Watts v. State
Watts v. State
Opinion
We are asked in this case to review the definition of second degree assault. Specifically, the question this case presents is whether the revised and consolidated assault statute, contained in Section 3-201(b) of the Criminal Law Article of the Maryland Code (2002, 2012 Repl. Vol.), contemplates different crimes, or whether the acts constitute second degree assault. Petitioner Barrington Dean Watts was convicted in the Circuit Court for Montgomery County of two counts of first degree assault.
Over Petitioner's objection, the jury heard instructions on two different variations of second degree assault, battery and intent to frighten, but was not instructed to reach a unanimous decision about which iteration occurred here. Petitioner appealed his convictions to the Court of Special Appeals, which affirmed in an unreported opinion. First, we determine that the objection made by Petitioner preserved the issue of whether the jury should hear a unanimity instruction after hearing instructions for both forms of assault. We next determine that the assault statute contemplates different modalities of committing the singular crime of second degree assault as opposed to different crimes. Thus, we affirm the judgment of the Court of Special Appeals.
I.
Based on the evidence at trial, the jury could have found that on November 9, 2014, Petitioner, Barrington Dean Watts, entered the apartment of Lavasha Harding, pointed a gun at one of the occupants of the apartment, Andre French, and demanded money. An altercation transpired, during which Petitioner fired three shots. One bullet struck a different occupant, Antonio Woods. After a brief struggle, one of the men involved gained possession of the gun and then detained Petitioner until the police arrived shortly thereafter. Petitioner was charged with seven crimes, 1 including two counts of first degree assault.
Before the trial judge instructed the jury, the prosecutor and Petitioner's counsel reviewed the jury instructions with the judge. During those discussions, Petitioner's counsel objected to the State's request for instructions on accomplice liability, conspiracy, and a special instruction related to the castle doctrine. 2 Thereafter, the trial judge instructed the jury on the law, particularly as it pertained to second degree assault:
Second degree assault. There are two ways that you can commit a second degree assault. One is, intent to frighten. Assault is intentionally frightening another person with the threat of immediate offensive physical contact or physical harm. In order to convict the defendant of assault, the State must prove, number one, that the defendant committed an act with the intent to place Andre French and/or Antonio Woods in fear of immediate offensive physical contact or physical harm. That the defendant had the apparent ability at that time to bring about the offensive physical contact or physical harm. And three, that Andre French and/or Antonio Woods reasonably feared immediate offensive physical contact or physical harm and that the defendant's actions were not legally justified.
Battery. Assault is also causing offensive physical contact to another person. In order to convict the defendant of assault under [a] battery theory, the State must prove that the defendant caused offensive physical contact or physical harm to Andre French and/or Antonio Woods. That the contact [was] the result of an intentional or reckless act of the defendant and was not accidental. And three, that the contact was not consented to by Andre French and/or Antonio Woods. 3
At the conclusion of the reading of the jury instructions, the judge called the attorneys to the bench and asked if they took "any exception to the court." The prosecutor took no exceptions. Petitioner's attorney renewed the previous objections as well as noted a new exception to the assault instruction, and the following exchange occurred:
[DEFENSE COUNSEL]: The defense would now like to reiterate our previous objections and object to the alternative instruction on assault and that it's possible that six jurors could go with one theory, six could go with another, and there would not be a unanimous verdict for him.
THE COURT: Six could go with one and six could go with the other?
[DEFENSE COUNSEL]: Or some other division of jurors.
THE COURT: Okay. All right. Thank you.
[DEFENSE COUNSEL]: Thank you, Your Honor.
THE COURT: Exceptions noted.
After deliberations, the jury found Petitioner guilty of two counts of first degree assault as well as the remaining counts against him.
Petitioner appealed his conviction and sentence to the Court of Special Appeals. In an unreported opinion, the Court of Special Appeals affirmed the Circuit Court. We granted certiorari on the following question, slightly rephrased from the question submitted to this Court:
Are intent to frighten and battery separate assault crimes, thus requiring individualized jury unanimity? 4
Watts v. State
,
Is Watts's claim of error unpreserved where Watts did not ask for the unanimity instruction he now claims was mandatory?
II.
The threshold issue we must address is whether Petitioner has preserved for our review the alleged jury instruction error. The State contends that Petitioner's claim of error with the jury instructions issued by the trial judge was not raised at trial. The State points to the record as evidence that Petitioner never requested a curative instruction.
