SUPERIOR COURT OF NEW JERSEY
APPELLATE DIVISION
A-6215-94T4
STATE OF NEW JERSEY,
Plaintiff-Respondent,
v.
DAVID T. COMPTON,
Defendant-Appellant.
___________________________________
Submitted: January 21, 1997 - Decided: October 8, 1997
Before Judges Havey, Kestin and Eichen.
On appeal from the Superior Court of New Jersey,
Law Division, Criminal Part, Essex County.
Susan L. Reisner, Public Defender, attorney for
appellant (Thomas J. Largey, Designated Counsel,
on the brief).
Peter Verniero, Attorney General, attorney for
respondent (Wendy Alice Way, Deputy Attorney
General, of counsel and on the brief).
The opinion of the court was delivered by
KESTIN, J.A.D.
Defendant was charged with the murder of his four-and-one-half-month-old son, Ronald, and with second degree endangering the welfare of the child. He was convicted of lesser-included first degree aggravated manslaughter and of endangering as charged. After defendant's motion for a judgment of acquittal pursuant to R. 3:18-2 was denied, he was sentenced to the presumptive twenty-year term for the manslaughter conviction, N.J.S.A. 2C:44-1f(1)(a),
along with a concurrent presumptive term of seven years for the
endangering conviction, N.J.S.A. 2C:44-1f(1)(c).
On appeal, defendant raises the following issues:
POINT I THE COURT ERRED WHEN IT ADMITTED "OTHER
CRIMES" EVIDENCE & THEREBY CAUSED THE
DEFENDANT TO SUFFER UNDUE PREJUDICE & AND
UNJUST CONVICTIONS.
POINT II THE COURT'S LIMITING INSTRUCTION RELATING
TO THE INTRODUCTION OF "OTHER CRIMES"
EVIDENCE WAS PLAIN ERROR BY FAILING TO
PREVENT THE JURY FROM USING THAT EVIDENCE
FOR AN IMPROPER PURPOSE - PROOF OF
DEFENDANT'S DISPOSITION TO COMMIT THE
OFFENSE HE WAS TRIED FOR. (NOT RAISED
BELOW).
SUBPOINT (A) THE COURT'S LIMITING
INSTRUCTION REGARDING "OTHER CRIMES" WAS
NOT SUFFICIENTLY SPECIFIC & THEREBY FAILED
TO PREVENT THE JURY FROM CONCLUDING THAT
THE DEFENDANT WAS DISPOSED TO COMMIT THE
OFFENSES HE WAS CHARGED WITH. (NOT RAISED
BELOW).
SUBPOINT (B) THE COURT ERRED WHEN IT
FAILED TO PROVIDE LIMITING INSTRUCTIONS AT
THE TIME THE PERTINENT EVIDENCE WAS
ADMITTED AT TRIAL. (NOT RAISED BELOW).
POINT III IT WAS PLAIN ERROR FOR THE COURT TO ADMIT
TESTIMONY THAT CAUSED THE DEFENDANT UNDUE
PREJUDICE & PREVENTED HIM FROM RECEIVING A
FAIR TRIAL & RESULTED IN A MANIFEST
INJUSTICE - HIS UNWARRANTED CONVICTION OF
AGGRAVATED MANSLAUGHTER AND ENDANGERING
THE WELFARE OF A CHILD. (NOT RAISED
BELOW).
SUBPOINT (A) THE COURT ERRED WHEN IT
ADMITTED EXPERT TESTIMONY FROM DR. SINQUEE
ON THE SHAKEN BABY SYNDROME. (NOT RAISED
BELOW).
SUBPOINT (B) DR. SINQUEE WAS NOT
PROPERLY QUALIFIED BY THE COURT TO OFFER
HER PURPORTED EXPERT OPINION ON THE SHAKEN
BABY SYNDROME - WHICH CAUSED DEFENDANT'S
UNJUST CONVICTION. (NOT RAISED BELOW).
SUBPOINT (C) THE COURT ERRED WHEN IT
ALLOWED DR. SINQUEE TO OFFER HER PURPORTED
EXPERT OPINION ON THE SHAKEN BABY SYNDROME
WITHOUT HAVING FIRST ESTABLISHED ITS
GENERAL ACCEPTANCE WITHIN THE SCIENTIFIC
COMMUNITY & ITS RELIABILITY. (NOT RAISED
BELOW).
SUBPOINT (D) THE COURT ERRED WHEN IT
ALLOWED TWO EXPERTS TO OFFER OPINIONS THAT
INCLUDED BOTH DIRECT & IMPLICIT
DETERMINATIONS OF THE DEFENDANT'S GUILT.
