O'BRIEN v. STATE
2002 WY 63
45 P.3d 225
Case Number: 00-135
Decided: 04/24/2002
APRIL TERM, A.D. 2002
DAVID OBRIEN,
Appellant(Defendant),
v.
THE STATE OF WYOMING,
Appellee(Plaintiff).
Appeal from the District Court of Campbell County
The Honorable Dan R. Price II, Judge
Representing Appellant:
Sylvia Lee Hackl, State Public Defender; Donna D. Domonkos, Appellate Counsel. Argument by Ms. Domonkos.
Representing Appellee:
Gay Woodhouse, Wyoming Attorney General; Paul S. Rehurek, Deputy Attorney General; D. Michael Pauling, Senior Assistant Attorney General; Theodore E. Lauer, Director, and Tammy L. Farmer, Student Intern, of the Prosecution Assistance Program. Argument by Ms. Farmer.
Before LEHMAN, C.J., and GOLDEN, HILL, KITE, and VOIGT, JJ.
GOLDEN, Justice.
[1] In this appeal, we primarily consider the instruction a jury should receive when considering whether the elements of aggravated assault and battery are met. Appellant David Wayne OBrien contends that the trial court improperly defined the term recklessly under circumstances manifesting extreme indifference to the value of human life. We agree that this language requires that the State prove that a defendants conduct exhibited more than recklessness, but we determine that sufficient evidence supported OBriens conviction on one count of aggravated assault and battery in violation of Wyo. Stat. Ann. 6-2-502(a)(i). On this issue and others presented by OBrien, we find no reversible error and affirm his conviction.
ISSUES
[2] The parties agree that the following issues are presented for our review:
I. Whether plain error occurred when the jury was erroneously instructed regarding the recklessly under circumstances manifesting extreme indifference to the value of human life component of aggravated assault and battery?
II. Whether there was insufficient evidence to convict OBrien of aggravated assault under W.S. 6-2-502(a)(i)?
III. Whether Nurse Kriningers testimony eliciting statements made by Mr. Foster was improper hearsay under W.R.E. 803(4)?
IV. Whether prosecutorial misconduct occurred during the States closing argument and in the States case in chief?
FACTS
[3] On the evening of August 21, 1999, twenty-two year old Jordan Foster reported to two friends that, as he drove around in Gillette, Wyoming, he had been bothered by some people in a red Ford Probe. Foster was cruising, or driving around town, which is an activity many young people in Gillette engage in to meet with friends and visit. Later, Foster was a passenger in a pickup truck driven by his friend, Chris Weber, age 18. Webers girlfriend, Amanda Jameson, age 17, was also a passenger. The three drove around Gillette and soon encountered the red Ford Probe, which was driven by Shawn Lewis, age 20, with Shelly Lane, age 16, occupying the front seat passenger side, and OBrien seated in the back. This party was also cruising. OBrien is Lewis uncle and is 30 years old. As the two vehicles drove next to each other, the Probes occupants began calling out insults to the occupants of the pickup truck. The Probe parked in a bank parking lot, and Foster and his friends also pulled into the lot and parked. Weber testified that Fosters demeanor was curious and not angry.
[4] OBrien, however, emerged from the Probes back seat appearing angry and stating that he hated cowboys. Weber testified that OBrien had a bigger build and appeared much older. Foster got out of the pickup truck and walked over to OBrien to see if there was a problem. OBrien placed a beer that he had been drinking on the hood of the pickup truck and asked if Foster was scared of him. After Foster asked if he should be, OBrien punched Foster near the left eye knocking him to the ground. Foster reported that he had been knocked unconscious, and eyewitnesses testified that he did not fight back. Falling on him, OBrien hit Foster in the head pretty quick and hard and about ten or eleven times. OBrien then stood up, jumped up and down and said, I am the greatest, repeatedly.
