State v. NixonState v. Nixon
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The defendant appeals from the judgment of conviction, rendered after a jury trial, of conspiracy to assault an employee of the department of correction;
The defendant claims that the trial court (1) should have stricken the added counts charged by the state in the substitute information and granted the defendant a continuance, (2) arraigned the defendant in the presence of the jury in violation of his right under the fifth amendment to the United States constitution not to be compelled to testify against himself,
The jury reasonably could have found the following facts. The defendant was incarcerated in the segregation unit of the Somers correctional institution. On the morning of January 11, 1991, correction employees Moses Williams, John Pearson, Stewart Felton and Michael Rutkowski were on duty when the defendant returned to his cell unit.
When he reentered the segregation unit, the defendant proceeded to cell number seventy-eight where another inmate, Francis Anderson, was incarcerated. Anderson was a particularly dangerous inmate. While correction employees were attempting to cuff Anderson’s hands behind his back and shackle his feet, the defendant yelled “pop seventy-eight,” a term used to request a correction employee to open a cell. In response, a prison employee mistakenly heeded the defendant’s request. Anderson emerged from the cell unrestrained and proceeded toward a staircase. He ignored repeated orders to return to his cell.
Pearson sought to restrain the defendant, but the defendant was unwilling to cooperate and obey orders. Pearson was concerned that the defendant posed a
After the jury returned a guilty verdict, the defendant filed a motion for judgment of acquittal. The court denied the motion,
I
The defendant claims that the trial court improperly refused to strike the state’s substitute information or, alternatively, to grant the defendant a continuance. The defendant’s argument is predicated on the assertion that by bringing additional charges immediately before jury selection, the state prejudiced the defendant’s substantive rights. We disagree.
On May 7,1991, the state charged the defendant with four criminal offenses: two counts of conspiracy to assault a correction employee and two counts of conspiracy to commit second degree assault. On October 28, 1991, the day before jury selection,
Before jury selection, the defendant objected to the additional charges and sought a continuance. While defense counsel stated to the court that the added counts would affect his questioning of potential jurors, he did not specify at any time how the new charges would affect the voir dire. The court overruled the defendant’s objection and noted an exception to the ruling. The state called its first witness seven days later.
“[F]or purposes of
In this case, it is undisputed that the substitute information was filed prior to the commencement of the voir dire. Consequently, § 623 governed the trial court’s
In State v. Huff,
The issue before this court in Huff was whether the added charge prejudiced the defendant’s substantive rights. Id., 345. We held that it did not, reasoning that (1) the additional count involved the same “factual matrix” as the first count, (2) the defendant was able to prepare sufficiently for the trial on the basis of his access to police reports in the state’s attorney’s file, and (3) the defendant did not dispute the commission of the crime, but rather claimed that he was not involved. Id., 346.
In the present case, the trial court’s ruling is fully consistent with our decision in State v. Huff, supra, 344-47. Clearly, the added counts of accessorial liability and rioting arose out of the same factual matrix as the initial charges. Further, because the defendant at all times knew of the alleged facts underlying the added crimes and because he had notice of the added charges a full week prior to the commencement of the state’s
The defendant argues that the trial court’s decision impeded his ability to conduct a meaningful voir dire, especially since the new counts subjected him to significantly greater sentencing exposure. We reject this contention for several reasons. First, the defendant never explained to the trial court how the added counts would alter his questioning of the potential jurors. We noted in State v. Waterman,
Second, while it is true that the state did not officially apprise the defendant of the added charges until shortly before voir dire, the defendant had an opportunity to question the potential jurors on matters pertaining to the added charges during the voir dire. Additionally, we are aware that the state has broad authority to amend its charge prior to voir dire. State v. Cole, supra, 550. Indeed, § 623 of our rules of practice offers the state a vehicle through which to expose a defendant to greater criminal liability, provided that the state does not prejudice the defendant’s substantive rights.
II
The defendant claims that his arraignment in the presence of the jury violated his constitutional right not to be compelled to testify against himself. We disagree.
On November 5, 1992, the trial court arraigned the defendant on the substitute information. First, the trial court swore in the jury. Then, the court clerk read each of the five counts of the substitute information. In the presence of the jury, the defendant indicated that he was pleading not guilty as to each count. The defendant now claims that this procedure violated his fifth amendment right not to be compelled to testify against himself.
