State v. Douglas C.

Citation345 Conn. 421
Date Filed2022-12-13
DocketSC20456
JudgeRobinson; McDonald; D’Auria; Mullins; Ecker; Keller
Cited19 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. Convicted of five counts of the crime of risk of injury to a child in connection with the sexual abuse of five victims, including N, S, and T, the defendant appealed to the Appellate Court. The defendant allegedly had sexual and indecent contact with the intimate parts of the victims, all of whom were under sixteen years of age at the time, on multiple occasions over the course of several years, while at the defendant's home. Each of the five risk of injury counts pertained to a different child. At the defendant's trial, N and T testified regarding the defendant's frequent touching of their breasts, and S testified about a single evening during which the defendant touched her vagina multiple times and made contact with her breasts. During the defendant's trial, defense counsel requested that the court provide a specific unanimity jury instruction on each of the risk of injury counts, claiming that the evidence demonstrated that there were discrete incidents of abuse and not a continuing course of conduct, which could cause the jurors to reach a guilty verdict on a particular count on the basis of findings as to different incidents of abuse. The trial court nevertheless denied the request for a unanimity instruction with respect to the counts pertaining to N, S, and T. On appeal to the Appellate Court from the judgment of conviction, the defendant claimed, inter alia, that the risk of injury counts pertaining to N, S, and T were duplicitous insofar as each count charged him with a single violation of the risk of injury to a child statute (§ 53-21 (a) (2)), even though there was evidence that he had engaged in multiple, separate instances of unlawful conduct, and that the trial court, therefore, improperly had declined defense counsel's request for a specific unanimity instruction as to those counts, in violation of his right to a unanimous jury verdict on each count. The Appellate Court affirmed the trial court's judgment, and the defendant, on the granting of certification, appealed to this court. Held: 1. This court's review of federal case law concerning the scope of the unanimity requirement led it to clarify that a duplicitous information may raise two distinct and separate kinds of unanimity issues, that is, unanimity as to the elements of a crime and unanimity as to instances of conduct, the defendant's claims in the present case related to unanim- ity as to instances of conduct, and this court adopted the approach utilized by a majority of the federal courts of appeals for determining whether a criminal information gives rise to unanimity claims based on instances of unlawful conduct: The issue of unanimity as to the elements of a crime arises when a defendant is charged in a single count with having violated multiple statutory provisions, subsections, or clauses, and, when such an issue is presented, a court must determine whether the statutory language creates multiple elements, each of which the government must charge as a separate offense, or alternative means of committing the element at issue. The issue of unanimity as to instances of conduct arises when a defendant is charged in a single count with having violated a single statutory provi- sion, subsection, or clause on multiple, separate occasions, and the dispute centers on whether, in light of the statutory language, the defen- dant could be convicted of a single count of violating a statute based on evidence of multiple, separate occurrences of the prohibited act or acts. In the present case, the defendant claimed that the counts of the informa- tion pertaining to N, S, and T violated his right to unanimity as to instances of conduct, insofar as each count was premised on multiple, separate instances of conduct and the trial court had declined to provide a specific unanimity instruction as to those counts. This court adopted the following multipart test, employed by federal courts, for claims of unanimity as to instances of conduct, to determine whether a defendant's constitutional right to jury unanimity was violated by the trial court's failure to give a specific unanimity instruction. First, considering the allegations in the information and the evidence admitted at trial, does a single count charge the defendant with violating a single statute in multiple, separate instances? Second, if so, does each instance of conduct establish a separate violation of the statute? If the statute contemplates criminalizing a continuing course of conduct, then each instance of conduct is not a separate violation of the statute but a single, continuing violation. To determine whether the statute contemplates criminalizing a continuing course of conduct, well established principles of statutory interpretation should be employed. Only if each instance of conduct constitutes a separate violation of the statute is a count duplicitous. Third, if the count is duplicitous, was the duplicity cured by a bill of particulars or a specific unanimity instruction? If yes, then there is no unanimity issue. If not, then a duplicitous count violates a defendant's right to jury unanimity but reversal of the defendant's conviction is required only if the defendant establishes prejudice. In light of this court's adoption of the foregoing test for claims of unanim- ity as to instances of conduct, to the extent that this court and the Appellate Court in previous cases have failed to heed the relevant federal precedent and to distinguish between unanimity as to the elements of a crime and unanimity as to instances of conduct, this court overruled those prior cases. 2. Applying the newly adopted test for unanimity as to instances of conduct, this court concluded that the counts of the information pertaining to N, S, and T were not duplicitous and that the trial court's failure to grant defense counsel's request for a specific unanimity instruction as to those counts, therefore, did not violate the defendant's constitutional right to jury unanimity, and, accordingly, affirmed the Appellate Court's judgment: a. The counts of risk of injury to a child pertaining to N and T, which were based on similar testimony about the defendant's touching of N's and T's intimate parts, were not duplicitous: Under the first prong of the multipart test, this court concluded that the counts pertaining to N and T were premised on multiple, separate incidents of conduct and not a single incident, insofar as there was testimony that the defendant frequently touched N's and T's breasts in a sexual and indecent manner during N's weekly visits to the defendant's residence and whenever T was at the residence. Under the second prong, regarding whether each incident could establish an independent violation of § 53-21 (a) (2), this court concluded that the state had the discretion to charge the defendant with having violated § 53-21 (a) (2) as to each incident of conduct or to present those incidents to the jury as a continuing course of conduct, because, although the plain language of the statute was ambiguous as to whether the multiple, separate instances of conduct at issue were separate and distinct viola- tions of § 53-21 (a) (2), nothing in that statute's legislative history sug- gested that the legislature intended to abrogate this court's prior case law interpreting § 53-21 to allow a defendant to be charged under a continuing course of conduct theory. Moreover, not only does § 53-21 (a) (2) contemplate criminalizing a continuing course of conduct, but, in the present case, the state charged the defendant under such a theory, alleging in the counts pertaining to N and T that the defendant had contact with their intimate parts in a sexual and indecent manner over a period of time, rather than charging the defendant with a single instance of contact as to each child on a single date, and the jury reasonably could have found that the multiple, separate incidents of conduct constituted a continuing course of conduct on the basis of the evidence presented at trial, especially the testimony of N, T, and the other victims. b. The count of risk of injury to a child pertaining to S, which was premised on multiple acts of sexual and indecent contact with S's vagina and breasts during a single evening, was not duplicitous: Although it may be difficult to determine whether a single count is premised on multiple acts, each of which is committed in the course of a single criminal episode of relatively brief, temporal duration, and thus constitutes alternative means of committing the elements at issue, or whether the count is premised on multiple, separate and distinct acts, each of which could constitute a separate statutory violation, in the present case, the jury reasonably could have interpreted the evidence as demonstrating that the defendant's acts toward S constituted either a single criminal episode of relatively brief, temporal duration or a contin- uing course of conduct in that the acts occurred multiple times during a single evening, involved a single victim and furthered a single, continuing objective to touch S in a sexual and indecent manner. (Two justices concurring separately) Argued November 15, 2021—officially released December 13, 2022

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Case ID: 9367845 • Docket ID: 66730730