Court Opinion

ID: 9619277
Source: CourtListenerOpinion
Date Created: 2023-08-22 05:25:23.526158+00
Date Added: 2024-06-11T09:12:01.591305
License: Public Domain

STEWART, Justice
(concurring in the result in part and dissenting in part).
The defendant was convicted of assault, aggravated burglary, and aggravated assault, for which he was sentenced to prison and fined $10,000. I concur in Parts I, II, III and IV of the majority opinion in result and agree that the assault and aggravated burglary convictions should be affirmed. I concur in the portion of Part VII that holds that the evidence was sufficient to convict the defendant of assault and aggravated burglary and in all other parts of the majority opinion.
Aggravated assault was first charged under U.C.A., 1953, § 76-5-103(a), which requires proof that the defendant intentionally caused serious bodily harm. The information was changed by an amendment on the second day of trial, after the prosecution had presented its evidence, to allege a violation of § 76-5-103(b), which requires the use of force likely to cause death or serious bodily injury. The defendant had no opportunity to prepare a defense to the latter charge. Therefore, I dissent from Part VIII of the majority opinion.1 I would also remand that portion of the defendant’s sentence which imposes a $10,000 fine to the trial court to determine if the defendant has a reasonable ability to pay without resorting to other crimes to do so.
I.
It is axiomatic that a defendant is entitled to sufficient time to prepare adequately for trial. Ungar v. Sarafite, 376 U.S. 575, 589, 84 S.Ct. 841, 849, 11 L.Ed.2d 921 (1964); State v. Soto, 60 Hawaii 493, 591 P.2d 119 (1979); Zessman v. State, 94 Nev. 28, 573 P.2d 1174 (1978); Renfro v. State, Okl.Cr.App., 607 P.2d 703 (1980). See United States v. Olson, 697 F.2d 273 (8th Cir.1983).
An information against the defendant was first filed September 3, 1981. The information charged the defendant with causing serious bodily injury to the victim under § 76-5-103(a). When it appeared the prosecution could not prove that charge, the information was amended during the trial to charge that the defendant “use[d] a deadly weapon or such means or force likely to produce death or serious bodily injury.” U.C.A., 1953, § 76-5-103(b).
The defense attorney’s questions of the victim at trial regarding the extent of the victim’s injury indicate that the defendant came to trial prepared to defend against the charge under subsection (a) of § 76-5-103 by showing that he did not cause any injury to the victim. The defendant had no opportunity to prepare a defense against a charge under subsection (b). Under the circumstances, the expert testimony of a doctor may have been critical if the defendant had been afforded time to prepare.
I am of the view that the defendant was denied the right “to demand the nature and cause of the accusations against him,” which is accorded him by Article 1, § 12 of the Utah Constitution.
The majority relies on State v. Ricci, Utah, 655 P.2d 690 (1982), in which the Court affirmed a conviction when the trial *1222court amended an information during trial. However, the minor amendment in Ricci did not include an “additional ... offense,” § 77-35-4(d); it only added the words “or remained in” to an information charging burglary. Those words were in the statute the information originally cited, and the amendatory language was not added until after the defendant testified that he had remained in the building. The amendment in Ricci merely reflected the evidence presented by the defendant on the charge for which he was being tried.
In the instant case, the amendment did not simply reflect testimony that just “happened to come out” at trial. Prior to trial, the prosecutor had prepared evidence to support a conviction under the added subsection by having an expert testify about the possibility of injury. The inference is irresistible that prior to the beginning of trial the prosecutor intended to base the State’s case, at least in part, on that section of the statute that was added by amendment.
The possible defenses to the original charge and the charge in the amendment are not so similar that the defenses would necessarily be the same. State v. Soto, 60 Hawaii 493, 495, 591 P.2d 119, 121 (1979), observed:
[N]o court trial is really so simple that the ordinary attorney need not be afforded a reasonable time in which to analyze and evaluate the facts, study the law of the case, plan trial strategy and prepare his witnesses for their testimony.
On the facts of this case, the motion to amend should have been denied or a continuance granted to assure that the “substantial rights of the defendant [were] not prejudiced.” § 77-35-4(d); Mitchell v. State, Okl.Cr.App., 395 P.2d 814 (1964).
II.
The trial court imposed a $10,000 fine, in addition to prison terms, without inquiry into the defendant’s ability to pay. Since, the defendant will be incarcerated for a substantial period, he will not be able to earn enough to pay the fine. Nor is it likely that he could do so after he has served his sentence. In all probability, the fine is likely to be counterproductive to the ends of justice.
Fines are generally disfavored as punishments for defendants who lack the ability to pay. People v. Morrison, 111 Ill.App.3d 997, 67 Ill.Dec. 660, 444 N.E.2d 1144 (1983); People v. Oravis, 81 Ill.App.3d 717, 37 Ill.Dec. 407, 402 N.E.2d 297 (1980); Commonwealth v. Mead, 300 Pa.Super. 510, 446 A.2d 971 (1982). Moreover, the Utah Constitution prohibits the imposition of excessive fines. Art. I, § 9. The result of imposing a fine beyond the defendant’s means is to provide a strong impetus to a defendant to return to a life of crime when he is out of prison. Although the $10,000 fine may seem appropriate to repay the public for the cost of the defendant’s crime, the sentence may cost the public far more in the long run if the defendant does seek to pay the fine by further criminal acts.
Other jurisdictions have held that the imposition of fines against a defendant who has no ability to pay is inappropriate. In People v. Oravis, supra, the defendant was convicted of burglary and sentenced to a prison term and a $2,000 fine. Although the maximum statutory fine was $10,000, the court held that in light of the defendant's financial condition imposition of a fine in conjunction with a prison sentence was error. The court observed that the defendant did not have a high school diploma, had a bad work record, had worked only part-time, and that his liabilities were $2,000.