[5] Lane apologized to Jameson, and all three Probe occupants returned to it and left. Weber and Jameson placed Foster in their pickup truck and drove him to the Campbell County Memorial Hospital emergency room in Gillette. An emergency room nurse, Patty Krininger, testified that Foster was pale, nauseated, in need of stitches, and had a broken jaw, a combination that could cause him to stop breathing. Foster was transported by ambulance to the hospital in Casper to undergo surgery. Dr. Donald Greer, a plastic surgeon, observed a severely fractured and displaced jaw, a condylar fracture, a concussion, and a laceration on the forehead. He testified that the broken jaw did not allow Foster to control his tongue, which could fall back and block his airway. A permanent titanium plate was inserted across Fosters fractured jawbone and wires and bands used to set the jaw.
[6] Afterwards, Fosters memory of the incident was impaired, and he could not identify OBrien. Lane identified OBrien to police. OBrien was charged with aggravated assault and battery in violation of Wyo. Stat. Ann. 6-2-502(a)(i), convicted by a jury, and sentenced to three to eight years. This appeal followed.
DISCUSSION
Jury Instructions
[7] In his first issue, OBrien contends that the trial court committed plain error when it improperly provided the jury with the definition of the term recklessly rather than providing the jury with a definition of the term recklessly under circumstances manifesting extreme indifference to the value of human life found in Wyo. Stat. Ann. 6-2-502(a)(i).1 OBrien contends that this term required the jury to find a degree of culpability beyond mere recklessness, and the instruction defining the term reckless was an inaccurate statement of the law and misleading.
[8] No objection to the instruction was made at trial; and under a plain error review, OBrien must show that the record clearly shows an error that transgressed a clear and unequivocal rule of law which adversely affected a substantial right. Taylor v. State, 2001 WY 13, 16, 17 P.3d 715, 16 (Wyo. 2001). Prejudicial error must be demonstrated by appellant, and prejudice will not be demonstrated unless the instruction confused or misled the jury with respect to the proper principles of law. Collins v. State, 854 P.2d 688, 700 (Wyo. 1993); Lowseth v. State, 875 P.2d 725, 729 (Wyo. 1994). Failure to instruct properly on an element of a crime does not constitute plain error where that element is not contested at trial or where evidence of the defendants guilt is overwhelming. Miller v. State, 904 P.2d 344, 349 (Wyo. 1995).
[9] The jury received the following instructions on the elements of aggravated assault:
Instruction No. 4
The elements of the crime of Aggravated Assault and Battery, as charged in this case, are:
1. The events occurred on or about August 22, 1999.
2. They occurred in Campbell County, Wyoming;
3. The Defendant, David Wayne OBrien caused serious bodily injury to Jordan Foster; and
4. Intentionally, knowingly or recklessly under circumstances manifesting extreme indifference to the value of human life.
If you find from your consideration of all the evidence that each of these elements has been proved beyond a reasonable doubt, then you should find the defendant guilty.
If, on the other hand, you find from your consideration of all the evidence that each of these elements has not been proven beyond a reasonable doubt, then you should find the defendant not guilty.
Instruction No. 5
Serious bodily injury means bodily injury which creates substantial risk of death or which causes severe disfigurement or impairment of the function of any bodily member or organ.
Instruction No. 6
An act is knowingly or intentionally done if it is done voluntarily and purposely; not accidentally, because of a mistake or for some other innocent reason. The State must prove that the defendants acts were done knowingly or intentionally, but the State is not required to prove that the defendant intended the consequences which may have resulted from the doing of those acts.
Whether acts were knowingly or intentionally done must be determined or inferred from all of the evidence in the case. In making that finding you may consider the acts themselves, the manner in which they were done, the means used, and all the circumstances surrounding the acts.
Instruction No. 7
Recklessly is different from knowingly or intentionally. Recklessness does not require proof of an intent or purpose to do harm. It is, instead, an utter unconcern about the consequences of ones acts. Recklessness is rash and careless conduct. A person is reckless when he consciously disregards a substantial and unjustified risk that his acts will cause serious harm. The risk must be of such a nature and degree that disregarding it constitutes a gross deviation from the standard of conduct that a reasonable person would observe under the circumstances.
