DocketNumber: 2015-010
Citation Numbers: 2016 VT 92
Judges: Reiber, Dooley, Skoglund, Robinson, Eaton
Filed Date: 8/19/2016
Status: Precedential
Modified Date: 10/19/2024
¶ 1. Defendant was convicted of one count of domestic assault, in violation of 13 V.S.A. § 1042, and one count of cruelty to a child, in violation of 13 V.S.A. § 1304. On appeal, he argues that the child-cruelty conviction should be reversed because the trial court’s jury instructions allowed for a nonunanimous verdict, and that the State’s conduct during the trial created a risk of undue prejudice with respect to both counts. We affirm.
¶ 2. The evidence presented at trial involved multiple injuries to E.P, the victim, over a few weeks between early September and mid-October of 2012. E.P.’s nursery school teacher testified that E.P. arrived at school on September 7 of that year with two black eyes, after having missed the first day of school. The teacher asked the child’s mother what had happened, and the mother reported that the child had fallen on a metal bedframe.
¶ 3. The next incident occurred on September 18, 2012. The child’s teacher testified that E.P. had been absent the previous day, and when the child returned to school on the eighteenth she had a bruise on her face. Neither the mother nor defendant, who had a romantic relationship with the mother and had moved in with her in April 2012, called the school or provided a note explaining the bruise.
¶ 4. The teacher next observed an injury to the child a few weeks later on October 10, 2012. E.P. was again absent from
¶ 5. E.P.’s mother testified that on the morning she saw E.P.’s black-and-blue left eye, defendant explained that the injury had occurred the night before when he was heading to the bathroom at the same time as the child. According to the mother’s testimony, defendant told her that he and E.P. had bumped into each other, and the child hit the doorknob. In his interview with police, however, parts of which were admitted at trial, defendant stated that he had been in bed when E.P. hit her face on the bathroom doorknob.
¶ 6. On October 15, 2012, the DCF worker assigned to the case went to the mother’s home with Detective Jonathan Griffus. When they arrived at the home, E.P.’s mother, E.P, and defendant were all present. Detective Griffus took a photograph of E.P.’s left eye showing a dark bruise.
¶ 7. The next day, a pediatric nurse practitioner at Dartmouth-Hitchcock’s Child Advocacy and Protection Program conducted a head-to-toe examination of E.P. During that examination, she observed the following: (1) bruising on E.P.’s upper and lower eyelid, (2) a small bruise on her forearm; (3) two clusters of petechial bruising (tiny burst blood vessels) on one side of her neck,
¶ 8. Detective Griffus testified about his investigation, including his interview of defendant. As noted, the jury watched several segments of that interview in which defendant made statements that were: (1) in conflict with other evidence, such as his statement that he and his mother had taken the child to the doctor after one of the injuries, and (2) inconsistent with other statements he and E.P.’s mother made about the circumstances surrounding the left-eye injury to the child.
¶ 10. Prior to excusing the jury for their deliberations, the trial court instructed the jury on the law governing the case. In particular, as to Count III, the trial court gave the following instruction:
[I]n Count III, [defendant] is charged with the offense of cruelty to a child. The following are the elements of this offense which must be proven by the State beyond a reasonable doubt: that between August 1 and October 16 of 2012, the defendant: (1) was over the age of sixteen years; (2) had the care of a child under ten years of age alleged to be E.P, date of birth May 31, 2008; (3) caused such child to be ill-treated in a manner to cause such child unnecessary suffering; and (4) defendant did so willfully.
The third element is that [defendant] caused [E.P] to be ill-treated in a manner to cause [her] unnecessary suffering. For this third element the terms are self-explanatory, except for the phrase “unnecessary suffering.” That phrase means physical pain or injury caused to the child that was not inflicted by reasonable corporal punishment.
And the fourth element is that the defendant did so willfully. For this fourth element, the State must prove*5 that defendant caused E.P. to be ill-treated in a manner to cause her unnecessary suffering willfully, that is consciously and intentionally, as opposed to accidentally or by mistake.
Your verdicts must represent the considered judgment of each juror. In order to return a verdict, it is necessary that each jur[or] agree thereto. Your verdicts must be unanimous.