A fine imposed on a defendant convicted of the sale of narcotics in Oklahoma was vacated by an appellate court because it was unlikely that he would be able to pay his fine. Loane v. State, Okl.Cr.App., 490 P.2d 759 (1971). Similarly, the Alaska Court of Appeals remanded a ease in which the trial court ordered payment of a $500 fine because the trial court made no investigation of the defendant’s financial situation to determine if he would be able to pay the fine. Manderson v. State, Alaska App., 655 P.2d 1320 (1983). See also Commonwealth v. Schwartz, 275 Pa.Super. 112, 418 *1223A.2d 637 (1980) (sentence vacated because trial court did not have information to determine the defendant’s ability to pay); Commonwealth v. Martin, 233 Pa.Super. 231, 335 A.2d 424 (1975) (fine vacated where trial court did not consider the burden a fine would impose on the defendant).
Even an order of restitution is subject to some limitations. The Maryland court stated that rehabilitation remains the primary objective and, “if the amount fixed exceeds the defendant’s resources, the rehabilitative purpose of the sentence is frustrated.” Coles v. State, 290 Md. 296, 302, 429 A.2d 1029, 1034 (1981). The United States Court of Appeals for the Tenth Circuit, in sustaining a fine when the defendant had the ability to pay, stated, “[A] fine which is beyond the ability of one to pay or which takes a substantial portion of one’s assets would be excessive and arbitrary.” Moore v. United States, 150 F.2d 323, 325, (10th Cir.1945).
I would remand for a determination of whether the defendant has the ability to pay the fine imposed.
III.
The errors discussed in Parts I, II, III, and IV of the majority opinion include: (1) the trial court’s failure to arraign the defendant on the aggravated burglary charge; (2) the joinder of the aggravated burglary charge and the aggravated assault charge, thereby depriving the defendant of sufficient time to prepare a defense; (3) the improper admission of the testimony of the prosecution’s rebuttal witness; (4) the prosecution’s asking improper questions of the defendant’s parole officer. Unlike the majority, I think these claims of error are meritorious, even though they are not prejudicial in this case.
The majority states that the defendant had over two months to prepare for trial on the aggravated burglary charge, but in reality he actually had only four days. The original information, which asserted the aggravated burglary charge, was dismissed on November 9, 1981. Any preparation prior to that date was preparation for a preliminary hearing, not for a trial. Once the aggravated burglary charge was dismissed, the defendant had no reason to continue preparing for trial on that charge. The prosecutor filed the new information on November 30, 1981, twenty-one days before trial, but the defendant’s attorney did not know of the filing until December 16, 1981. The next day, the trial date was set for only four days later.
The defendant made a timely objection to the joinder motion, but it was overruled. The majority asserts that defense counsel’s affirmative response to the judge’s formal inquiry about whether he was ready to proceed waived the defendant’s right to adequate preparation. Defense counsel had already objected to the joinder and to the time of the trial. When the case was called for trial, he had no choice but to proceed. Clearly, no further objection was necessary in light of the trial court’s rulings. To now hold that the absence of still further objections constituted a waiver is hypertechnical and not supported by the facts. Waivers of basic rights should be clear and unequivocal. That test is not met here.
A similar situation occurred in State v. Cook, 98 Idaho 686, 571 P.2d 332 (1977), in which the state claimed the defendant waived his right to a continuance because he said he was ready at trial even though he had requested a continuance a few hours earlier. The court held that the statement did not waive the defendant’s right to a delay.
Further, I believe that the prosecutor should have been held to comply with the statute requiring notice to defendants of any witness who will impeach or contradict the defendant’s alibi witness. U.C.A., 1953, § 77-14-2. The defendant properly provided the prosecutor with the names and addresses of alibi witnesses, but the prosecutor did not provide the defendant with a list of rebuttal witnesses within five days as required by the statute. Not until the second day of trial was the defendant apprised of a rebuttal witness the prosecution intended to call and then did so in the *1224form of a motion. The judge ruled that the prosecutor could call the rebuttal witness. If the defendant’s attorney had been properly notified, he could have discussed the matter with the alibi witness in preparation for trial. But the surprise rebuttal witness caused the defendant’s alibi witness to refuse to testify. Even though the rebuttal witness had testified at the preliminary hearing, his testimony did not concern the defendant’s alibi. In this matter, the prosecutor had all the advantages of knowing the defendant’s witnesses and placed upon the defendant all the disadvantages of surprise. Such conduct does little to insure the defendant’s right to a fair trial.
Filially, the prosecutor’s reference to the defendant’s parolee status was improper. Three times during the trial the prosecutor referred to Mr. Reid’s position as the defendant’s parole officer — once when questioning the defendant and twice when questioning Mr. Reid. On all three occasions, the defense attorney’s objection was sustained, but the jury already had heard the reference that could prejudice them against the defendant. The questions were entirely inappropriate, and the testimony sought was not admissible at trial under Utah Rule of Evidence 21 since the defendant did not take the stand. Although the references were no doubt harmless, the State’s conduct was not appropriate under the Code of Professional Responsibility, Canon 7, DR7-106(c)(2) and (7).
DURHAM, J., concurs in the concurring in the result and dissenting opinion of STEWART, J.

. Because I would remand the aggravated assault question, I would not reach the issue of the sufficiency of the evidence discussed in Part V of the majority opinion and in the portion of Part VII that applies to the aggravated assault charge.