[12] The aggravated assault and battery statute is the only Wyoming statute using the term recklessly under circumstances manifesting extreme indifference to the value of human life, and the Wyoming legislature has not defined that term. Before 1982, the offense of aggravated assault and battery without a dangerous weapon carried a maximum one year county jail term when one was convicted for unlawfully and maliciously inflicting upon another person any grievous bodily harm. Wyo. Stat. Ann. 6-4-506 (Michie 1977). In 1982, however, Wyoming enacted a comprehensive criminal code based upon the Model Penal Code, and the aggravated assault and battery statute in its present form was passed using the term at issue in this case. That term was derived from the Model Penal Code. Theodore E. Lauer, Goodbye 3-Card Monte: The Wyoming Criminal Code of 1982, 19 Land & Water L. Rev. 107, 132 (1984). Before it was placed in the statute, the term had not been used in Wyoming.
[13] In many other states, the extreme indifference language was preceded by the depraved heart and implied malice terms to distinguish between homicides such as second degree murder and involuntary manslaughter, and each term was recognized to mean that it contemplated circumstances which make a defendant more blameworthy than recklessness alone. State v. Boone, 661 P.2d 917, 920-21 (Or. 1983). Wyoming, however, has no previous decisions on the meaning of extreme indifference or depraved heart. Second degree murder was established when a defendant killed purposely and maliciously, but without premeditation; involuntary manslaughter existed when a defendant killed by any culpable neglect or criminal carelessness. Wyo. Stat. Ann. 6-4-104; 6-4-107 (Michie 1977). In addressing other issues, it was noted that Wyoming juries were instructed that culpable neglect and criminal carelessness, were defined to mean conduct of a gross or flagrant character, such as would show wantonness or recklessness, and would demonstrate a reckless disregard of human life or the safety of others, or an indifference to consequences equivalent to criminal intent. State v. Sodergren, 686 P.2d 521, 529 (Wyo. 1984) (Thomas, J., specially concurring). Sodergren declared that the distinction between culpable neglect or criminal carelessness, reckless disregard for the safety of others, conscious disregard for the safety of others, gross negligence, disregard of consequences which may ensue, wantonness, indifference to the rights of others that is equivalent to criminal intent, evincing a reckless disregard of human life or bodily injury, is de minimus for the purpose of defining a criminal act. Id. at 528. This precedent clarifies that this Court interpreted the term reckless when used in a homicide as synonymous with the state of mind necessary to convict for involuntary manslaughter, i.e., conduct equivalent to criminal intent. Id.
[14] In 1982, the Legislature revamped Wyomings assault and battery provisions and provided that bodily injury caused by recklessness sufficed for a misdemeanor conviction. The definition for the term recklessness appears to have been borrowed from the Model Penal Code. Lauer, supra, at 131. The Model Penal Code distinguishes between reckless and recklessly under circumstances manifesting extreme indifference to the value of human life. The Legislature appears to have revised its assault and battery statutory scheme by adopting the language used for these offenses in the Model Penal Code rather than attempting to follow definitions provided by our judicial decision, and we therefore examine the Model Penal Codes definitions of these terms to ascertain legislative intent.
[15] Recklessly is defined by the Model Penal Code in basically the same terms as it is in Wyo. Stat. Ann. 6-1-104(a)(ix) (LexisNexis 2001):2
A person acts recklessly with respect to a material element of an offense when he consciously disregards a substantial and unjustifiable risk that the material element exists or will result from his conduct. The risk must be of such a nature and degree that, considering the nature and purpose of the actors conduct and the circumstances known to him, its disregard involves a gross deviation from the standard of conduct that a law-abiding person would observe in the actors situation.
Model Penal Code, 2.02(2)(c), at 226 (Official draft 1962).