¶ 11. The jury returned a verdict of not guilty on Count I, arising from the two-black-eyes incident, and guilty verdicts on Counts II and III.
¶ 12. On appeal, defendant argues that: (1) the jury instruction regarding the child-cruelty count was plain error because the instruction did not make clear that the jury had to be unanimous as to which injury defendant caused to E.P.; and (2) multiple incidents throughout the trial collectively created an undue risk of prejudice warranting a reversal.
I. Jury Instructions and Risk of Non-Unanimity
¶ 13. Because defendant did not object to the jury instruction he now challenges on appeal, we review for plain error. When reviewing alleged plain error in a jury instruction, we determine whether there was obvious error affecting the defendant’s substantial rights, thereby resulting in prejudice to the defendant and seriously affecting the fairness or integrity of the judicial proceedings. See State v. Buckley, 2016 VT 59, ¶ 15, 202 Vt. 371, 149 A.3d 928. “[W]e examine the instructions in light of the record evidence as a whole and determine if any error would result in a miscarriage of justice.” State v. Herrick, 2011 VT 94, ¶ 18, 190 Vt. 292, 30 A.3d 1285. “This is a very high bar — we find plain error only in rare and extraordinary cases.” Id.
¶ 14. Defendant argues that the trial court committed plain error by failing to instruct the jury as to which of the injuries it could consider for purposes of making a child-cruelty determination. According to defendant, the court’s jury instructions failed to assure unanimity among the jurors as to whether some or all of the alleged acts occurred in finding him guilty of the child-cruelty charge.
¶ 16. In Goyette, a case in which the defendant was charged with one count of violating a relief-from-abuse order, the trial court defined the word “harass” as engaging in repeated acts that trouble or torment another but then instructed the jurors that they could find the defendant guilty if they unanimously agreed that he committed at least one of the six separate acts alleged by the State. We noted that “the court’s charge did not assure unanimity among the jurors as to whether some or all of the other acts occurred,” but reversed at least in part because “the court’s broad definition of harassment permitted defendant to be convicted on the basis of virtually any behavior that bothered the complainant.” Goyette, 166 Vt. at 303-04, 691 A.2d at 1067.
¶ 17. On multiple occasions, this Court has emphasized that a claim of error alleging the failure of the State to make an election or the trial court to give a specific unanimity charge in a
¶ 18. In doing so, we explicitly rejected a per se plain-error rule and instead “adopt[ed] the familiar standard of review for plain error” in which we reverse “only in rare and extraordinary cases where we find that the omission in the charge and in the State’s actions so affects the substantial rights of the defendant that we will notice the error despite lack of proper objection.” Holcomb, 156 Vt. at 255, 590 A.2d at 896; see also State v. Johnson, 158 Vt. 508, 513, 615 A.2d 132, 135 (1992) (“In general, we must examine the record in each case, and determine whether the error is so prejudicial that it undermines confidence in the outcome of the trial.” (quotation omitted)). Applying that standard, we found no plain error, in part, because the “[defendant’s defense did not distinguish between the two acts, and he was not hampered in preparing a defense.” Holcomb, 156 Vt. at 255, 590 A.2d at 896 (concluding also that “the acts were so closely related in time and circumstances as to constitute one continuous offense or transaction”).
¶ 19. In two more recent cases involving unpreserved challenges to the absence of a specific unanimity instruction, we reiterated this standard and emphasized its rigorous nature. In Carter, we determined that the petitioner, who was convicted of aggravated sexual assault and claimed plain error based on the trial court failing to require unanimity as to whom a threat of serious bodily injury was directed, had “shown a possibility of error, but little likelihood of prejudice.” 2004 VT 21, ¶ 24 (emphasis added). We stated that to prevail on his plain-error argument, the petitioner would have to demonstrate “that it was likely that some jurors found that there were threats to the victim but not to her family
¶ 20. Similarly, in State v. Prior, where the trial court instructed the jury that the defendant could be found guilty of violating a relief-from-abuse order by “following or stalking” the victim but gave no specific unanimity instruction, we found no plain error because the defendant’s consistent position throughout his trial was that he neither stalked nor followed the victim. 2007 VT 1, ¶ 5, 181 Vt. 564, 917 A.2d 466 (mem.). We concluded that where “evidence relating to alternative theories under which a jury could convict is intertwined throughout the trial and defendant’s defense did not distinguish between the theories, we will not find plain error.” Id. ¶ 8.
