State v. Thomas J Busa ( 2024 )

COURT OF APPEALS
DECISION NOTICE
DATED AND FILED This opinion is subject to further editing. If
published, the official version will appear in
the bound volume of the Official Reports.
January 17, 2024
A party may file with the Supreme Court a
Samuel A. Christensen petition to review an adverse decision by the
Clerk of Court of Appeals Court of Appeals. See WIS. STAT. § 808.10
and RULE 809.62.
Appeal No. 2022AP243-CR Cir. Ct. No. 2019CF967
STATE OF WISCONSIN IN COURT OF APPEALS
DISTRICT II
STATE OF WISCONSIN,
PLAINTIFF-RESPONDENT,
V.
THOMAS J. BUSA,
DEFENDANT-APPELLANT.
APPEAL from a judgment of the circuit court for Kenosha County:
JASON A. ROSSELL, Judge. Affirmed.
Before Neubauer, Grogan and Lazar, JJ.
Per curiam opinions may not be cited in any court of this state as precedent
or authority, except for the limited purposes specified in WIS. STAT. RULE 809.23(3).
No. 2022AP243-CR
¶1 PER CURIAM. Thomas J. Busa appeals a judgment of conviction
for second-degree sexual assault of a child, child enticement, and exposing
genitals to a child.1 He argues that the circuit court erred by denying his motion
for access to the victim’s counseling records without performing an in-camera
review of the records, that the court improperly struck his DNA analyst’s
testimony as a discovery sanction, that the jury instructions were inadequate, and
that his total sentence was unduly harsh. We reject these arguments and affirm.
BACKGROUND
¶2 Busa was convicted, following a jury trial, of second-degree sexual
assault of a child, child enticement, and exposing his genitals to a minor. Pretrial,
he had sought an in-camera inspection of the victim’s medical records relating to
some counseling the victim had allegedly received, colloquially known as a
Shiffra-Green motion.2 The circuit court denied that motion, concluding that the
defense had failed to satisfy the criteria necessary to obtain an in-camera
inspection of the records.
¶3 The victim alleged that the sexual assault occurred in her bed when
Busa inserted his finger into her vagina. Pretrial, Busa had notified the
prosecution that he intended to call Dr. Alan Friedman as an expert witness to
discuss the results of DNA testing on item A1a, a swabbing of Busa’s left-hand
1
Busa’s appellate arguments are primarily directed to his second-degree sexual assault
of a child conviction. He raises the other convictions only as they pertain to the length of his
global sentence. As a result, we address those convictions only as they relate to sentencing, and
we need not engage in a detailed discussion of the underlying facts.
2
See State v. Shiffra, 175 Wis. 2d 600, 499 N.W.2d 719 (Ct. App. 1993), modified by
State v. Green, 2002 WI 68, 253 Wis. 2d 356, 646 N.W.2d 298, and overruled by State v.
Johnson, 2023 WI 39, 407 Wis. 2d 195, 990 N.W.2d 174.
2
No. 2022AP243-CR
fingernail obtained a number of hours after the act of penetration. At the final
pretrial, the State notified the circuit court that it did not intend to present any
DNA evidence.
¶4 Friedman was called by the defense at trial. The Wisconsin State
Crime Laboratory had determined that a low-level minor contributor to the DNA
found on the A1a sample was not suitable for interpretation. Friedman testified to
the contrary at trial:
[Friedman:] Well, let me just say that that was the
language that was used by the Wisconsin
State Crime Lab analyst and I went back and
looked at the low level profile and it was
very low level. To see if [the victim] could
have been the source of this low level
profile, and assuming that there were only
two contributors, I concluded … that [the
victim] could not have been the source of
this low level profile.
….
[Defense So … ultimately the conclusions that you
counsel:] reached are contained in the report that you
just testified to, is that correct?
[Friedman:] Everything except that final conclusion[]
[that the victim] could not be … the
contributor to the A1[a].