As a threshold matter, we note that the defendant never raised this claim with the trial court. He now seeks to bypass this deficiency via the doctrine of State v. Golding,
Notwithstanding the defendant’s invocation of the fifth amendment, the defendant’s claim does not implicate a clear constitutional right. The fifth amendment to the United States constitution provides that no person “shall be compelled in any criminal case to be a witness against himself . . . .” (Emphasis added.)
In this case, the record is devoid of any indication that the defendant was compelled to enter a plea of not guilty in the presence of the jury. With the advice of counsel, the defendant could well have chosen not to answer the question or asked his attorney to enter the plea of not guilty on his behalf. Moreover, the defendant’s plea of not guilty in this fashion may have served a tactical purpose in allowing the jury to observe him deny the commission of the crimes. While we do not approve of the plea process at issue in this case, we conclude that the defendant cannot prevail under State v. Golding, supra.
Ill
The defendant next claims that the trial court improperly allowed cross-examination that was irrelevant and beyond the scope of direct examination. We disagree.
Robert Carra, an inmate account supervisor at the Somers correctional institution, testified as a witness for the defense. On direct examination, he explained that in 1991, the defendant had not transferred any funds to Anderson. Further, according to Carra, the defendant’s account did not exceed $117.78 in that year. Carra also testified that, within the correctional facility, cash is considered contraband and accordingly is subject to confiscation.
We initially note that our review of a trial court’s evidentiary ruling is limited. “ ‘Evidentiary rulings will be overturned on appeal only where there was an abuse of discretion and a showing by the defendant of substantial prejudice or injustice.’ ” State v. Alvarez,
It is well settled that the scope of cross-examination is limited to matters covered in the direct examination, except as they involve credibility. State v. Ireland,
In the present case, the trial court reasonably concluded that the state’s cross-examination of Carra was appropriate. Defense counsel elicited from Carra evidence that the defendant did not have sufficient funds in his account to pay Anderson for the assault. Carra’s testimony further established that prison officials regarded cash in the possession of inmates as contraband. Through cross-examination, the state sought to rebut the effect of this evidence by eliciting evidence that inmates possessed other forms of contraband. This evidence was offered for the purpose of creating the inference that the defendant could have offered cash or other forms of contraband to Anderson in lieu of a payment from his account. We conclude that the trial court acted within its discretion in allowing the state to pursue this line of inquiry.
IV
The defendant next claims that his punishment for assault of an employee of the department of correction and second degree assault violates the double jeopardy clause of the fifth amendment to the United States constitution. We disagree.
The defendant did not raise his claim of double jeopardy with the trial court, but seeks this court’s review under the doctrine of State v. Golding, supra.
The double jeopardy clause of the fifth amendment provides: “[N]or shall any person be subject for the same offense to be twice put in jeopardy of life or limb . . . .” The fifth amendment thus prohibits multiple punishments for the same offense in the same trial. State v. Anderson,
When a defendant alleges multiple punishment for the same offense, he bears the burden of demonstrating (1) that the charges arise out of the same act or transaction and (2) that the crimes are the same offense. State v. Palmer,
Our courts have repeatedly invoked the test in Blockburger v. United States,
In the present case, each of the crimes of assault of a department of correction employee and assault in the second degree contains an element that the other does not. A comparison of the intent elements of these crimes reveals a critical difference between the two statutes. An assault of an employee of the department of correction under § 53a-167c (a) (1) occurs when (1) a person intends to prevent a reasonably identifiable employee of the department of correction from performing his duty and (2) the person causes physical injury to a correction employee. Intent to cause physical injury is not a prerequisite to culpability under this statute. Thus, for example, if a person restrains a reasonably identifiable correction employee and intends to interfere with the performance of the employee’s duty, any resulting injury to that employee, whether intentional or otherwise, would give rise to a violation of § 53a-167c (a) (1).
By contrast, assault in the second degree under § 53a-60 (a) (5) occurs when a person “with intent to cause physical injury to an employee of the department of correction . . . causes physical injury to such employee.” (Emphasis added.) Under this statute, if a person restrains a correction employee, any resulting injury to that employee will not give rise to criminal liability unless the person intended to cause injury.