[16] In discussing the term recklessly under circumstances manifesting extreme indifference to the value of human life, the Commentary to the Model Penal Code states that this is a special character of recklessness required to elevate assault or battery to aggravated assault or battery and is adopted from the definition of murder found in Section 210.2(1)(b) of the Code. 211.1(2)(a) cmt. 4, at 189. That discussion states that criminal homicide constitutes murder when it is committed recklessly under circumstances manifesting extreme indifference to the value of human life. 210.2(1)(b) cmt. 4, at 21. That Commentary goes on to state that this term is intended to reflect the judgment that there is a kind of reckless homicide that cannot fairly be distinguished in grading terms from homicides committed purposely or knowingly. Id. Stating that conduct amounting to a gross deviation from the standard of conduct that a law-abiding person would observe in the actors situation is ordinary recklessness that would justify a manslaughter conviction, the Commentary observes that
[i]n a prosecution for murder, however, the Code calls for the further judgment whether the actors conscious disregard of the risk, under the circumstances, manifests extreme indifference to the value of human life. The significance of purpose or knowledge as a standard of culpability is that, cases of provocation or other mitigation apart, purposeful or knowing homicide demonstrates precisely such indifference to the value of human life. Whether recklessness is so extreme that it demonstrates similar indifference is not a question, it is submitted, that can be further clarified. It must be left directly to the trier of fact under instructions which make it clear that recklessness that can fairly be assimilated to purpose or knowledge should be treated as murder and that less extreme recklessness should be punished as manslaughter.
[17] The Commentaries addressing aggravated assault and battery state that this special character of recklessness, or extreme recklessness, is designed to more severely punish battery where the defendants state of mind would have justified a murder conviction had his victim not fortuitously lived. 211.1(2)(a) cmt. 4, at 189. By adopting the Model Penal Codes term, recklessly, to justify a lesser punishment for assault and battery, the Wyoming Legislature plainly intended to distinguish between recklessly and recklessly under circumstances manifesting extreme indifference to the value of human life in the same manner as had the Model Penal Code. We, therefore, determine that OBrien correctly asserts that the jury was not properly instructed when it was provided with the statutory definition of recklessly without further proper instruction.
[18] In OBriens case, a jury instruction defined recklessness in accordance with the statutory definition which, as we now see, is the ordinary recklessness that would warrant a simple battery conviction. The question, thus, is whether the jury was properly instructed when it was provided this definition along with Instruction No. 4 which told the jury that it must find that it was recklessness under circumstances manifesting extreme indifference to the value of human life.
[19] OBrien contends that the trial court erred in presenting all three states of mind to the jury without a special verdict instructing them to identify the applicable state of mind. Accordingly, he contends that if his conduct was not extreme recklessness, then the rule of Bush v. State, 908 P.2d 963 (Wyo. 1995), is invoked. That rule states that the verdict must be set aside in cases where the verdict is supportable on one ground, but not on another, and it is impossible to tell which ground the jury selected. Id. at 967.
[20] The Model Penal Code provides that when recklessness suffices to establish an element, such element also is established if a person acts purposely or knowingly. 2.02(5) at 226. The Explanatory Note to this Code explains that this rule makes it unnecessary to state in the definition of an offense that the defendant can be convicted if it is proved that he was more culpable than the definition of the offense requires. Thus, if the crime can be committed recklessly, it is no less committed if the actor acted purposely. Id. at 228. In other words, if the evidence supports finding that a reasonable jury could have concluded that OBrien intentionally or knowingly caused serious bodily injury to Jordan Foster, then this special character recklessness is established. In that respect then, OBrien is not correct that the trial court should have instructed on only one state of mind. We hold that it was harmless error for the jury to be instructed with all three states of mind, i.e., intentionally, knowingly, or recklessly under circumstances manifesting extreme indifference to the value of human life.
Serious bodily injury means bodily injury which creates substantial risk of death or which causes severe disfigurement or impairment of the function of any bodily member or organ.
The State contends that Foster was beaten so savagely that his life was endangered, and that the broken jaw was a bodily injury which created a substantial risk of death. In support, it provided medical testimony that it is rare to see a jaw broken at the back of the joint as the result of a blow from a fist, and the broken jaw resulted in trauma that required surgery to prevent Fosters tongue from blocking his airways. The evidence supports the jurys determination that OBrien acted intentionally and caused serious bodily injury.
