State v. KluttzState v. Kluttz
Lead Opinion
Thе principal issues of these appeals are (1) whether negligent homicide with a motor vehicle, as defined in
On January 19,1983, at approximately 2:55 p.m., the defendant was operating a tractor-trailer truck on Interstate 95 at the Stratford toll station and caused a motor vehicle accident involving several other vehicles which resulted in the deaths of seven people. The state charged him with seven counts of misconduct with a motor vehicle in violation of
The defendant appealed from the judgment of conviction, claiming that the court erred (1) in submitting to the jury negligent homicide with a motor vehicle as a lesser included offense of misconduct with a motor vehicle, (2) in admitting into evidence an out-of-court statement of the defendant, (3) in denying the defendant’s motion for a mistrial which was based on the assistant state’s attorney’s allegedly improper com
I
The Defendant’s Appeal
A
NEGLIGENT HOMICIDE WITH A MOTOR VEHICLE AS A LESSER INCLUDED OFFENSE OF MISCONDUCT WITH A MOTOR VEHICLE
The defendant’s principal claim on appeal is that negligent homicide with a motor vehicle, in violation of
At the state’s request and over the objection of the defendant, the court instructed the jury that, if they werе not persuaded that the defendant was guilty of misconduct with a motor vehicle, they could convict him of the lesser included offense of negligent homicide with a motor vehicle.
The defendant concedes that, if negligent homicide with a motor vehicle were a “crime” rather than a
While at first blush the state’s argument is attractive, on closer scrutiny it becomes apparent that a basic step has been overlooked in determining the applicability of the statutes cited in support of the analysis. It is clear from the language emphasized in the statutes defining “violation” and “misdemeanor” that, before the definitions apply, the statute violated must be an “offense.” It is equally clear, however, that by the express terms of
First,
The legislative history of
The statute regarding negligent homicide with a motor vehicle was originally enacted in 1941, and was codified with the motor vehicle statutes. General Statutes (Sup. 1941) § 235f. That section was part of title XII, entitled “Motor Vehicles.” In 1969, when the penal code was adopted to take effect October 1,1971, negligent homicide with a motor vehicle was left untouched as then
From 1969 to 1971, therefore, misconduct with a motor vehicle, which requires proof of criminal negligence; see
In 1971, however, the legislature repealed
In 1973, the statute concerning negligent homicide with a motor vehicle was reenacted; Public Acts 1973, No. 73-639, § 5; as a class B misdemeanor within the penal code. See
Our conclusion that negligent homicide with a motor vehicle as defined in
First, as a matter of precedent, in State v. Hancich,
We read State v. Hancich, supra, as standing for the proposition that the lesser included offense doctrine applies between motor vehicle violations and infractions, both of which are clearly excepted from the penal code definition of “offense.” See footnote 3, supra. Therefore, if the doctrine applies between two offenses as defined by the penal code in
Second, the function and doctrinal roots of lesser included offense analysis lead to the conclusion that the doctrine applies in this case. “The doctrine of lesser included offenses in Connecticut serves the state by precluding acquittal due to failure of proof of the greater crime, the accused by permitting conviction of a lesser crime, and the constitution by preserving the function of the factfinder.” State v. MacFarlane,
Although it has not been held that a defendant has a constitutional right to a lesser included offense instruction; see Beck v. Alabama,
ADMISSION OF OUT-OF-COURT STATEMENTS OF DEFENDANT
The defendant next claims that the court erred in admitting certain out-of-court statements of his which were made prior to the accident, because they were hearsay, were self-serving and lacked reliability, and thus did not come within any exception to the hearsay rule.
The state presented Trooper Harold Adams of the Virginia state police as a witness. After an examination out of the jury’s presence, he testified before the jury that at approximately 11 p.m. on January 18,1983, which was sixteen hours before the accident, he had a conversation with the defendant on Interstate 95 in Virginia. The defendant was proceeding northbound in the same tractor-trailer that was involved on the same interstate highway in the Connecticut accident. The defendant stated to Adams that he had recently replaced a head on his vehicle’s speedometer, and the defendant estimated his speed to Adams in terms, not of miles per hour as would be indicated by the speedometer, but of revolutions per minute as indicated by his tachometer. Thus, the jury could infer that the defendant’s speedometer was not working properly. The evidence was relevant to the state’s claim that the defendant was traveling too fast at the time of the accident sixteen hours later. The defendant does not question its relevance.