(PARTIALLY RAISED BELOW).
POINT IV [Withdrawn by motion granted.]
POINT V DEFENDANT WAS DENIED DUE PROCESS &
EFFECTIVE ASSISTANCE OF COUNSEL GUARANTEED
BY THE U.S. CONST. AMENDS. VI AND XIX AND
BY THE N.J. CONST. ART 1, PARA. 10 AND
PARA. 1 (NOT RAISED BELOW). [PARTIALLY
WITHDRAWN AS RELATING TO POINT IV.]
POINT VI THE COURT ERRED WHEN IT DENIED DEFENDANT'S
R. 3:18-2 MOTION SINCE THE JURY'S VERDICTS
THAT FOUND THE DEFENDANT NOT GUILTY OF
RECKLESS MANSLAUGHTER BUT GUILTY OF
AGGRAVATED MANSLAUGHTER WERE INCONSISTENT
AND UNCONSTITUTIONAL.
POINT VII THE COURT IMPOSED SENTENCES THAT DID NOT
COMPLY WITH THE GUIDELINES AND WERE BOTH
EXCESSIVE & SHOCKING TO THE JUDICIAL
CONSCIENCE.
SUBPOINT (A) THE COURT FAILED TO COMPLY
WITH THE SENTENCING GUIDELINES WHEN IT DID
NOT SPECIFICALLY & INDIVIDUALLY BALANCE &
CORRELATE ITS FINDINGS OF SENTENCING
FACTORS TO THE SEVERITY OF THE OFFENSES
DEFENDANT STOOD CONVICTED OF.
SUBPOINT (B) THE COURT'S FINDING THAT
THE AGGRAVATING FACTORS OUTWEIGHED THE
MITIGATING FACTORS WAS PATENTLY ERRONEOUS
& WAS ALSO APPARENTLY CONTRADICTED BY ITS
OWN OBSERVATIONS.
SUBPOINT (C) THE COURT IMPROPERLY
CONSIDERED THE STATUTORY ELEMENT OF "HARM
TO THE VICTIM" AS AN AGGRAVATING
SENTENCING FACTOR.
SUBPOINT (D) THE COURT ABUSED ITS
DISCRETION WHEN IT FAILED TO FIND
MITIGATING FACTORS N.J.S.A. 2C:44-1b(1),
(4) & (9).
SUBPOINT (E) THE COURT'S IMPOSITION OF A
TERM OF 20 YEARS IMPRISONMENT FOR
AGGRAVATED MANSLAUGHTER & A TERM OF 7
YEARS IMPRISONMENT FOR ENDANGERING THE
WELFARE OF A CHILD WAS NOT ONLY EXCESSIVE
BUT WAS ALSO SHOCKING TO THE JUDICIAL
CONSCIENCE.
Ronald died from injuries incurred while he was in defendant's
sole care. When the infant's mother, defendant's wife, left Ronald
in defendant's care while she ran some errands, the child was in
normal condition. Shortly after she returned home, defendant left.
Mrs. Compton heard a noise from Ronald and attempted to pick him
up. He was limp and "[h]is eyes were in the back of his head."
She called 911. A police officer who arrived with the ambulance
noticed that "the child was making squealing noises and twitching
his arms and his hands, and feet. I took his blood pressure and
pulse, and I found them to be low."
Ronald was taken to one hospital and, within hours, was
transferred to another with a pediatric intensive care unit. After
tests were conducted, the treating physician, Dr. Sinquee,
diagnosed Shaken Baby Syndrome. Following four days of extensive
treatment, brain death was established and life support was halted.
Dr. Sinquee, testifying at trial as an expert witness offered
by the State, gave details of the brain injuries she diagnosed as
Shaken Baby Syndrome which, in her opinion, had caused Ronald's
death. A forensic pathologist employed by the State Medical
Examiner's Office testified, also as an expert witness for the
State, that he had performed an autopsy on the child and had
concluded that the cause of death was "traumatic internal
hemorrhages" in the brain from an external force or forces. He
disagreed that shaking had been the cause of those injuries,
however.
Evidence was received over defendant's objection that, on
three previous occasions, Ronald had sustained injuries when left
in defendant's care. The trial court ruled that the evidence was
probative and relevant with respect to the issue of whether the
child's death had been accidental, and was, therefore, permissibly
part of the State's effort to rebut defendant's claim of accident.
There was also evidence from Mrs. Compton and two detectives, all
of whom had participated in telephone conversations with defendant
in which he admitted that he had squeezed and shaken Ronald on a
number of occasions, including on the day in question. After
defendant was in custody, he told his wife during a jail visit
that, on the day at issue, he had thrown Ronald up in the air; that
the infant went through his hands and he dropped the child.