Petitioner submits that his counsel's discussion during the bench conference was sufficient to preserve an objection to the alleged error. After the trial judge had instructed the jury, Petitioner's counsel explained at a bench conference that the jury could possibly split its decision with regard to the assault crime, with half of the jury believing that Petitioner had committed a battery and the other half believing Petitioner had intentionally frightened the occupants. Thus, there would be a lack of jury unanimity.
Maryland Rule 4-325(e) governs the preservation of error in jury instructions and states, in pertinent part, the following:
No party may assign as error the giving or the failure to give an instruction unless the party objects on the record promptly after the court instructs the jury, stating distinctly the matter to which the party objects and the grounds of the objection.
We have explained that the purpose of Rule 4-325(e) is "to give the trial court an opportunity to correct its charge if it deems correction necessary."
Gore v. State
,
This Court has consistently repeated that the failure to object to an instructional error prevents a party on appeal from raising the issue under Rule 4-325(e).
See, e.g.,
Grandison v. State
,
Although strict compliance (based upon the record developed at trial) is preferred, an objection that falls short of that mark may survive nonetheless if it substantially complies with Rule 4-325(e).
See
Bennett v. State
,
Although this Court may readily determine in most cases that an issue is not properly preserved for appellate review, we have also acknowledged that there is "some play in the joints" in determining whether an issue has been preserved.
Sergeant Co. v. Pickett
,
In the case sub judice , the alleged jury instruction error has been preserved based upon the record before us. During the bench conference after the delivery of jury instructions, Petitioner's counsel engaged in a brief back-and-forth with the trial judge at which time Petitioner's counsel renewed an earlier objection and noted a new objection, stating as the basis that the jury might not have a unanimous verdict for assault because "six jurors could go with one theory, six could go with another." If the trial judge lacked clarity about counsel's objection, the record does not reflect it. As a matter of course, the trial judge noted the exception on the record. Consistent with both Sergeant Co. and Bennett , this Court holds that the assault jury instruction issue was properly preserved for appellate review. That Petitioner's counsel did not request a specific unanimous jury instruction on the assault charges 5 at the time of the objection does not foreclose preservation of the alleged error. The Maryland Rules do not require that a party request a curative jury instruction, and we decline at this time the State's invitation to impose such a requirement to preserve the issue of error.
III.
We turn now to the substance of the issue raised by Petitioner: whether battery and intent to frighten are different crimes, or whether they are simply different modalities of carrying out second degree assault. Petitioner contends that the trial court erred when it failed to instruct the jury that it must unanimously agree to the means of committing second degree assault. Petitioner urges this Court to conclude that assault and battery are distinct and separate crimes, and therefore the jury instruction should have required a unanimous consensus as to whether the defendant committed assault by battery or intent to frighten. Petitioner primarily relies on
Ford v. State
,
Our inquiry begins with the definition of second degree assault, as defined by Section 3-201(b) of the Criminal Law Article of the Maryland Code (2002, 2012 Repl. Vol.) ("assault statute"), which provides:
"Assault" means the crimes of assault, battery, and assault and battery, which retain their judicially determined meanings.
(quotation marks in original). The General Assembly codified the modern-day assault statute in 1996 by repealing former Article 27 §§ 12 and 12A, and re-enacting the consolidated § 12, which provided, in pertinent part:
Except as otherwise provided in this subheading, "assault" means the offenses of assault, battery, and assault and battery, which terms retain their judicially determined meanings.
Art. 27, § 12(b). The General Assembly codified this language in Chapter 632 of the 1996 Laws of Maryland. In 2002, Art. 27 § 12(b) was repealed and re-enacted without substantive change in § 3-201(b) of the Criminal Law Article.
A.
Keeping this legislative history in mind, and recognizing that the plain language of the statute does not resolve whether intent to frighten and battery are separate assault crimes, we rely on the tools of statutory construction to glean the meaning of second degree assault. "The cardinal rule of statutory construction is to ascertain and effectuate the intent of the Legislature.... [W]e look first to the language of the statute, giving it its natural and ordinary meaning[.]"
Scriber v. State
,
Section 3-201(b) of the Criminal Law Article plainly states that the words "assault"
and "battery" "retain their judicially determined meanings." The Floor Report for House Bill 749 ("H.B. 749"), as well as the Bill Analysis for H.B. 749, explained that,
the Committee to Revise Article 27 felt that there were several areas that needed to be addressed. First, the terms "assault" and "battery" were subject to various interpretations. See, e.g. , Lamb v. State ,93 Md. App. 422 ,613 A.2d 402 (1992) (a fifty-four page discussion on the various meanings of these terms). Although House Bill 749 retains the common law meaning of these terms, it is clear under the bill that the term "assault" includes all aspects of the law on assault and battery.