In short, § 53a-167c (a) (1) requires intent to interfere with a correction employee, while § 53a-60a (5)
Relying by analogy on State v. Flynn,
In this case, we are presented with an entirely different scenario. A person can commit assault of a correction employee, the greater offense, without committing assault in the second degree, the lesser offense. For example, a person is guilty under § 53a-167c (a) (1) if he intends to prevent a reasonably identifiable correction employee from performing his duty and, in doing so, causes injury to the employee. Under the same circumstances, however, the person may not be in violation of § 53a-60 (a) (5) unless he intended to cause the injury. We conclude that the defendant’s reliance on State v. Flynn, supra, is misplaced.
“Our analysis does not end here, however. The Block-burger test is a rule of statutory construction and its application does not result in a conclusive presumption.” State v. Russell,
In this case, the intricate historical discussion offered by the defendant is ultimately inconclusive with regard to the intent of the legislature. The defendant relies on the following legislative history. Prior to 1971,
In 1973, the legislature deleted subdivision (3) and incorporated its language into a new statute,
In 1990, the legislature brought
The defendant argues that in light of the history underlying
The legislature created
We conclude that the defendant’s historical analysis has not established a clear legislative intent to treat
The defendant next argues that the trial court, in its instructions to the jury, failed to explain the constitutional requirements of concurrency and unanimity. This claim is directed to the counts of assault of a correction employee and assault in the second degree.
A
We first address the defendant’s argument that the trial court was required to instruct the jury on concurrency. The issue is whether
A defendant commits the offenses of assault of a correction employee and assault in the second degree when, with the intent to prevent an employee from performing his duties or with the intent to injure an employee, the defendant causes injury to such employee.
The legislature’s use of “such” in a given statute does not necessarily parallel the dictionary definition of this word; instead we construe the word “such” to effectuate the intent of the legislature. Nichols v. Warren,
Under the defendant’s interpretation of
We hold that the use of “such” in
B
In a related claim, the defendant asserts that the trial court did not adequately instruct the jury on the requirement of unanimity. The defendant’s claim is predicated on his concern that the jury may not have agreed on (1) which officer the defendant intended Anderson to assault and (2) whether the victim of the assault was the specific correction employee that the defendant intended Anderson to assault. According to the defendant, an adequate jury instruction explaining the requirements of unanimity would have alleviated this purported constitutional infirmity.
In instructing the jury, the trial court repeatedly explained that the jury’s verdict had to be unanimous. For example, the court stated, “[Y]our verdict must be unanimous and you must all agree and you must be unanimous and that is the requirement of the law. . . . I now instruct you that your verdict must be unanimous.” When the jury returned a verdict of guilty on all counts, the court clerk asked, “Ladies and gentleman, and each of you do say unanimously that the accused is guilty of the crime of assault on a corrections officer, second count; this is your verdict say you allT’ (Emphasis added.) The jurors responded, “Yes.” The jury responded similarly to the court clerk’s question regarding the guilty verdict for assault in the second degree.
In recent years, our Supreme Court has delineated a test for determining the necessity of a unanimity charge. State v. Reddick,
In the present case, the jury instructions are devoid of any indication that the trial court expressly sanctioned a nonunanimous verdict — quite the contrary. The jury charge is replete with statements underscoring the
Having determined that the court never expressly sanctioned a nonunanimous verdict, our analysis of the defendant’s claim does not proceed further. “[T]he court must inquire into the conceptual distinction between the alternative acts charged, and whether the state had presented evidence to support each alternative act, only if the trial court expressly sanctioned a nonunanimous verdict.” (Emphasis in original.) State v. Reddick, supra, 454, citing, State v. Anderson, supra. We conclude that the trial court’s instructions were not fundamentally unfair to the defendant and that the defendant accordingly cannot prevail under the bypass of State v. Golding, supra.
VI
The defendant also claims that the evidence is insufficient to sustain the judgment of conviction of rioting at a correctional institution. The thrust of the defendant’s position is that because only two persons were involved in the assault of the correction employees, the defendant could not be convicted under
Having failed to raise this claim with the trial court, the defendant seeks appellate review under State v. Golding, supra.