¶5 The prosecutor objected to that testimony and moved to strike,
asserting that none of Friedman’s three reports disclosed to the prosecution
provided notice of his opinion that the victim was not a contributor to the DNA
found on item A1a. In response, defense counsel stated that Friedman’s
conclusion was a new one that defense counsel had only learned of the night prior.
Defense counsel stated he had not disclosed the new opinion because he had not
intended to raise the matter, but he changed his mind after the prosecutor cross-
3
No. 2022AP243-CR
examined the DNA analyst from the crime laboratory, who had been called as a
defense witness.
¶6 The circuit court found that the failure to disclose Friedman’s
conclusion was an “egregious violation” of the discovery statute, WIS. STAT.
§ 971.23 (2021-22).3 It rejected Busa’s argument that Friedman’s conclusion was
valid rebuttal testimony, noting that the state DNA analyst was called as a defense
witness. Under those circumstances, “[a] witness called by the defense does not
open the door to rebuttal.” As a sanction, when the jurors returned to the
courtroom they were advised that they could consider only Friedman’s testimony
and opinions contained in his reports; any of his other testimony and opinions
were stricken from the record and not to be considered when reaching a verdict.
¶7 Busa was ultimately convicted. At sentencing, the circuit court
acknowledged Busa’s advanced age, medical challenges, and lack of prior
offenses. However, the court concluded that the presentence investigation report
(PSI) global sentencing recommendation of approximately eight to nine years’
initial confinement with five to seven years’ extended supervision did not
sufficiently account for the gravity of the offenses or satisfy the deterrent and
punishment objectives of sentencing. The court imposed twelve years’ initial
confinement and ten years’ extended supervision on the second-degree sexual
assault of a child conviction, with a consecutive five years’ initial confinement and
3
All references to the Wisconsin Statutes are to the 2021-22 version unless otherwise
noted.
4
No. 2022AP243-CR
five years’ extended supervision on the child enticement conviction.4 Busa now
appeals.
DISCUSSION
¶8 Busa first argues the circuit court erred by denying an in-camera
review of the victim’s counseling records. The Shiffra-Green issue in this case
was rendered moot by our supreme court’s decision in State v. Johnson, 2023
WI 39, 407 Wis. 2d 195, 990 N.W.2d 174, which overruled Shiffra and validated
a patient’s statutory privilege to refuse to disclose confidential medical
information. See also WIS. STAT. § 905.04. Because Busa is not entitled to an
in-camera review of the victim’s medical records under Johnson, there is no basis
to overturn the circuit court’s decision.5
¶9 Next, Busa argues the circuit court erred by striking Friedman’s
testimony that the victim was not a contributor to the minor DNA profile found on
item A1a. He contends the defense did not violate the discovery statute, or,
alternatively, that Friedman’s testimony was valid rebuttal evidence following the
State’s cross-examination of the crime laboratory analyst. The interpretation and
application of WIS. STAT. § 971.23 and whether good cause has been shown for a
failure to comply with the statute present questions of law that we review de novo.
State v. DeLeo, 2002 WI 49, ¶¶14-15, 252 Wis. 2d 289, 643 N.W.2d 480.
4
A one-year jail sentence for the exposure conviction was imposed concurrent to the
sentence for child enticement but consecutive to the sentence for second-degree sexual assault of
a child.
5
The parties did not submit a notice of supplemental authority pursuant to WIS. STAT.
RULE 809.19(10) or otherwise address the Johnson case.
5
No. 2022AP243-CR
¶10 WISCONSIN STAT. § 971.23(2m)(am) requires the defense disclosure
of “[a]ny relevant written or recorded statements of a witness … including any
reports or statements of experts made in connection with the case or, if an expert
does not prepare a report or statement, a written summary of the expert’s findings
or the subject matter of his or her testimony.” Busa variously argues that
Friedman’s opinion that the victim could not have contributed to the minor DNA
profile was adequately disclosed and that no disclosure was necessary because his
opinion was “merely an interpretation of a DNA analyst report which was already
in the State’s possession.”