Indeed, Senate Bill 618 ("S.B. 618"), the counter-part to H.B. 749, included as annotations to the statute certain "Committee Notes." Specifically, the annotation to Art. 27, § 12 of S.B. 618 provided, in full:
COMMITTEE NOTE (COMMITTEE TO REVISE ARTICLE 27): Similar to the revision of the burglary laws, the Committee has chosen to retain the judicially determined meanings of the terms "assault", "battery", and "assault and battery". The meaning of these terms has been extensively developed at common law and case law. See e.g. , Lamb v. State ,93 Md.App. 422 ,613 A.2d 402 (1992). Also, as with the burglary revision, the Committee does not intend to "freeze" the meanings of these terms, but expects that they will continue to be clarified when appropriate in future case law.
H.B. 749, identical to S.B. 618, included the same Committee Note from the Committee to Revise Article 27, and this Committee Note was included as part of Chapter 632 of the 1996 Laws of Maryland. The inclusion of the Committee Note as part of the final House Bill that was enacted as Chapter 632 reflects the General Assembly's intention to draw a parallel between the assault statute and the burglary statute as well as its intention to rely on case law to clarify the meaning of second degree assault. Based upon our interpretation of the legislative material supporting the enactment of the assault statute in Chapter 632, this Court is persuaded that the General Assembly intended to codify a singular crime, second degree assault, which may be committed through different modalities. The current language of Crim. Law Art., § 3-201(b) substantively mirrors the language of the revised and consolidated Art. 27, § 12(b).
Significantly, the comparison to the theft law informs the Court's outcome here. In
Rice v. State
, we determined that the consolidated theft statute did not require a jury instruction regarding unanimity.
In order to determine the validity of Mr. Rice's arguments, we first turned to the language of the theft statute and then its legislative history.
Rice
,
By merging the acts of receiving stolen goods and the acts constituting the actual stealing into a single offense (i.e., theft) some confusion has been eliminated.... In some instances, courts were confounded by the dilemma of which inference to draw [as to whether a criminal defendant had stolen goods or had received stolen goods]. However, now that the act of stealing and the act of receiving constitute a single offense (i.e., theft), the confusion is eliminated.
Rice
informs our answer to the question before us. As we previously noted, the General Assembly intended for the changes to the assault statute to be in lock-step with the changes to the theft statute. Like the theft statute, nothing in the plain language of Crim. Law Art., § 3-201(b) describes battery, attempted battery, or intent to frighten as separate
crimes. Similar to the revisions made to the theft statute, and its common law burglary counterpart, the General Assembly sought to simplify and consolidate the law of assault. Consistent with our interpretation of the theft statute in
Rice
, here the assault statute refers to a single crime, second degree assault, derived from what had previously been defined as "battery," "assault," and "assault and battery" in the common law. In 1996, the General Assembly simply codified what the Court of Special Appeals in
Lamb
had already recognized-that second degree assault is a single crime that could be committed via different modalities.
See
Lamb v. State
,
Further exploration of the legislative history of the assault statute confirms that second degree assault is a single offense that may be committed by various means. The Floor Report for House Bill 749 detailed the purpose of the General Assembly. After referencing the decision in
Lamb
, the Floor Report reflected the desire of the General Assembly to consolidate all of the law of assault into the term
"assault" when it stated, "Although House Bill 749 retains the common law meanings of these terms, it is clear under the bill that
the term 'assault' includes all aspects of the law on assault and battery
."
Both the House and Senate bill history demonstrate the General Assembly's reliance on
Lamb v. State
, a landmark case decided by the Court of Special Appeals, when crafting the revised assault statute that led to the re-enactment of Art. 27, § 12(b).
6
Mr. Lamb had been convicted and sentenced for both assault and battery, among other crimes, and argued on
appeal that assault constituted a lesser included offense of battery and should have merged with his battery conviction.
Id.
at 426,
1. A consummated battery or the combination of a consummated battery and its antecedent assault;
2. An attempted battery; and
3. A placing of a victim in reasonable apprehension of an imminent battery.
After detailing the history of the development of the meaning of "assault," Judge Moylan expressly addressed that both statutory and case law have, at times, used "assault" and "battery" interchangeably, or as the phrase "assault and battery."
B.