The defendant objected at the examination on the basis, inter alia, that the statement was not against his interest when it was made and was self-serving. The
The defendant’s claim is effectively disposed of by State v. Stepney,
C
THE ARGUMENT OF THE STATE IN FINAL CLOSING ARGUMENT
The defendant next claims that the court erred in denying his motion for a mistrial which was based on
In final closing argument; see
The ultimate question on a motion for mistrial is whether there was “ ‘substantial and irreparable prejudice to the defendant’s case.’
The constitutional prohibition against indirect comment on the defendant’s failure to testify “does not mean, however, that the state is precluded in argument from commenting on the strength of its case or the weakness of the defense case. State v. Magnotti, [
A careful reading of the challenged language in its context yields the conclusion that it referred solely to the strength of the state’s case, and not to the failure of the defendant to testify. In proving guilt beyond a reasonable doubt, the state must produce proof which precludes every reasonable hypothesis of innocence, is consistent with guilt and is inconsistent with any other rational conclusion. State v. Dumlao,
Furthermore, even if we assume, as the defendant argues, that the challenged language asked the jury to seek a reasonable explanation of innocence from the defendant, taken in context it was not improper. There was evidence, introduced through the defendant’s doctor and a hospital social worker, that he suffered from retrograde amnesia, that he did not remember the accident, but that he did remember trying to use his brakes.
The challenged language was in response to statements made by defense counsel in his closing argument. He had argued thаt there were reasonable explanations for the accident which were consistent with the defendant’s innocence. These arguments referred to the defendant’s amnesia, and counsel further argued that it was reasonable to infer that the defendant’s brakes had unexpectedly and suddenly failed, that he downshifted gears in an attempt to slow his tractor-trailer as he approached the toll station, and that he applied his emergency brake, which explained certain skid marks on the road. In sum, his argument was that it was a reasonable explanation from the evidence that the accident was caused, not by the defendant’s negligence, but by mechanical failure which was beyond his control.
The state was entitled to comment on the weakness of the defendant’s case and his failure to support his own factual theories. State v. Allen, supra. This is especially true where the defendant has provided the jury with a reason for his failure to explain the events leading up to the accident, namely, that he suffered amnesia. The defendant’s case necessarily would require persons other than the defendant to supply information or explanations; State v. Allen, supra; as to what occurred. The failure of the defendant to call expert or lay witnesses in support of his theory is a legitimate area of comment. Where the defendant presented the jury with an explanation for his failure to explain the events surrounding the accident, and where that explanation was unrelated to the defendant’s constitutional right not to testify, we cannot conclude that the jury naturally and necessarily interpreted the state’s argument as a comment on his failure to testify. Id.
D
JURY INSTRUCTION ON NEGLIGENCE
The defendant’s fourth claim of error requires little discussion. In explaining the concepts of negligence and criminal negligence to the jury, the court a number of times used the term “simple negligence.” The defendant timely excepted to the charge.
It is clear from reading the entire charge, as we must; State v. Wright,
II
The State’s Appeal
The state challenges the trial court’s ruling that double jeopardy principles prevent imposing more than one sentence upon the defendant after his conviction on seven counts involving the deaths of seven persons. We agree with the state, and remand the case for imposition of new sentences.