¶21. Given this case law and the rigorous standard of review, we conclude that this is not one of those rare and extraordinary cases where the interests of justice compel finding plain error. Whether error exists at all may be a close question in this case, but whether plain error exists under the correct standard is not.
¶ 22. Jury unanimity is an issue in multiple-acts cases, often child sex-abuse cases, where “evidence is presented of a greater number of separate criminal offenses than the defendant is charged with.” Baker v. State, 948 N.E.2d 1169, 1175 (Ind. 2011); see People v. Cooks, 521 N.W.2d 275, 279 (Mich. 1994) (noting that “United States v. Gipson, 553 F.2d 453 (C.A. 5, 1977), is considered a seminal ruling regarding the need for a specific unanimity instruction when evidence of multiple acts by a defendant are
¶ 23. Most courts that have addressed the issue, however, have held “that a specific unanimity instruction is not required in all cases in which more than one act is presented as evidence of the actus reus of a single criminal offense.” Cooks, 521 N.W.2d at 279. “The critical inquiry is whether either party has presented evidence that materially distinguishes any of the alleged multiple acts from the others.” Id.; see State v. Lomagro, 335 N.W.2d 583, 589 (Wis. 1983) (holding that where multiple criminal acts are conceptually similar, unanimity instruction is not required); see also State v. Hill, 26 P.3d 1267, 1275 (Kan. 2001) (“In many multiple acts cases, the acts will be materially distinct and will be associated with different defenses, so a specific unanimity instruction will be required”). “[WJhere the government has presented evidence of a series of materially indistinguishable acts, each of which would factually satisfy the actus reus element of the alleged criminal offense, numerous federal courts have declined to require a specific unanimity instruction.” Cooks, 521 N.W.2d at 281. Thus, in cases involving generic evidence of repeated sex acts, “neither an election nor a unanimity instruction is very helpful where the victim is unable to distinguish between a series of acts, any one of which could constitute the charged offense.” People v. Jones, 792 P.2d 643, 650 (Cal. 1990) (en banc); see also State v. Arceo, 928 P.2d 843, 855 (Haw. 1996) (recognizing “that, in cases involving sexual abuse of minors, it is sufficient, in the indictment, to allege that the offense occurred over a particular time span” (quotation omitted)).
¶ 24. In Cooks, a case involving three separate acts of sexual penetration of a child on consecutive days, the Supreme Court of Michigan upheld the trial court’s refusal to give a specific unanimity instruction, despite the defendant’s request that it do so, because “materially identical evidence was offered with respect to each of the alleged acts of penetration and there is no reason to believe the jury was confused or disagreed about the basis of defendant’s guilt.” 521 N.W.2d at 276, 284 (holding that general
¶ 25. Many other courts have not found plain error for a failure to give a specific unanimity instruction in multiple-acts cases where the evidence concerning the alleged acts was not materially or conceptually distinct or the same blanket or generic defense was proffered with respect to all of the acts. For example, in a case involving charges of sexual abuse of minors, the Court of Appeals of Alaska found no plain error in the trial court failing to give a specific unanimity instruction where the defendant presented “one blanket defense” claiming that all of the charges were false and that he was innocent of any wrongdoing. Anderson v. State, 337 P.3d 534, 543 (Alaska Ct. App. 2014).
¶ 26. In finding no plain error, the court recognized that the charges were based on factually distinct acts of sexual contact and that “[t]he State’s evidence concerning these acts varied somewhat in content and probative strength”; nonetheless, given the defendant’s blanket defense, the court concluded that a different outcome was, even if a “logical possibility,” not a “reasonable possibility.”
¶ 27. In this case, although the State also charged defendant with multiple counts of domestic assault based on specific bruises first noticed on specific dates, it charged defendant with cruelty to a child based on a myriad of bruises all over her body within a relatively short period of time — a little over a month. At trial the State’s principal argument — supported by medical evidence and testimony — was that the number and nature of the bruises on the child within a relatively short period of time pointed to child abuse and not accidental injury.