¶11 We are not persuaded. It appears undisputed that the three pretrial
reports the defense filed relating to Friedman’s testimony did not explicitly
reference Friedman’s finding that the victim could not have been a contributor to
the minor DNA profile. Busa nonetheless argues that such a finding can be
inferred from other portions of the report, such that the disclosure was adequate
under State v. Schroeder, 2000 WI App 128, ¶6, 237 Wis. 2d 575, 613 N.W.2d
911.
¶12 Friedman’s second amended report reiterated the crime laboratory
analyst’s conclusion that the low-level minor contributor profile was “not suitable
for interpretation.” Later in the report, Friedman wrote: “If the laboratory analyst
had concluded that there was evidence that [the victim] was possibly a contributor
but the level did not meet the laboratory’s criteria for inclusion, the report would
have read that the possible contribution from [the victim] was inconclusive.”
¶13 Had Friedman’s testimony been limited to his interpretation of the
state analyst’s report, we might see the logic in Busa’s argument. At least on its
face, though, Friedman’s testimony was broader and suggested an independent
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No. 2022AP243-CR
conclusion that the victim could not have been a contributor to the low-level minor
DNA profile. If Friedman’s opinion in that regard was truly a matter of
interpretation regarding the state analyst’s use of the phrase “not suitable for
interpretation,” Busa failed to explain that context to the circuit court or to make
an offer of proof establishing that as the basis for Friedman’s conclusion.
¶14 Schroeder is easily distinguishable. There, the State expert used the
Tanner Sexual Maturation Scale to estimate the ages of children depicted in child
pornography the defendant possessed. Schroeder, 237 Wis. 2d 575, ¶7. The
State’s expert witness disclosure used the word “Tanner” nine times in a context
that “made it clear that Tanner had something to do with determining the age of a
child.” Id., ¶9. The court determined this disclosure was sufficient to satisfy the
State’s obligations under WIS. STAT. § 971.23.
¶15 Here, by contrast, at most the State was on notice that Friedman
might quibble with the meaning of the state analyst’s report. Specifically, Busa’s
disclosures suggested only that Friedman might testify that the crime laboratory
analyst would have used different language if she had “concluded that there was
evidence that [the victim] was possibly a contributor.” But the disclosure was not
adequate to inform the State that Friedman had reached his own conclusion about
whether the victim could have been a contributor to the minor DNA profile on
item A1a.
¶16 Busa also argues that no notice of Friedman’s new conclusion was
required because his corresponding testimony was intended for rebuttal or
7
No. 2022AP243-CR
impeachment purposes under WIS. STAT. § 971.23(1)(d).6 The test to determine
whether testimony is bona-fide rebuttal evidence is whether the “evidence became
necessary and appropriate” because it controverted the State’s case. See State v.
Novy, 2013 WI 23, ¶34, 346 Wis. 2d 289, 827 N.W.2d 610. But here, the State
did not seek to introduce any DNA evidence; Busa called the state crime
laboratory analyst to testify. The mere fact that the State cross-examined that
witness does not transform Friedman’s testimony into bona-fide rebuttal evidence.
¶17 We also reject the argument that Friedman’s new opinion was valid
impeachment evidence. A party may attack the credibility of any witness, even a
witness they have called. WIS. STAT. § 906.07. But given the state of the
appellate record, it is unclear how Friedman’s opinion would have impacted the
credibility of the crime laboratory analyst. Friedman testified only regarding his
bare-bones conclusion that the victim could not have been a contributor to the
minor DNA profile found on Busa’s fingernail. There was no offer of proof
regarding how he reached that conclusion, nor a critique of the state laboratory
analyst’s methodology.
¶18 Moreover, an arguable inconsistency in the conclusions of the two
expert witnesses Busa called does not relieve him of his obligations under the
discovery statute. Trials are not shell games. While a party may validly refuse to
disclose the names and addresses of witnesses intended only for rebuttal and
impeachment, see WIS. STAT. § 971.23(2m)(a), this does not mean that the parties
6
Subsection (1) of WIS. STAT. § 971.23 pertains to information the State must disclose
to the defendant. Instead, the relevant portion of the statute for purposes of Busa’s argument is
§ 971.23(2m)(a), which states that a defendant must disclose: “A list of all witnesses, other than
the defendant, whom the defendant intends to call at trial, together with their addresses. This
paragraph does not apply to rebuttal witnesses or those called for impeachment only.”