Hearsay
[26] During her testimony, Nurse Krininger testified that she could not determine from her examination how Foster had sustained his broken jaw and therefore asked Foster if he had provoked somebody. Defense counsel objected on grounds that it was hearsay and a denial of confrontation. The trial court ruled that the nurse could answer because it was for medical diagnosis. The prosecutor then asked the following:
Q. Now, what did he tell you again about his actions as far as starting a fight?
A. He said he didnt do anything. He said he didnt know why he had been hit.
Q. How many times did he say this? Quite frequently?
A. Yes.
On appeal, OBrien contends that these questions were asked to establish that the fight was unprovoked, not for purposes of medical treatment or diagnosis, and violated the hearsay rule. The State contends that the testimony was admitted properly under an exception to the hearsay rule, W.R.E. 803(4).
[27] Our review of rulings by a trial court, admitting or excluding evidence, is premised upon deference to the trial court, and we do not reverse a case because of evidentiary rulings unless an abuse of discretion is demonstrated. Horton v. State, 764 P.2d 674, 676-77 (Wyo. 1988). Judicial discretion is a composite of many things, among which are conclusions drawn from objective criteria; it means a sound judgment exercised with regard to what is right under the circumstances and without doing so arbitrarily or capriciously. Vaughn v. State, 962 P.2d 149, 151 (Wyo. 1998).
[28] Hearsay evidence generally is excluded by W.R.E. 802, which provides, [h]earsay is not admissible except as provided by these rules or by other rules adopted by the Supreme Court of Wyoming or by statute. The definition of hearsay is found in W.R.E. 801(c): Hearsay is a statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted. Twenty-three specific exceptions to the hearsay rule, together with a catch-all exception, are set forth in W.R.E. 803 which permits testimony on evidence that W.R.E. 802 otherwise would exclude. Oldman v. State, 998 P.2d 957, 960-61 (Wyo. 2000). Rule 803(4) provides:
The following are not excluded by the hearsay rule, even though the declarant is available as a witness:
* * *
(4) Statements for Purposes of Medical Diagnosis or Treatment.-- Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.
[29] We have held that [s]tatements which attribute fault or causation generally are not relevant to diagnosis or treatment and are usually inadmissible under W.R.E. 803(4). Stephens v. State, 774 P.2d 60, 72 (Wyo. 1989). We have determined, however, that this exception permits admitting a childs statement identifying her sexual abuser. Blake v. State, 933 P.2d 474, 477 (Wyo. 1997). The State asserts that Nurse Krininger testified to the cause of Fosters injuries as allowed under the exception and did not testify OBrien was guilty of causing those injuries.
[30] Ordinarily, we use a two-part test3 for invoking this exception; however, although we believe that the trial court properly allowed Kriningers answer under the exception, the questions and answers that followed that decision were hearsay and were not properly admitted. Erroneous evidentiary rulings will not be disturbed on appeal if the error is harmless. Warner v. State, 2001 WY 67, 29, 28 P.3d 21, 29 (Wyo. 2001). Generally, if other evidence properly established the defendants guilt then we will find the error harmless. Id. at 30. Here, Kriningers hearsay testimony, that Foster had stated that the attack had been unprovoked, was in addition to testimony provided by eyewitnesses to the actual attack who described the attack as unprovoked and who also identified OBrien as the attacker. The State did not refer to these statements of the nurse in its closing, and we find that the jury verdict would not have been different had this testimony been excluded. The error, therefore, is harmless and does not require reversal for a new trial.
Prosecutorial Misconduct
This Court has explicitly disapproved such arguments, finding the fear in allowing such appeals is that the accused will be convicted for reasons wholly irrelevant to her guilt or innocence. Trujillo v. State, 2002 WY 51, 9, 2002 WL 523156, 9 (Wyo. 2002) (quoting Gayler v. State, 957 P.2d 855, 861 (Wyo. 1998)). Jurors may be persuaded by such appeals to believe that, by convicting a defendant, they will assist in the solution of some pressing social problem. The amelioration of societys woes is far too heavy a burden for the individual criminal defendant to bear. Id.