¶ 28. Defendant neither testified at trial nor presented witnesses, but his defense through his attorney’s cross-examination of witnesses and arguments to the jury was that the alleged victim was “an active girl” with a “depth perception” problem who incurred accidental injuries easily and that no evidence connected him to any of the child’s injuries. To be sure, through cross-examination, defendant suggested alternative reasons for some of the bruises — the child hitting her head on a bedframe to explain the two black eyes, hitting her head on a doorknob to explain the single black eye, and flea bites to explain the marks around the child’s neck — but his generic defense was simply: I played no role in causing any of the child’s bruises, and you have no evidence to show that I did.
¶ 29. In any event, in light of defendant’s blanket defense to the charges against him, he was not prejudiced by the omission of a specific unanimity instruction, and thus there is no plain error. As noted, defendant consistently argued that there was no evidence connecting him to the child’s injuries. Specifically, in arguing for a directed verdict with respect to the child-cruelty count, defense counsel stated that “with every other injury alleged, there’s nothing that connects [defendant] to any of the other bruises on [the child’s] body.”
¶ 30. The absence of prejudice is particularly true in this case because the jury found defendant guilty of domestic assault with respect to the single black eye, and that is a sufficient basis to support the child-cruelty conviction. Defendant argues that the domestic-assault conviction is not dispositive as to the child-cruelty conviction because of the differing mens rea elements of the two offenses, with domestic assault requiring only recklessness but child cruelty requiring willfulness. We disagree.
¶ 31. The trial court instructed the jury that “recklessly” means defendant “was aware of and consciously disregarded a substantial and unjustifiable risk that, by acting as alleged, he would cause” pain or injury to the child. The court further instructed the jury
¶ 32. In short, defendant could be prejudiced by the absence of a unanimity instruction only if one or more jurors found, with no basis in the evidence, that he caused the single black eye injury, but acted recklessly in doing so, and acted willfully in causing some other injury. That a juror reached such a conclusion may be theoretically possible, but it is so highly unlikely that the mere theoretical possibility does not rise to the level of plain error. The dissent surmises that it is “highly likely” that one or more jurors found defendant guilty of child cruelty based exclusively on one or more injuries other than the single black eye, post, ¶ 61, but we know that the jury unanimously convicted defendant on that charge and that defendant did not dispute the distinguishing element of intent based on the evidence presented to the jury. At best, the dissent’s “highly likely” characterization is speculative and cannot be the basis for a finding of plain error.
¶ 33. To sum up, it is questionable whether a specific unanimity instruction was required at all under the circumstances of this case with respect to the child-cruelty charge, but even assuming it was, the trial court’s failure to give such an instruction was not plain error, considering the nature of the alleged “acts” and the generic defense offered by defendant. This is not one of those rare and extraordinary case where the interests of justice compel a finding of plain error.
¶ 34. Defendant’s second argument on appeal, applicable with respect to the remaining conviction for domestic assault in connection with the single black eye, is that various actions by the State cumulatively created a risk of undue prejudice, and that the trial court abused its discretion in denying defendant’s motion for a mistrial on the basis of those actions. Defendant does not specifically argue that the trial court committed error in connection with any of these incidents, but instead contends that the State’s conduct itself created such a risk of unfair prejudice that we must reverse the conviction. The bases for defendant’s argument are as follows:
1. During the State’s opening statement, counsel made reference to Emergency Care Order proceedings.
2. After being limited to factual and physical observations of the child’s play, her teacher testified that the child played “angrily.”
3. Upon presentation of the photographs she took when the child came to school with a black eye, the teacher broke down crying on the stand.
4. The State solicited from mother that defendant no longer lived with her and the child after the court ruled that the State could not ask mother whether she had ended her relationship with him.
5. The State solicited testimony from its expert witness, the nurse who examined the child, that strangulation was among the possible causes of petechia on the neck.