We first consider the defendant’s argument that this appeal is moot because the court, in imposing the sentence, stated that even if it had determined that it was
It is well established that, from a defendant’s standpoint, multiple convictions yielding concurrent sentences do not result in mootness, because they also yield significant сollateral consequences beyond the time spent in incarceration. Barlow v. Lopes,
Prior to trial, the defendant filed a “Motion for Ruling Re: The Court’s Power To Sentence Consecutively,” in which he requested the court to rule “[wjhether double jeopardy permits more than one sentence for Misconduct with a Motor Vehicle in this case and, if so, whether the sentences can be consecutive or must be concurrent?” The court ruled that double jeopardy principles required that a violation of
The trial court’s ruling, and the state’s claim of error, implicate “the protection afforded by . . . [the double jeopardy] provision against multiple punishments for the same offense. North Carolina v. Pearce,
The defendant argues that the reasoning underlying the Couture decision, namely, to protect “citizens from the criminal conduct of another”; State v. Couture,
The repeal of the penal code version of negligent homicide with a motor vehicle and its reenactment as a motor vehicle violation does not change this result. The legislative history makes clear that with the movement of the statute to title 14, “[t]he penalties do not change. Nothing changes in the existing law . . . The penalties remain the same . . . .”24 H.R. Proc., Pt. 3, 1981 Sess., p. 885, remarks of Representative Richard D. Tulisano. We conclude, therefore, that by proscribing conduct which leads to the death of “another person,” the legislature intended to punish the “individual acts” of causing death separately rather than “the course of action which they constitute.” State v. Rawls, supra, 121.
The conclusion that a vehicular homicide resulting in multiple deaths yields multiple sentences is in accord with the great weight of authority in other jurisdictions. See, e.g., State v. Miranda,
The defendant also argues that the rule of lenity should be applied when construing
There is no error on the defendant’s appeal. There is error on the state’s appeal, the judgment is set aside and the case is remanded to the trial court for resentencing in accordance with this opinion.
In this opinion Daly, J., concurred.
Notes
“(b) Misconduct with a motor vehicle is a class D felony.”
“(b) Notwithstanding the provisions of subsection (a), the provisions of sections 53a-28 to 53a-44, inclusive, shall apply to motor vehicle violations. Said provisions shall apply to convictions under section 21a-278 except that the execution of any mandatory minimum sentence imposed under the provisions of said section may not be suspended.”
“(b) Every violation defined in this chapter is expressly designated as such. Any offense defined in any other section which is not expressly designated a violation or infraction shall be deemed a violation if, notwithstanding any other express designation, it is within the definition set forth in subsection (a).”
An example of a penal code “violation” is
We reject the state’s argument that the defendant did not properly preserve this issue for appeal. The defendant specifically objected to the state’s request to give the instruction, took exception when the court indicated that it intended to grant the request, took exception after the instruction was given, and reiterated his claim in argument on his motion for judgment of acquittal after the verdicts. He was not required, as the state suggests, to repeat the claim when the court, in response to specific questions from the jury regarding the meaning of negligence, repeated its instructions on that meaning. Cf. State v. Hilliard,
The penal code was adopted in 1969 and became effective on October 1, 1971. Public Acts 1969, No. 828. The exemption of infractions from the definition of “offense” was added in 1975. Public Acts 1975, No. 75-577, § 8.
We recognize that this reasoning is at odds with that of the Appellate Session of the Superior Court in State v. Anonymous (1980-5),
We also recognize that the commentary to
We do not suggest that a motor vehicle violation cannot be treated as a criminal offense for purposes of the procedures which must be followed for prosecution thereof. Indeed, the Practice Book rules and procedures in criminal cases;
The two cases from other jurisdictions which the defendant has brought to our attention; Commonwealth v. Galvin,
We reject the state’s claim that the defendant did not raise this claim with sufficient clarity in the trial court,. Our review of the transcript indicates otherwise.
