirty-four states, plus the federal government and
military, have the death penalty. Connecticut and New Hampshire are
the only states in the New England region with the death penalty. See
generally Death Penalty Information Center, “Facts About the Death
Penalty,” available at http://
www.deathpenaltyinfo.org/documents/FactSheet.pdf (last visited
November 17, 2011).
5. The
remainder of the top ten countries with respect to the number of
reported executions in 2010 consists of Saudi Arabia, Libya, Syria,
Bangladesh and Somalia. See Amnesty International, Report: Death
Sentences and Executions 2010 (2011), p. 41, available at http://
www.amnesty.org/en/library/asset/ACT50/001/2011/en/
ea1b6b25–a62a–4074–927d–ba51e88df2e9/act500012011en.pdf (last visited
November 17, 2011).
6. Cf.
Aesop's Fables, “The Ass and His Purchaser” (“[a] man is known by the
company he keeps”), available at http://etext.virginia .
edu/toc/modeng/public/AesFabl.html (last visited November 17, 2011).
ROGERS, C.J.
In this opinion PALMER, McLACHLAN, VERTEFEUILLE and
DiPENTIMA, Js ., concurred.