Defendant claimed that Ronald looked as if he had passed out, and
that he shook the infant in an attempt to revive him.
The trial court's ruling admitting the evidence of prior
occurrences of harm to the child while in defendant's care was
correct. It was relevant to a material issue, i.e., whether the
child's death was accidental as claimed by defendant, and it met
the other standards governing admissibility under N.J.R.E. 404(b).
State v. Cofield,
127 N.J. 328, 337-39 (1992); State v. Moorman,
286 N.J. Super. 648, 660-63 (App. Div. 1996).
The remaining issues before us bearing upon the conduct of the
trial and rulings made therein were not raised during trial. They
are, therefore, subject to R. 2:10-2. We dispose of them without
reference to plain error considerations, however.
We regard the trial judge's limiting instruction in the
general charge to the jury, relating to defendant's prior conduct
with the infant victim, to have been adequate. Although it would
have been better to have given that instruction when the evidence
was first offered, as well as in the general charge, State v.
Johnson,
65 N.J. 388, 394 (1974) (Pashman, J., concurring), the
omission to do so was not prejudicial. State v. Hummel,
132 N.J.
Super. 412, 424 (App. Div.), certif. denied,
67 N.J. 102 (1975).
Juries have a responsibility faithfully to follow the judge's
instructions whenever given, and we presume that they discharge
that duty. State v. Manley,
54 N.J. 259, 270 (1969).
It is also clear that the trial court committed no error in
admitting Dr. Sinquee's testimony on Shaken Baby Syndrome.
Defendant argues that, with the factual testimony of Mrs. Compton
and others concerning the events surrounding Ronald's death, and
the expert testimony of the pathologist that the death was caused
by "traumatic internal hemorrhages," additional expert testimony
from Dr. Sinquee that Shaken Baby Syndrome was the cause of death,
was surplusage and, because unnecessary, was unduly prejudicial.
Defendant also contends that Dr. Sinquee was not qualified to offer
an expert opinion on Shaken Baby Syndrome, and that no adequate
foundation had been established for the reliability of her
observations and conclusions. Defendant argues further that the
general acceptance of Shaken Baby Syndrome within the scientific
community, and its reliability as an explanation for the death of
the victim, had not been established.
With respect to the first of these related arguments, we note
only that the State was in no way limited from offering evidence of
alternative causes of death reflecting its investigations and
meeting the explanations advanced by defendant for the injuries
that caused the victim's death. See State v. Moorman, supra, 286
N.J. Super. at 660. We are aware of no rule that requires the
State to choose a single theory upon which to build its case. See,
e.g., State v. Cooper, ___ N.J. ___, ___ (1997) (slip op. at 2);
cf. State v. Martin,
119 N.J. 2, 16-17 (1990).
Secondly, Dr. Sinquee's credentials as a physician who was
board certified in pediatrics and pediatric critical care, and who
served as Director of the Pediatric Intensive Care Unit at United
Hospital, along with the details provided, clearly qualified her as
an expert in pediatric intensive care. Her training and experience
clearly qualified her to testify concerning infants with
traumatically induced brain injuries and the potential causes
thereof, including Shaken Baby Syndrome. Furthermore, the nature
of the injuries she diagnosed and treated, and the manner in which
they are typically induced, bore directly upon the issues in the
case and were beyond the ken of the average juror. Thus, two of
the three standard requirements for admission of expert testimony
were satisfied. See Nesmith v. Walsh Trucking Co.,
123 N.J. 547,
548 (1991); State v. Kelly,
97 N.J. 178, 208 (1984).
The third criterion, "that the field testified to must be at
a state of the art such that an expert's testimony could be
sufficiently reliable," ibid., was also not addressed at trial for
want of an objection from defendant on that ground. We are
satisfied as a post hoc matter, however, that this standard, too,
was met.
There are three methods for establishing the general
acceptance and reliability of a new field of research, including
medical conditions and diagnoses, not previously judicially
recognized. These approaches were definitively described in State
v. Kelly:
(1) by expert testimony as to the general
acceptance, among those in the profession, of the
premises on which the proffered expert witness based
his or her analysis; (2) by authoritative scientific
and legal writings indicating that the scientific
community accepts the premises underlying the
proffered testimony; and (3) by judicial opinions
that indicate the expert's premises have gained
general acceptance.
[Id., 97 N.J. at 210.]
See also State v. J.Q.,
130 N.J. 554, 571-74 (1993). All three
means are available here to qualify Shaken Baby Syndrome as a
fitting subject for expert testimony.