Wе also reject the state’s claim that the defendant did not preserve this issue for appeal by restating his objection when the testimony was repeated, in somewhat abbreviated and refined terms, in the presence of the jury. Although there is prior authority supporting the state’s position; see State v. Bell,
The defendant’s suggestion that our civil cases have not yet adopted the rule that a statement of a party-opponent, as distinguished from a declaration against interest, need only be relevant to be admissible, is both beside
We need not discuss at length the competing claims of the parties concerning two earlier, pretrial rulings by the court, Reilly, J., on a motion to dismiss or consolidate filed by the defendant, and on an earlier “Motion Re: Ruling,” filed by the defendant which was worded identically to the motion acted on by the judge who presided at the trial, Bingham, J. Judge Reilly denied both of the earlier motions. Suffice it to say that our review of the trial court record discloses that the parties did not understand Judge Reilly’s decisions to determine conclusively, for purposes of the case, whether multiple punishments could be imposed in the event of multiple convictions, as opposed to whether there could be multiple counts of prosecution. In tackling head-on the thorny issue of multiple sentences when it was presented, Judge Bingham did not violate the “flexible principle” of the law of the case; Breen v. Phelps,
We note, moreover, that even under the defendant’s analysis the requisite ambiguity would be lacking. “The ‘touchstone’ of the rule of lenity is ‘statutory ambiguity.’ ” State v. Madera,
The title 14 definition of a “person” as “any individual” is no less singular in its connotation than the Penal Code definition of a “person” as “a human being.” State v. Couture,
Concurrence Opinion
concurring. I concur in the results of the majority opinion, but disagree with the conclusion that
The penal code was the product of extensive and intensive research and study by a commission appointed to revise and codify the criminal statutes of the state. 31 Spec. Acts 348, No. 351; 32 Spec. Acts 323, No. 314. The codification and application of the penal code consisted of two steps, its original enactment in 1969 and the initial amendments adopted in 1971 prior to its effective date. Its final publication in 1971 was accompanied by comments of the commission “to indicate the rationale, background and source of the various portions of the Code, as an aid to interpretation thereof.” Commission to Revise the Criminal Statutes, Penal Code Comments, Connecticut General Statutes, p.l. The commission’s comments to
The Model Penal Code defines a violation in § 1.04 (5) in these terms: “An offense defined by this Code or by any other statute of this State constitutes a violation if it is so designated in this Code or in the law defining the offense or if no other sentence than a fine, or fine and forfeiture or other civil penalty is authorized upon conviction or if it is defined by a statute other than this Code that now provides that the offense shall not constitute a crime. A violation does not constitute a crime and conviction of a violation shall not give rise to any disability or legal disadvantage based on conviction of a criminal offense.”
It is clear that a distinction must be made between the statutory categorization or classification of a transgression of the law as a “violation,” and the general definition of any transgression of the law as a “violation of that law.” The majority opinion has failed to make this refinement of the two uses of the word “violation.” In the context of a criminal prosecution, by definition, the accused is always charged with the “violation of a law.” The same holds true in the prosecution under motor vehicle statutes; by definition, the defendant is charged with the “violation of a motor vehicle law.” In either case, the categorization or classification of the breach of any law, penal or motor vehiclе, as a “violation” is determined by the maximum penalty autho
This analysis of
Continuing the definitive analysis of the penal code,
Relating back to the commission’s reference to its explanation of an “unclassified felony,” I find the following analysis in its comment to
The classification of a transgression of the law as a “violation” in
At the time of the adoption of the penal code in 1969, negligent homicide with a motor vehicle, then codified as § 14-218 of the motor vehicle laws, was manifestly a misdemeanor providing for a fine of $500 or imprisonment of six months, or both. By virtue of the classification of misdemeanors in
House Bill No. 7660, Session of 1971, entitled, “An Act Concerning the Extension of Negligent Homicide to Private Parking Areas” was introduced in the legislature for its stated purpose. Thereafter, a substitute bill was approved favorably by the joint standing committee on the judiciary. The substitute bill, repealing
The enactment of Public Acts 1971, No. 30, effectively removed negligent homicide with a motor vehicle from our statutes. This void, however, was corrected by the General Assembly two years later when it reenacted the negligent homicide law along with other amendments to the penal code. Public Acts 1973, No. 73-639, § 5. In its new form, it now extended to private parking areas by its modified terms and specifically classified a violation of the law for purposes of punishment as a misdemeanor. Codified as
In State v. Anonymous (1980-5),
In that case, the state had unsuccessfully claimed that operating under the influence of liquor was not a crime because it fell within the “motor vehicle violation” exception to the definition of “offense” in
In the following session of the legislature, negligent homicide with a motor vehicle was transferred from its then location in
“Recognizing, however, that simple negligence, in itself, should incur some repercussion to the operator, by moving it over to the motor vehicle statutes section of our statutes, we insure that we do not run a constitutional problem with it not requiring what is known as the mens rea, that is the intent to commit a сrime, and becomes just as something that is prohibited on its face. The penalties do not change. Nothing changes in the existing law, but its intent is to make sure that this conduct will not be declared unconstitutional. The penalties remain the same, but it’s putting in of [title] 14 of our General Statutes. I might point out that when this bill was first enacted and for many years it was in fact situated and at one point it was repealed and they reenacted it. They put it in [title] 53a and that’s inexplainable to me. But I think that’s where it belongs so we can keep it on the books.” 24 H.R. Proc., Pt. 3, 1981 Sess., pp. 884-85.
