State v. Chapman

632 A.2d 674, 227 Conn. 616, 1993 Conn. LEXIS 294
CourtSupreme Court of Connecticut
DecidedSeptember 7, 1993
Docket14604
StatusPublished
Cited by16 cases

This text of 632 A.2d 674 (State v. Chapman) is published on Counsel Stack Legal Research, covering Supreme Court of Connecticut primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Chapman, 632 A.2d 674, 227 Conn. 616, 1993 Conn. LEXIS 294 (Colo. 1993).

Opinions

Berdon, J.

The defendant, Donald L. Chapman, was convicted by a jury of sexual assault in the first degree in violation of General Statutes § 53a-70 (a) (l)1 and sentenced to a term of fourteen years, execution suspended after seven years. The defendant appealed to the Appellate Court, claiming that the trial court had improperly instructed the jury that it could find him [618]*618guilty of sexual assault in the first degree if it found that he had compelled sexual intercourse either by the use of force or by the threat of use of force. The state had not charged the defendant with having threatened to use force, nor did the state introduce evidence of the threat of use of force.2 The Appellate Court concluded that the trial court had “improperly instructed the jury on a statutory alternative for which there was no supporting evidence” and ordered a new trial. State v. Chapman, 28 Conn. App. 360, 366, 610 A.2d 1328 (1992). We granted the state’s petition for certification limited to the following issues: “(1) Did the Appellate Court correctly conclude that the statutory alternative analysis set forth in State v. Williams, 202 Conn. 349, 363-64 [521 A.2d 150] (1987), applied to alternative language occurring within the same statutory subdivision] and that the trial court’s instruction permitted the jury to consider a separate and distinct theory of criminal liability? (2) Was the Appellate Court correct in its failure to consider whether any error in the trial court’s charge was harmless beyond a reasonable doubt?” State v. Chapman, 223 Conn. 923, 614 A.2d 827 (1992). We conclude that the trial court improperly instructed the .jury on a statutory alternative for which the defendant was not charged and for which there was no supporting evidence.3 We also conclude that the trial [619]*619court’s instruction violated the defendant’s due process rights under the Connecticut constitution and that harmless error analysis is not required. We therefore affirm the judgment of the Appellate Court.

For the purposes of the issues raised in this appeal, we need to concern ourselves only with the following limited facts. The state charged only that the defendant had compelled sexual intercourse by the use of force and introduced evidence to that end.4 The state concedes that it introduced no evidence that the defendant had committed the offense by threatening the use of force against the victim. Nevertheless, the trial court instructed the jury that “a person is guilty of sexual assault in the first degree when such person compels another person to engage in sexual intercourse by the use of force against such other person or by the threat of the use of force against such person which reasonably causes such person to fear physical injury.” (Emphasis added.) Indeed, the trial court instructed on the use of a threat as an alternative means of committing the crime on three separate occasions. The defendant took an exception to the instruction on committing sexual assault by threatening the use of force, thereby appropriately preserving this claim for appellate [620]*620review. See Practice Book § 852;5 State v. Smith, 219 Conn. 160, 592 A.2d 382 (1991); State v. Hill, 201 Conn. 505, 512, 518 A.2d 388 (1986).