Dr. Sinquee's own testimony on the issue of general acceptance
was sufficient under the first approach. Although not explored as
a preliminary matter in her direct testimony, Dr. Sinquee testified
on cross-examination that she was familiar with the literature on
Shaken Baby Syndrome, and that it was generally accepted both as
descriptive of a condition and as a diagnosis.
It is clear, as well, that the condition has been adequately
analyzed and recognized in medical research and literature. As Dr.
Sinquee testified, Shaken Baby Syndrome was first identified and
named by Dr. John Caffey in his seminal article, The Whiplash
Shaken Infant Syndrome: Manual Shaking by the Extremities With
Whiplash-Induced Intracranial and Intraocular Bleedings, Linked
With Residual Permanent Brain Damage and Mental Retardation,
54 Pediatrics 396 (1974). It is a term used to connote conditions,
such as those described in the title, which may typically result
from vigorously shaking a young child. Since 1974, the syndrome
(also referred to as "whiplash shaken infant syndrome" or "shaken
infant syndrome") has been recognized authoritatively in medical
journals, see, e.g., Derek A. Bruce and Robert A. Zimmerman, Shaken
Impact Syndrome,
18 Pediatric Annals 482 (1989); Randell Alexander,
et al., Serial Abuse in Children Who Are Shaken, 144 American
Journal of Diseases of Children 58 (1990); Luke J. Haseler, et al.,
Evidence From Proton Magnetic Resonance Spectroscopy For a
Metabolic Cascade of Neuronal Damage in Shaken Baby Syndrome,
99 Pediatrics 4 (1997); see also Millard Bass, et al., Death-scene
Investigation in Sudden Infant Death, 315 New England Journal of
Medicine 100, 104, 105 (1986) (citing John Caffey, On the Theory
and Practice of Shaking Infants: Its Potential Residual Effects of
Permanent Brain Damage and Mental Retardation, 124 American Journal
of Diseases of Children 161 (1972)), in related prints, see, e.g.,
Showers, Shaken Baby Syndrome, The Problem and a Model for
Prevention,
21 Children Today 34 (1992), and in legal literature,
see, e.g., Myrna S. Raeder, Navigating Between Scylla and
Charybdis: Ohio's Efforts to Protect Children Without Eviscerating
the Rights of Criminal Defendants....Evidentiary Considerations and
the Rebirth of Confrontation Clause Analysis in Child Abuse Cases,
25 U. Tol. L. Rev. 43, 140 (1994). We conclude that "there is
sufficient, authoritative legal and medical literature to
substantiate the conclusion that [Shaken Baby Syndrome] has been
widely accepted in the medical community." State v. Moorman,
supra, 286 N.J. Super. at 659.