In answer to the question whether a person accused of negligent homicide with a motor vehicle as reenacted under the bill in title 14, the motor vehicle laws, would be able to take advantage of the pretrial accelerated rehabilitation program, Representative Tulisano replied: “There is an Appellate Session decision which indicates any time there is, in fact, a potential penalty for prison, imprisonment, so that we could have drunken driving statutes as well as this statute, even though they are in the motor vehicle section of our statutes, acceler
In the Senate Proceedings, a more pointed purpose was expressed, as noted by the majority opinion, in the following remarks of Senator Howard T. Owens, Jr.: “The Bill itself, under existing law, a person who causes the death of another person by negligently operating a motor vehicle, may be fined uр to $1,000 or imprisoned up to six months or both. This Bill would change the classification of the offense from a Class B misdemeanor to a motor vehicle violation. . . . [Tjhis should be classified as a motor vehicle violation and in fact, not a criminal offense and this is the purpose of the statute.” 24 S. Próc., Pt. 3,1981 Sess., pp. 707-708.
The legislature to this time has failed to define “a motor vehicle violation” within the context of the exception to
Title 14 contains other laws that are defined and classified as offenses and crimes under the provisions of
A review of title 14 discloses many provisions carrying penalties beyond the scope of a “violation,” defined in
“Any person, firm or corporation engaging in the business of the repairing of any motor vehicle without a license shall be guilty of a class C misdemeanor.”
Chapter 247 of title 14, cited as the Uniform Motor Vehicle Certificate of Title and Anti-Theft Act;
The severity of these provisions is intensified by § 14-200, which states: “The penal provisions of this chapter in no way repeal or modify any existing provision of criminal law but are additional and supplementary thereto.”
Chapter 248, entitled “Vehicle Highway Use,” contains the most commonly cited penal provisions of title 14, including § 14-222a, negligent homicide with a motor vehicle, under consideration here. The operation of a motor vehicle after the vehicle’s registration or the operator’s license has beеn refused, suspended or revoked subjects the operator to a fine of not less than
A subsequent conviction of reckless driving in violation of § 14-222 increases the penalty to a fine of up to $600 and imprisonment of not more than one year, or both.
The penalties for operating under the influence of liquor or drugs are progressive in nature, ranging from a fine of not less than $500 nor more than $1000 оr imprisonment of not more than six months, or both, for a first offense, to a fine of not less than $2000 nor
The foregoing motor vehicle laws of Title 14 and the penalties prescribed for their “violation” illustrate only the upper gradations of penalties provided for the more serious motor vehicle offenses. Their range of possible imprisonment extends from one year to five years, the equivalent terms for class A misdemeanors and class D felonies.
The inescapable conclusion to be drawn from this review of the motor vehicle laws contained in title 14 is that the more serious violations are crimes and offenses consisting of unclassified misdemeanors, such as § 14-222a, negligent homicide with a motor vehicle, and unclassified felonies. See
To this extent, I disagree with the majority opinion.
It is well settled that the report and commentary of a commission on a revision of statutory law provides evidence of legislative intent. State v. Rastopsoff,