8
No. 2022AP243-CR
may hide the expert conclusions of witnesses already named.7 Section
971.23(2m)(am) broadly requires the disclosure of “[a]ny relevant written or
recorded statements” of expert witnesses, and the presence or absence of DNA
consistent with the victim’s on Busa’s fingernail was certainly a matter that was
relevant to the question of whether he committed the charged offense. (Emphasis
added.)
¶19 Busa next argues the circuit court’s instruction to the jury regarding
the definition of “sexual intercourse” failed to accurately state the law.
Specifically, he argues that the instruction failed to apprise the jury that sexual
intercourse did not include an intrusion for a proper non-sexual purpose, as in
State v. Lesik, 2010 WI App 12, ¶13, 322 Wis. 2d 753, 780 N.W.2d 210 (holding
that “bona fide medical, health care, and hygiene procedures” do not constitute
“sexual intercourse” for purposes of the statute prohibiting sexual assault of a
child). Busa asserts this was an important qualification, given his defense that any
contact with the victim’s vagina was accidental and occurred when he was
grabbing a blanket.
¶20 Busa acknowledges this argument was forfeited by his failure to
request the instruction at trial. See State v. McKellips, 2016 WI 51, ¶47, 369
Wis. 2d 437, 881 N.W.2d 258. However, he requests that we invoke our WIS.
STAT. § 752.35 discretionary reversal authority, apparently on the basis that the
real controversy was not fully tried. We use our power of discretionary reversal
sparingly and only in exceptional cases. McKellips, 369 Wis. 2d 437, ¶30.
7
In this vein, it is worth noting that Busa does not argue that he need not have disclosed
Friedman as a witness. His argument is that only a portion of Friedman’s testimony was exempt
from disclosure.
9
No. 2022AP243-CR
¶21 We are not persuaded that this is an exceptional case. Busa’s
argument rests on the assertion that he was entitled to a Lesik instruction, but his
defense of accidental penetration was fundamentally different from the defense at
issue in Lesik. There, the defendant argued that any intrusion into the victim’s
vagina occurred while he was cleaning the victim and medicating the rashes she
developed as a result of her medical condition. See Lesik, 322 Wis. 2d 753, ¶3. In
short, Busa has failed to establish that the law mandates an instruction advising
that “sexual intercourse” does not include penetration for a “proper non-sexual
purpose” where the defendant’s only claim is that the penetration was accidental.
¶22 Busa’s final argument is that he was sentenced too harshly for his
crimes. When a defendant argues that his or her sentence was unduly harsh or
excessive, we may find an erroneous exercise of discretion only when the sentence
is so excessive and unusual and so disproportionate to the offense that it shocks
the public sentiment and violates the judgment of reasonable people concerning
what is right and proper under the circumstances. State v. Grindemann, 2002 WI
App 106, ¶31, 255 Wis. 2d 632, 648 N.W.2d 507.
¶23 Busa’s global sentence in this case does not meet these criteria. His
individual sentences were well within the maximum penalties for his crimes,
which were forty years’ incarceration for the sexual assault conviction and twenty-
five years’ incarceration for child enticement. See WIS. STAT. § 939.50(2)(c), (d).
His sentence was therefore not presumptively harsh or excessive.
¶24 We are not persuaded that the sentence was rendered harsh or
excessive by virtue of Busa’s advanced age or medical condition. Busa was
seventy years old when sentenced and had recently suffered a stroke. The circuit
court explicitly acknowledged these matters at sentencing, but it found that a
10
No. 2022AP243-CR
lesser sentence would depreciate the seriousness of the offenses and would not
adequately serve a deterrent function. Busa committed serious crimes, and it was
within the court’s discretion to sentence him accordingly.
By the Court.—Judgment affirmed.
This opinion will not be published. See WIS. STAT. RULE
809.23(1)(b)5.
11