State v. Douglas C. (Concurrence)

CourtSupreme Court of Connecticut
DecidedJanuary 10, 2023
DocketSC20456
StatusPublished

This text of State v. Douglas C. (Concurrence) (State v. Douglas C. (Concurrence)) 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. Douglas C. (Concurrence), (Colo. 2023).

Opinion

*********************************************** The “officially released” date that appears near the be- ginning of each opinion is the date the opinion will be pub- lished in the Connecticut Law Journal or the date it was released as a slip opinion. The operative date for the be- ginning of all time periods for filing postopinion motions and petitions for certification is the “officially released” date appearing in the opinion.

All opinions are subject to modification and technical correction prior to official publication in the Connecticut Reports and Connecticut Appellate Reports. In the event of discrepancies between the advance release version of an opinion and the latest version appearing in the Connecticut Law Journal and subsequently in the Connecticut Reports or Connecticut Appellate Reports, the latest version is to be considered authoritative.

The syllabus and procedural history accompanying the opinion as it appears in the Connecticut Law Journal and bound volumes of official reports are copyrighted by the Secretary of the State, State of Connecticut, and may not be reproduced and distributed without the express written permission of the Commission on Official Legal Publica- tions, Judicial Branch, State of Connecticut. *********************************************** STATE v. DOUGLAS C.—CONCURRENCE

MULLINS, J., with whom KELLER, J., joins, concur- ring in the judgment. I agree with the majority that we should formally recognize a distinction between two types of duplicitous charging: (1) the charging of dis- tinct crimes that violate multiple statutory provisions or subsections within a single count (which implicates what the majority terms ‘‘unanimity as to elements’’), and (2) the charging of multiple instances of the same crime within a single count (which implicates what the majority terms ‘‘unanimity as to instances’’). See part I B of the majority opinion. I also agree with the majori- ty’s ultimate conclusion that the charges in this case were not impermissibly duplicitous and, therefore, that the conviction of the defendant, Douglas C., Jr., on multiple counts of risk of injury to a child in violation of General Statutes § 53-21 (a) (2)1 should be affirmed. I part ways with the majority with respect to its state- ment of the law that governs duplicity/unanimity as to multiple instances of the same offense; see id.; and its application of that law to the present case. See part II of the majority opinion. Specifically, I believe that this court should adopt the more flexible, case-by-case framework used by the United States Court of Appeals for the Second Circuit, among other courts. We typically defer to that court’s interpretations of federal law, and there are compelling reasons—both principled and practical—to do so with respect to the law of duplicity and unanimity. I believe that the majority’s approach will lead to the needless repetitive charging of criminal defendants and make it virtually impossible to prose- cute some of the most heinous crimes, especially those involving the sexual abuse of young children. I As I understand it, the majority adopts a two part test, with one significant exception, to assess challenges to a criminal prosecution in which a single count charges the defendant with violating a single statute in multiple, separate instances. First, we look to see whether there are multiple instances of conduct charged in one count, where each instance could establish a separate violation of the same statute based on the evidence submitted at trial. If so, the count is presumptively duplicitous. There is an exception, however, ‘‘when the multiple instances of conduct constitute ‘a continuing course of conduct, during a discrete period of time . . . .’ ’’ Part I B of the majority opinion. Course of conduct charging is not duplicitous, but only so long as the legislature specifically contemplated that the statute at issue could be charged as a course of conduct crime. Second, in the absence of a bill of particulars or a specific unanimity instruction, all duplicitous charges violate a defendant’s constitutional right to jury unanimity, but the court then must consider whether that constitutional violation is harmless. I readily acknowledge that this is one permissible approach to the issue of duplicitous charging. As I will discuss, a few of the federal courts of appeals, as well as a handful of our sister state courts, have adopted similar frameworks. And it is not without its merits, primary among them that it purports to be relatively simple and straightforward to apply. But see part II of this opinion. I disagree, however, with the majority’s contention that the ‘‘federal courts agree’’ with its per se ban on duplicitous charging. Part I B of the majority opinion. The very cases on which the majority relies expressly acknowledge that other courts of appeals apply a differ- ent framework,2 and the majority concedes that the Second Circuit approach, among others, differs. See footnotes 15 and 18 of the majority opinion. Much of the difference between my view and the majority’s view centers on how to treat course of con- duct charging. The framework I would have us adopt when assessing whether charging multiple instances in a single count is permissible or impermissible is the following four step approach: First, pursuant to General Statutes § 1-2z, if the statute at issue either expressly permits or expressly bars course of conduct charging, or if there are other clear indicia of legislative intent, then courts must defer to the legislative will. Second, if the statute at issue is silent as to course of conduct charging, and there are no other clear indicia of legisla- tive intent, as will most often be the case, then the prosecutor has the discretion to charge repeated viola- tions of the statute as individual incidents or as a single course of conduct. Third, notwithstanding the prosecu- tor’s charging decision, the trial court should determine whether such charging (1) would be unreasonable or unfair under the circumstances or (2) would otherwise violate the defendant’s fifth and sixth amendment (and corresponding state constitutional) rights to notice, to present a defense, to a unanimous jury verdict, and to not twice be placed in jeopardy for the same offense, among others. Such determinations must be made on a case-by-case basis. If, at trial, the judge concludes that there is potential for unfairness or a constitutional violation, then the judge should not permit course of conduct charging and should either order that the charges be separated or give an instruction to the jury that it must be unanimous as to at least one specific incident.3 Fourth, if an appellate court, on review, con- cludes that the trial court should not have permitted course of conduct charging, either because the defen- dant’s conduct cannot fairly be characterized as a single scheme or pattern under the statute at issue, or because the constitutional rights that underlie the rule against duplicity were not adequately secured, then the trial court’s determination is subject to harmless error analysis. In other words, then, the two primary differences between my approach and the majority’s approach are these. First, the majority agrees with those courts that have concluded that only the legislature can sanction course of conduct charging, and it must indicate its intent to do so. Otherwise, course of conduct charging is constitutionally impermissible. By contrast, I agree with those courts that have held that, unless otherwise specified, the legislature presumptively leaves to the prosecutor the decision of whether course of conduct charging is appropriate in a given case. This prosecu- torial discretion is not unbridled.