Three years after the enactment of the revised and consolidated Art. 27, § 12, this Court had occasion to consider whether the assault statute repealed the common law crimes of assault and battery. We answered in the affirmative.
Robinson v. State
,
By subsuming and combining all statutory offenses of assault then existent as well as all common law forms of assault and battery into a single and comprehensive statutory scheme, the 1996 assault statutes represent the entire subject matter of assault crimes. We therefore conclude that the new assault statutes, effective October 1, 1996, abrogated the common law offenses of assault and battery.
The revision of the assault laws replaces the common law crime of assault and battery with the statutory crimes of assault in the first or second degree.
This Court then compared the legislative action in revising and consolidating the assault statute to what the General Assembly did in revising and consolidating the statutory crimes of theft and escape.
Robinson
,
Both the Court of Special Appeals' holding in
Lamb
and this Court's holding in
Robinson
undermine Petitioner's claim here.
Lamb
held that the common law term "assault" referenced three distinct acts: battery, attempted battery, and intent to frighten.
C.
Given the legislative history of § 3-201(b), the parallel purposes of the General Assembly in revising the theft and assault statutes, as well as the seminal cases of
Lamb
and
Robinson
, we are compelled to conclude that the various modalities of assault, battery, and intent to frighten each constitute second degree assault. Thus, with respect to the question of whether the jury instruction required unanimity on the assault charges, we answer in the negative. The reasoning in
Rice
applies with equal force to the facts of this case, and we will not depart from the conclusion that when a statute has outlined different means of violating a single crime, jury unanimity on the modality of the violation
is unnecessary on which particular modality occurred.
See
Rice
,
Rather than utilizing
Lamb
or
Robinson
to advance his argument, Petitioner instead turns to
Ford v. State
,
IV.
In conclusion, we hold that when a defendant is charged with assault, a jury need not agree unanimously as to the means of the violation. So long as the jury unanimously agrees that the defendant has committed a modality of assault, the jury need not agree as to how the assault was committed. By definition, under Maryland common law, battery, attempted battery, and intent to frighten each constitute second degree assault. Therefore, a trial judge need not instruct the jury to unanimously agree to the particular modality of second degree assault committed by a defendant. Here, Petitioner was not entitled to such an instruction.
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS IN THIS COURT TO BE PAID BY PETITIONER.
Petitioner was indicted by the Grand Jury of Montgomery County of the following: 1) First degree assault; 2) First degree assault; 3) Robbery with a dangerous weapon; 4) Use of a firearm in the commission of a crime; 5) Conspiracy to commit first degree assault; 6) Conspiracy to commit robbery with a dangerous weapon; and 7) Conspiracy to use of a firearm in the commission of a crime.
The castle doctrine, not at issue before us now, is an affirmative defense that, under particular circumstances, permits force against intruders entering one's home.
See
Burch v. State
,
Of course, in addition to intentionally frightening and battery, there is a third modality of committing an assault. An assault may be committed in the form of an attempted battery.
See
Lamb v. State
,
The question posed to us in the petition for certiorari was the following: Are intent to frighten and battery merely varieties of a single crime under Maryland's assault statute or are they separate crimes, thus requiring individualized jury unanimity?
To be sure, the trial judge gave the general instruction to the jury regarding coming to a unanimous verdict. The State's position would require us to accept that an additional instruction be requested in order for the objection to the jury instruction error to be preserved.
The work of the Honorable Charles E. Moylan, Jr., in
Lamb
has been recognized as instructive for its detailed history of the crimes of assault and battery.
See
Snyder v. State
,
Petitioner contends that because a battery, an attempted battery, and intent to frighten are distinct acts, each must constitute a distinct crime. As we held with regard to theft in
Rice v. State
, Maryland's consolidated assault statute "constitutes a single crime; and ... the [modalities] merely specify different acts or transactions through which [the single crime] can be proved."
The
Robinson
Court noted its "cognizan[ce] that 'the Committee Notes and catchlines contained in this Act are not law,' we nonetheless find this statement persuasive evidence of the legislative intent to abrogate common law assault and battery."
Robinson v. State
,
Petitioner relies upon multiple cases in advancing his contention that assault and battery consist of distinct crimes. Petitioner cites to
Woods v. State
,
Petitioner provides to this Court, as persuasive authority,
State v. Weldy
, a case in which Montana's Supreme Court interpreted Montana's assault statute as contemplating different crimes.
Reference
- Full Case Name
- Barrington Dean WATTS v. STATE of Maryland
- Cited By
- 27 cases
- Status
- Published