Pursuant to
In this case, the defendant seeks to engraft upon the statute the common law definition of rioting. Relying on 2 Z. Swift, A System of the Laws of the State of Connecticut (1796), pp. 339-40, the defendant argues that our modern rioting statute should be construed as requiring a minimum of three participants. By its express terms, however, our statute is not limited to the defendant’s proposed construction. Instead,
In developing Connecticut’s criminal code, the legislature has promulgated provisions with numerical prerequisites to liability. See, e.g.,
The defendant also claims that “organized disobedience with the rules and regulations of [the] correctional institution” is an element of the offense under
A person is guilty of rioting at a correctional institution if he or she leads, plans or participates in a “disorder, disturbance, strike, riot or other organized disobedience to the rules and regulations of such institution.” (Emphasis added.)
VII
The defendant’s final claim is that the trial court improperly instructed the jury on the offense of riot
The defendant again seeks review under State v. Golding, supra, claiming that the failure to charge on an essential element of a crime is a constitutional defect.
The defendant’s claim of instructional error with respect to the definition of disorder or disturbance is predicated on the same argument that we rejected in part VI of this opinion, namely, that rioting under
In State v. Pascucci, supra, our Supreme Court considered whether inciting to riot at a correctional institution is a specific intent crime. The statute at issue in Pascucci,
The court in Pascucci rejected the defendant’s claim that inciting to riot at a correctional institution is a spe
Applied to the present case, the decision in Pascucci militates against the defendant’s claim of instructional error. The statute at issue in Pascucci is essentially the same as the statute now in question. The offense of rioting at a correctional institution does not expressly provide for any particular scienter requirement. Moreover, the same policy rationale articulated in Pascucci applies to § 53a-179b. In light oí Pascucci, it is clear that rioting at a correctional institution is not a specific intent crime. We conclude that it was not reasonably possible that any failure by the trial court to explain the meaning of specific intent misled the jury. The defendant accordingly cannot prevail under State v. Golding, supra.
The judgment is affirmed.
In this opinion the other judges concurred.
Notes
In addition, the defendant raises this claim under the state constitution. Because he does not offer a separate analysis of the state constitution, however, we will not review this aspect of the claim. State v. Campbell,
In addition, the defendant raises this claim under the state constitution. Because he does not offer a separate analysis of the state constitution, however, we will not review this aspect of the claim. See footnote 4, supra.
According to the testimony of Williams, the defendant told Anderson, “I’ll give you $200 if you trash this white hoy.” Felton testified that the defendant told Anderson, “I’ll give you $200 to hit that CO Pearson, Rutkowski.”
The trial court set aside the verdict of guilty of conspiracy to commit second degree assault.
The defendant represented that he did not receive the substitute information until the morning of October 29,1991, just before the commence ment of jury selection. With respect to the rioting count, the state represented to the court, “I notified [the defendant] prior to even the start of this trial that we were going to proceed on the rioting count.”
The substitute information included only two of the four original conspiracy counts. The net effect of the change was to bring five instead of four counts against the defendant. In terms of the sentences accompanying the new charges, however, the state increased the defendant’s exposure by thirty-five years.
The defendant never contested the fact that Anderson hit two correction officers. Defense counsel stated in closing argument that “there’s really no question, there’s really not an issue as to whether Mr. Anderson hit Officer Pearson and there’s no question that he hit Rutkowski.”
We assume without deciding that the defendant’s plea of not guilty before the jury was testimonial in nature.
See discussion in part I of this opinion regarding the analysis under State v. Golding,
When
We further note that our interpretation of
After the trial court’s initial charge to the jury, the defendant requested the trial court to emphasize that the verdict be unanimous. The trial court had in fact instructed on unanimity generally, but neither the trial court nor the parties could recall the court’s doing so. The defendant never mentioned the claims that it now asserts, namely, that the trial court must specifically instruct on unanimity to ensure concurrency. The trial court, therefore, called the jury back to the courtroom and instructed it to return a unanimous verdict. It is clear, that the defendant has not preserved the claims he now raises.
See discussion in part I of this opinion regarding the analysis under Golding.
See discussion in part I of this opinion regarding the analysis under Golding.
See discussion in part I of this opinion regarding the analysis under Golding.