I

Statutory Alternative Analysis

Sexual assault in the first degree may be committed by two methods under § 53a-70 (a) (1): (1) by compelling another person to engage in sexual intercourse by “the use of force”; or (2) by compelling another person to engage in sexual intercourse by “the threat of use of force.” We have held on numerous occasions that “ ‘[w]here a person may have been convicted under more than one statutory alternative, the judgment cannot be supported unless the evidence was sufficient to establish guilt under each statutory provision which the trier may have relied upon.’ State v. Marino, 190 Conn. 639, 650-51, 462 A.2d 1021 (1983); State v. Thompson, 197 Conn. 67, 74, 495 A.2d 1054 (1985); State v. Asherman, 193 Conn. 695, 730, 478 A.2d 227 (1984), cert. denied, 470 U.S. 1050, 105 S. Ct. 1749, 84 L. Ed. 2d 814 (1985); State v. Reid, 193 Conn. 646, 666, 480 A.2d 463 (1984); see State v. Silveira, 198 Conn. 454, 459, 503 A.2d 599 (1986). This rule is based on the principle that jurors are presumed to follow the instructions given by the judge. State v. Barber, 173 Conn. 153, 156, 376 A.2d 1108 (1977); State v. DellaCamera, 166 Conn. 557, 567, 353 A.2d 750 (1974).” State v. Williams, supra. By instructing the jury on a theory of criminality for which there is no supporting evidence, the trial court implies that there is a factual [621]*621dispute for the jury to resolve regarding that theory of criminality. The trial court’s instruction authorizes the jury to consider and to resolve the implied factual dispute. Id., 364. “The trial court should submit no issue to the jury which is foreign to the facts in evidence, or upon which no evidence was offered, and it should not submit to the jury considerations which find no support in the evidence.” (Internal quotation marks omitted.) State v. Campbell, 225 Conn. 650, 659, 626 A.2d 287 (1993); see also State v. Williams, supra.

The state claims that the statutory alternative analysis employed in State v. Williams, supra, is not applicable in this case because the two methods of committing sexual assault in the first degree at issue here—use of force and the threat of use of force—are set forth in the same subdivision of the statutory definition. The state argues that the analysis in Williams should apply only when the statutory alternatives are framed in separately numbered statutory subdivisions. We disagree. Whether the legislature has distinguished between methods of achieving a result by placing them in separately labeled subdivisions or within a single subdivision is not determinative for deciding whether to apply the statutory alternative analysis set forth in Williams. We decline to adopt the distinction advanced by the state because it would elevate form over substance by analyzing a statute on the basis of its structure rather than its purpose. See State v. Wood, 208 Conn. 125, 545 A.2d 1026, cert. denied, 488 U.S. 895, 109 S. Ct. 235, 102 L. Ed. 2d 225 (1988); State v. Gonzalez, 206 Conn. 213, 219, 537 A.2d 460 (1988).

Instead, we must focus on the underlying purpose of the statutory alternative analysis set forth in State v. Williams, supra, 364, which serves the essential function of ensuring that juries do not convict under a theory of criminality unless the evidence is sufficient to establish guilt under that theory. In view of this under[622]*622lying purpose, we must turn to the substance of the statutory text to determine whether the use of force and the threat of the use of force are separate statutory alternatives.

Section 53a-70 (a) provides that sexual assault may be committed by the “use of force against such other person . . . or by the threat of the use of force against such other person .

Free access — add to your briefcase to read the full text and ask questions with AI

Related

Skakel v. Comm'r of Corr.
188 A.3d 1 (Supreme Court of Connecticut, 2018)
State v. Kono
Supreme Court of Connecticut, 2017
State v. Anderson
864 A.2d 35 (Connecticut Appellate Court, 2005)
State v. Berger
733 A.2d 156 (Supreme Court of Connecticut, 1999)
Moore v. Ganim
660 A.2d 742 (Supreme Court of Connecticut, 1995)
State v. Smart
656 A.2d 677 (Connecticut Appellate Court, 1995)
State v. Yurch
654 A.2d 1246 (Connecticut Appellate Court, 1995)
State v. Dinoto
642 A.2d 717 (Supreme Court of Connecticut, 1994)
Reichert v. Sheridan
642 A.2d 51 (Connecticut Appellate Court, 1994)
State v. Chapman
643 A.2d 1213 (Supreme Court of Connecticut, 1994)
State v. Hamilton
636 A.2d 760 (Supreme Court of Connecticut, 1994)
State v. Chapman
635 A.2d 290 (Connecticut Appellate Court, 1993)

Cite This Page — Counsel Stack

Bluebook (online)
632 A.2d 674, 227 Conn. 616, 1993 Conn. LEXIS 294, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-chapman-conn-1993.