State v. Joseph V.

Date Filed2022-12-13
DocketSC20504
JudgeMcDonald; D’Auria; Mullins; Kahn; Ecker
Cited0 times
StatusPublished

Syllabus

A criminal information is duplicitous when it charges a defendant in a single count with two or more distinct and separate criminal offenses, thereby implicating the defendant's constitutional right to a unanimous jury verdict. In the companion case of State v. Douglas C. (345 Conn. 421), this court recognized that a duplicitous information may raise two distinct and separate kinds of issues regarding a defendant's right to jury unanimity: unanimity as to the elements of a crime, which arises when a defendant is charged in a single count with having violated multiple statutory provisions, subsections, or clauses, requiring the court to determine whether the statutory provisions, subsections, or clauses constitute sep- arate elements of the statute, thereby requiring jury unanimity, or alterna- tive means of committing a single element, which do not require jury unanimity; and unanimity as to instances of conduct, which arises when a defendant is charged in a single count with having violated a single statutory provision, subsection, or clause on multiple, separate occasions. Convicted of the crimes of sexual assault in the first degree, risk of injury to a child, and conspiracy to commit risk of injury to a child in connection with his sexual abuse of the victim, the defendant appealed to the Appellate Court. T, the victim's half brother, began sexually abusing the victim when the victim was four or five years old. In 2006, T moved to a new residence with his and the victim's father, where the victim would periodically have overnight visits. T's sexual abuse of the victim continued at the father's residence. The defendant, who is a first cousin of the victim and T, also began to sexually abuse the victim at that time. The defendant and T often abused the victim simultaneously, and the abuse occurred until 2010, when the victim was ten years old. In the risk of injury count, the state alleged that, on ''diverse dates'' between 2006 and 2010, at the residence of the victim's father, the defendant had contact with the victim's intimate parts and subjected the victim to contact with the defendant's intimate parts, in violation of the risk of injury to a child statute (§ 53-21 (a) (2)). In the sexual assault count, the state alleged that the defendant had violated the first degree sexual assault statute (§ 53a-70 (a) (2)) by engaging in fellatio and anal inter- course with the victim, also on diverse dates between 2006 and 2010 at the father's residence. Prior to trial, defense counsel sought a bill of particulars, claiming that the information was duplicitous in that the evidence at trial would show multiple, separate incidents of abuse, each of which could constitute a separate violation of the statutes at issue, giving rise to the risk that the defendant would not be afforded a unani- mous verdict because the jurors could reach a guilty verdict on the same count on the basis of findings as to different incidents of sexual abuse. The trial court denied counsel's motion for a bill of particulars, and, at trial, the state offered testimony from the victim and T about four separate incidents of abuse that occurred on distinct dates, as well as the victim's testimony that additional incidents of abuse had occurred but had ''blurred together'' in his memory. Thereafter, the trial court denied defense counsel's request that the jury be given a specific unanim- ity instruction as to each count. The Appellate Court affirmed the judg- ment of conviction, and the defendant, on the granting of certification, appealed to this court, claiming that the trial court had violated his constitutional right to jury unanimity as to instances of conduct by denying defense counsel's requests for a bill of particulars and a specific unanimity instruction insofar as each count was premised on multiple, separate incidents of unlawful conduct, each of which could establish a separate violation of the same statute. In the alternative, the defendant claimed that the counts pertaining to risk of injury and conspiracy to commit risk of injury violated his right to jury unanimity as to the elements of those crimes because each count was premised on multiple violations of the alternative types of conduct prohibited by § 53-21 (a) (2), namely, the defendant's having contact with the victim's intimate parts, on the one hand, or the defendant's subjecting the victim to contact with the defendant's intimate parts, on the other. Held: 1. Applying the three-pronged test that this court adopted in Douglas C. for claims of jury unanimity as to instances of conduct, this court concluded that, although the risk of injury to a child and conspiracy to commit risk of injury counts were not duplicitous and did not violate the defen- dant's right to unanimity, the first degree sexual assault count was duplicitous, the trial court's denial of counsel's request for a specific unanimity instruction or a bill of particulars with respect to that count violated the defendant's right to unanimity, the defendant suffered preju- dice as a result of that violation, and, accordingly, this court reversed the Appellate Court's judgment insofar as that court affirmed the defendant's conviction of sexual assault in the first degree and remanded the case for a new trial with respect to that offense only: a. The count of the information charging the defendant with risk of injury to a child was not duplicitous because, although the state had the discretion to charge him with violating § 53-21 (a) (2) for each incident of conduct that had occurred, the state properly charged and presented the case to the jury as a continuing course of conduct: Although the risk of injury count was premised on multiple, separate incidents of conduct, insofar as it alleged that the sexual abuse occurred on diverse dates over the span of four years and as the testimony at trial concerned four separate instances of sexual intercourse on distinct dates, the defendant's claim failed under the second prong of the test applicable to unanimity as to instances of conduct for the reasons set forth in the companion case of Douglas C., in which this court held that § 53-21 (a) (2) criminalizes both a single incident of conduct and an ongoing course of conduct such that, when a defendant commits multiple, separate acts of having contact with the intimate parts of the same alleged victim as part of a continuing course of conduct, the state has discretion