Finally, "numerous other jurisdictions have accepted [Shaken
Baby Syndrome] as a reliable scientific premise." Ibid. Explicit
judicial recognition has been accorded in at least two states. See
State v. McClary,
541 A.2d 96, 101-03 (Conn. 1988); State v. Lopez,
412 S.E.2d 390, 393 (S.C. 1991); see also In re Lou R.,
499 N.Y.S.2d 846, 848-50 (N.Y. Fam. Ct. 1986); In re Renae Ebony W.,
452 S.E.2d 737, 741 (W. Va. 1994). Many more courts, including our
own Supreme Court in State v. Galloway,
133 N.J. 631, 638 (1993),
have recognized the condition implicitly, by acknowledging expert
testimony describing the syndrome in connection with a particular
case at bar, or treating it as an accepted medical condition
without further comment. See Dabbs v. State,
518 So.2d 825, 826-27
(Ala. Crim. App. 1987); In re B.S.,
697 So.2d 914, 916 (Fla. Dis.
Ct. App. 1997); Jones v. State,
439 S.E.2d 645, 647 n.2 (Ga. 1994);
State v. Robinson,
922 P.2d 358, 361-62 (Haw. 1996); State v.
Ojeda,
810 P.2d 1148, 1150-51 (Idaho Ct. App. 1991); People v.
Rader,
651 N.E.2d 258, 260 (Ill. App. Ct.), appeal denied,
657 N.E.2d 634 (1995); Brown v. State,
512 N.E.2d 173, 176 (Ind. 1987);
State v. Weaver,
554 N.W.2d 240, 241-44 (Iowa 1996); State v.
Altum,
941 P.2d 1348, 1350 (Kan. 1997); State v. Discher,
597 A.2d 1336, 1338-39, 1343 (Me. 1991); State v. Olsen,
435 N.W.2d 530,
531-32 (Minn. 1989); Monk v. State,
532 So.2d 592, 594-96 (Miss.
1988); State v. Broseman,
947 S.W.2d 520, 524 (Mo. Ct. App. 1997);
State v. Andrews,
907 P.2d 967, 968-69 (Mont. 1995); State v.
Reynolds,
483 N.W.2d 155, 157-58 (Neb. 1992); State v. Wojcik,
472 N.W.2d 732, 734 (Neb. 1991); State v. Evans,
594 A.2d 154, 156-57
(N.H. 1991); State v. Mallar,
508 A.2d 1070, 1071 (N.H. 1986);
People v. Van Norstrand,
647 N.E.2d 1275, 1276-77 (N.Y. 1995),
appeal denied after remand,
678 N.E.2d 511 (1997); State v. Burr,
461 S.E.2d 602, 609 (N.C. 1995), cert. denied, ___ U.S. ___,
116 S.Ct. 1359,
134 L.Ed.2d 526 (1996); In re A.V.,
554 N.W.2d 461,
462-63 (N.D. 1996); State v. Weeks,
582 N.E.2d 614, 615 (Ohio Ct.
App. 1989); State v. Pollard,
888 P.2d 1054, 1056 (Or. Ct. App.),
review denied,
894 P.2d 469 (1995); State v. Olsen,
680 A.2d 107,
109 (Vt. 1996); West Virginia ex rel. Wright v. Doris S.,
475 S.E.2d 865, 870, 875-76 (W. Va. 1996); State v. Rundle,
500 N.W.2d 916, 918 (Wis. 1993). Cf. State v. P.Z.,
285 N.J. Super. 219, 223
(App. Div. 1995).
All three methods for establishing the general acceptability
of Shaken Baby Syndrome as a subject of scientific evidence have
been well utilized. State v. Kelly, supra, 97 N.J. at 210. Thus,
we conclude that the trial court committed no error in admitting
Dr. Sinquee's testimony concerning the condition and its bearing
upon this case.
Defendant's argument that he was denied effective assistance
of counsel, Strickland v. Washington,
466 U.S. 668,
104 S. Ct. 2052,
80 L. Ed.2d 674 (1984); United States v. Cronic,
466 U.S. 648,
104 S. Ct. 2039,
80 L. Ed.2d 657 (1984); State v. Fritz,
105 N.J. 42 (1987), is based primarily upon the failure of trial
counsel to object or raise questions in respect of the foregoing
issues, thereby relegating them to plain error grounds on appeal.
We have considered each such issue fully, however, without plain
error constraints, and have determined the trial court to have been
correct in every instance. It follows that no actual prejudice
befell defendant as a result of trial counsel's "omissions."
Therefore, the second requirement of the two-part test of
Strickland, supra, 466 U.S. at 687, 104 S. Ct. at 2064, 80 L. Ed.
2d at 693, adopted in Fritz, supra, 105 N.J. at 58, "that the
deficient performance prejudiced the defense," id. at 52, has not
been met. To the extent there may be any Strickland/Cronic/Fritz-type merit to defendant's additional contention that trial counsel
was deficient in failing to call an expert witness to rebut Dr.
Sinquee's testimony concerning Shaken Baby Syndrome, we leave that
issue to fuller development in a proceeding for post-conviction
relief. See State v. Preciose,
129 N.J. 451, 460 (1992).
Defendant argues that an inherent inconsistency between the
jury's verdicts of not guilty with respect to reckless manslaughter
and guilty with respect to aggravated manslaughter invalidated the
verdict. That argument is entirely without merit. R. 2:11-3(e)(2). The trial judge was correct to conclude that the jury
verdict was entitled to deference because there had been sufficient
evidence to prove each and every element of aggravated manslaughter
beyond a reasonable doubt. State v. Kluber,
130 N.J. Super. 336,
341-42 (App. Div. 1974), certif. denied,
67 N.J. 72 (1975). The
trial court's reliance on State v. Myers,
239 N.J. Super. 158, 170-71 (App. Div.), certif. denied,
127 N.J. 323 (1990), in denying
defendant's R. 3:18-2 motion for a judgment of acquittal
notwithstanding the verdict was, accordingly, likewise correct.
None of the issues defendant raises respecting the sentence
have merit, either. R. 2:11-3(e)(2). The balancing of aggravating
and mitigating factors was appropriate, State v. Sainz,
107 N.J. 283, 288-91 (1987); and the concurrent, presumptive sentences were
well within the trial court's discretion to impose. State v.
Ghertler,
114 N.J. 383, 387-88 (1989); State v. Roth,
95 N.J. 334,
359 (1984). See also State v. Miller,
108 N.J. 112 (1987); State
v. Still,
257 N.J. Super. 255, 259 (App. Div. 1992).
Affirmed.