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

Related

United States v. Bowser
132 F.3d 1454 (Fifth Circuit, 1997)
United States v. Schlei
122 F.3d 944 (Eleventh Circuit, 1997)
Richardson v. United States
526 U.S. 813 (Supreme Court, 1999)
Ramirez-Martinez v. United States
537 U.S. 930 (Supreme Court, 2002)
Barnhart v. Sigmon Coal Co.
534 U.S. 438 (Supreme Court, 2002)
United States v. Tawik
391 F. App'x 94 (Second Circuit, 2010)
United States v. Klat, Susan Viola
156 F.3d 1258 (D.C. Circuit, 1998)
William Alfred Reno v. United States
317 F.2d 499 (Fifth Circuit, 1963)
Lesly Cohen v. United States
378 F.2d 751 (Ninth Circuit, 1967)
United States v. Joseph Alfred Tanner
471 F.2d 128 (Seventh Circuit, 1972)
United States v. Franklin Delano Gipson
553 F.2d 453 (Fifth Circuit, 1977)
United States v. W. Baldwin Droms
566 F.2d 361 (Second Circuit, 1977)
United States v. Phillips Lee Saunders
641 F.2d 659 (Ninth Circuit, 1981)
United States v. Joseph M. Margiotta
646 F.2d 729 (Second Circuit, 1981)
United States v. James A. Conlon
661 F.2d 235 (D.C. Circuit, 1981)
United States v. Jerome Berardi
675 F.2d 894 (Seventh Circuit, 1982)
United States v. John A. Shorter, Jr.
809 F.2d 54 (D.C. Circuit, 1987)

Cite This Page — Counsel Stack

Bluebook (online)
State v. Douglas C. (Concurrence), Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-douglas-c-concurrence-conn-2023.