to charge the defendant either with multiple counts of having violated § 53- 21 (a) (2), with each count premised on a single incident, or with a single count of having violated § 53-21 (a) (2) premised on a continuing course of conduct. In the present case, the trial court's denial of defense counsel's requests for a bill of particulars and a specific unanimity instruction did not violate the defendant's constitutional right to jury unanimity, as the risk of injury count contemplated an ongoing course of conduct, the state charged the defendant with a continuing course of conduct and argued to the jury that multiple incidents of unlawful conduct had occurred, and the jury reasonably could have found that the incidents at issue involved a single victim and furthered a single, continuing objective to touch the victim in a sexual and indecent manner. b. The count of the information charging the defendant with sexual assault in the first degree, in which multiple, separate instances of assault were alleged, was duplicitous, and the trial court's failure to provide the jury with the requested specific unanimity instruction on that count violated his right to jury unanimity by creating the possibility that the jury found him guilty of that offense without having agreed on which of the multiple instances of conduct he committed: In view of the allegations in the sexual assault count, as well as the evidence admitted at trial in support of that charge, including the testi- mony concerning the four specific instances of sexual intercourse, each of which occurred on different dates, at different times, and in different locations in the father's residence, this court concluded that the present case, as presented to the jury, did not involve multiple acts of sexual intercourse committed in the course of a single incident of brief temporal duration but, rather, involved multiple, separate incidents. The language of § 53a-70 (a) (2), as well as this court's case law interpre- ting that language, indicated that the legislature intended to criminalize only single acts of sexual intercourse and not a continuous course of conduct, this court has not recognized a common-law exception for a continuing course of sexual assault, even in cases involving children, and, accordingly, in the absence of a unanimity instruction to the jury, the information charging the defendant with one count of sexual assault premised on multiple, separate instances of conduct, each of which could have supported a separate offense, was duplicitous and violated the defendant's constitutional right to jury unanimity. Moreover, the duplicitous nature of the sexual assault count prejudiced the defendant, as it created the potential for the jury to be confused or to disagree about which of the various, alleged acts of sexual intercourse the defendant committed, as the jury reasonably could have interpreted the trial court's instruction that it must unanimously agree that at least one violation of § 53a-70 (a) (2) occurred by either fellatio or anal inter- course to mean that it had to agree that an instance of sexual intercourse had occurred but not which specific instance had occurred. c. The count of the information charging the defendant with conspiracy to commit risk of injury to a child was not duplicitous: Although there was testimony that the defendant and T gave each other a look before the first, specific instance of sexual assault occurred and that T was present when the defendant sexually assaulted the victim during the third specific instance, it is well established that a conspiracy may be alleged as a continuing course of conduct, and, therefore, a single count of conspiracy premised on a continuous course of conduct is not duplicitous. In the present case, the information and the prosecutor's closing argu- ment to the jury clearly showed that the conspiracy count was premised not on two separate conspiracies but, rather, on a single, ongoing conspir- acy, with the evidence of the look that T and the defendant exchanged and T's presence during the third incident merely constituting separate proof of their ongoing agreement to commit the crime of risk of injury against the victim through contact with intimate parts. 2. The defendant could not prevail on his claim that the risk of injury to a child and conspiracy to commit risk of injury counts were duplicitous on the ground that they violated his right to jury unanimity as to the elements of the crime, as the language in § 53-21 (a) (2) created two ways to satisfy the element of contact with intimate parts, that is, the defendant's having contact with the victim's intimate parts and the defendant's forcing the victim to have contact with the defendant's intimate parts: Upon review of this state's precedent and federal case law, this court concluded that the appellate courts of this state have been applying the wrong test to claims regarding jury unanimity as to the elements and adopted the test applied by the majority of federal courts of appeals to determine whether multiple statutes, statutory provisions, or statutory clauses constitute separate elements or alternative means of committing a single element, pursuant to which courts consider the statutory lan- guage, relevant legal traditions and practices, the overall structure of the statute at issue, its legislative history, moral and practical equivalence between the alternative actus rei or mentes reae, and any other implica- tions for unfairness associated with the absence of a specific unanim- ity instruction. This court's case law suggested that the language in § 53-21 (a) (2) prohibiting any person from ''[having] contact with the intimate parts . . . of a child under the age of sixteen years or subject[ing] a child under sixteen years of age to contact with the intimate parts of such person'' established alternative means of violating the statute rather than separate elements, and, to the extent the statutory language was ambiguous, the legislative history indicated that subsection (a) (2) of § 53-21 was created to distinguish sexual contact from the nonsexual contact prohibited under subsection (a) (1), and this court was not aware of any moral or practical distinction between a defendant's having contact with a child's intimate parts and a defendant's forcing of a child to have contact with the defendant's intimate parts. (Two justices concurring in part and dissenting in part) Argued November 15, 2021—officially released December 13, 2022

Full Opinion (html_with_citations)

Case ID: 9367844 • Docket ID: 66730729