6. The State elicited testimony that a witness was concerned about the child.
¶ 35. In arguing about the cumulative harm of the enumerated instances, defendant also suggests that the trial court abused its discretion in admitting testimony about various bruises and injuries to the child that were not linked by any evidence to defendant. To the extent defendant raises this as a distinct argument on appeal, the objection was not preserved below, and
¶ 36. A court “ ‘may grant a new trial if it believes that the cumulative effect of numerous concerns, no one of which can be characterized as reversible error, amounted to a miscarriage of justice.’ ” State v. Brooks, 2013 VT 27, ¶ 33, 193 Vt. 461, 70 A.3d 1014 (quoting State v. Aiken, 2004 VT 96, ¶ 9, 177 Vt. 566, 862 A.2d 285 (mem.)). We conclude that the trial court acted within its discretion in denying defendant’s motion for a new trial. The State’s reference in opening statements to the fact that DCF had obtained an emergency care order was fleeting. As soon as defendant objected, the court ruled that the State could not further discuss those child protection proceedings. The court noted that the State’s reference was minor and would be forgotten by the jury, and defense counsel declined a corrective instruction. The impact, if any, of the State’s lapse was minimal.
¶ 37. Likewise, the State’s questions eliciting testimony by the teacher that she observed the child playing in an angry manner had little if any impact on this case. The State did run afoul of the trial court’s ruling excluding such questions, but the court immediately stopped the line of questioning and reprimanded the State. Because the testimony that came out — that this child was angry when she played — was so fleeting and unconnected to evidence that defendant committed the charged crimes, it had very little probative value or prejudicial effect in this case.
¶ 38. We acknowledge that the teacher’s crying on the stand, had it continued unabated, may have aroused the jury’s sympathies. But the second it surfaced, the trial court took a recess. The court made it clear to the State in no uncertain terms that it better not happen again, and the State structured its questions thereafter to ensure that it did not. In short, the impact of the teacher’s momentary tearfulness during her testimony was minimal.
¶ 39. The State’s question eliciting testimony that defendant no longer lived with mother following the trial court’s ruling that the State could not ask whether they had ended their relationship was objectionable, but defendant points to nothing in the record to support the claim that prejudice flowed from this testimony. For that reason, we cannot conclude that this errant question and answer were more than minimally prejudicial, if at all.
¶ 40. The testimony by the nurse that strangulation could lead to petechial bruising “going a large direction around the neck”
¶ 41. Finally, defendant points to a question by the State as to whether a witness had a “concern” about the child. Although defendant objected and the court sustained the objection, the witness answered yes. The court promptly instructed the jury to ignore the answer. Moreover, in context, it appears that the question was simply designed to serve as a bridge from the teacher’s observations of the child’s injury to her act of offering the child ice for her eye. We discern no prejudice from this exchange.
¶ 42. In light of the foregoing, we conclude that the trial court was well within its discretion in denying defendant’s motion for a new trial on the basis of the cumulative prejudice from the above instances, and thus we affirm defendant’s convictions.
Affirmed.
According to the nurse, petechial bruising generally occurs from back pressure, which may happen, for example, when a woman is in labor or during forceful fits of coughing. Another way for petechial bruising to occur is when blood flow has been occluded or blocked. For example, if clothing were pulled with enough force around the neck, it could cut off blood flow and cause petechial bruising.
The State initially also charged defendant with domestic assault for causing a bruise on E.P.’s buttocks, but voluntarily dismissed that claim before trial because its witness on that count had relocated and was unavailable for the week of trial.
Because the court dismissed a charge at the close of evidence, the court renumbered the counts for the purpose of submitting them to the jury. We use the numbering the court ultimately adopted in its instructions.
The court also noted the danger of attorneys “sandbagging” the trial court by making a tactical decision to not request a specific unanimity instruction and then claiming error on appeal; however, the court ultimately did not consider whether that occurred in that case. Anderson, 337 P.3d at 536, 543-44.
The dissent insists that this is a clear case of “distinct instances,” post, ¶ 57, and that, as the deputy state’s attorney asserted at oral argument before this Court, the child-cruelty charge was premised primarily on the petechial bruising around the child’s neck. Irrespective of what the deputy state’s attorney may have stated to this Court at oral argument, the trial record does not show that the child-cruelty charge was based primarily on petechial bruising. The record, including the closing arguments by both the deputy state’s attorney and defense counsel, shows that defendant’s principal defense was that the child’s multiple bruises were the result of accidents by an active child with depth perception
Whether or not it goes over the line to constitute error, we encourage the trial courts to give a unanimity instruction in close cases to ensure defendants are not prejudiced.