Similarly, send a message arguments by prosecutors to juries are universally condemned. The Mississippi Supreme Court in Williams v. State, 522 So.2d 201, 209 (Miss. 1988), simply yet colorfully explained the problem with these arguments:
The jurors are representative of the community in one sense, but they are not to vote in a representative capacity. Each juror is to apply the law to the evidence and vote accordingly. The issue which each juror must resolve is not whether or not he or she wishes to send a message but whether or not he or she believes that the evidence showed the defendant to be guilty of the crime charged. The jury is an arm of the State but it is not an arm of the prosecution. The State includes both the prosecution and the accused. The function of the jury is to weigh the evidence and determine the facts. When the prosecution wishes to send a message they should employ Western Union. Mississippi jurors are not messenger boys.
Trujillo at 9 (emphasis in Trujillo).
FOOTNOTES
1Wyo. Stat. Ann. 6-2-502(a)(i) (LexisNexis 2001) states:
(a) A person is guilty of aggravated assault and battery if he:
(i) Causes serious bodily injury to another intentionally, knowingly or recklessly under circumstances manifesting extreme indifference to the value of human life[.]
2Recklessly is defined as the following conduct: A person acts recklessly when he consciously disregards a substantial and unjustifiable risk that the harm he is accused of causing will occur, and the harm results. The risk shall be of such nature and degree that disregarding it constitutes a gross deviation from the standard of conduct that a reasonable person would observe in the situation[.]
3[F]irst, the declarants motive in making the statement must be consistent with the purposes of promoting treatment [or diagnosis]; and second, the content of the statement must be such as is reasonably relied on by a physician in treatment or diagnosis. Stephens, 774 P.2d at 72.
Citationizer Summary of Documents Citing This Document
Cite | Name | Level | |
---|---|---|---|
Wyoming Supreme Court Cases | |||
Cite | Name | Level | |
2002 WY 100, 49 P.3d 975, | WILKS v. STATE | Discussed | |
2002 WY 136, 54 P.3d 248, | WILLIAMS v. STATE | Discussed | |
2003 WY 84, 72 P.3d 803, | SIMMONS, JR. v. STATE | Discussed | |
2003 WY 89, 73 P.3d 1041, | BELDEN v. STATE | Discussed | |
2004 WY 59, 90 P.3d 708, | VAN HAELE v. STATE | Discussed | |
2004 WY 120, 99 P.3d 928, | DUKE v. STATE | Discussed | |
2007 WY 45, 153 P.3d 926, | MICHAEL DAVID KELLY V. THE STATE OF WYOMING | Discussed | |
2007 WY 76, 157 P.3d 923, | RUSSELL JAMES MARTIN V. THE STATE OF WYOMING | Cited | |
2007 WY 165, 169 P.3d 512, | EMILIO FELIX TENIENTE V. THE STATE OF WYOMING | Discussed | |
2009 WY 6, 199 P.3d 526, | JAMES DEMASIO MARTINEZ v. THE STATE OF WYOMING | Discussed | |
2011 WY 169, 267 P.3d 1083, | BRODEY A. BURNETT v. THE STATE OF WYOMING | Discussed | |
2011 WY 171, 267 P.3d 1101, | ENROE J. JEALOUS v. THE STATE OF WYOMING | Discussed |
Cite | Name | Level | |
---|---|---|---|
Wyoming Supreme Court Cases | |||
Cite | Name | Level | |
1974 WY 69, 527 P.2d 154, | Valerio v. State | Cited | |
1978 WY 56, 580 P.2d 1150, | Jones v. State | Cited | |
1984 WY 62, 686 P.2d 521, | State v. Sodergren | Cited | |
1988 WY 32, 750 P.2d 1334, | Trujillo v. State | Cited | |
1988 WY 138, 764 P.2d 674, | Horton v. State | Cited | |
1989 WY 94, 774 P.2d 60, | Stephens v. State | Cited | |
1993 WY 83, 854 P.2d 688, | Collins v. State | Cited | |
1994 WY 62, 875 P.2d 725, | Lowseth v. State | Cited | |
1998 WY 83, 962 P.2d 149, | Vaughn v. State | Cited | |
1997 WY 29, 933 P.2d 474, | Blake v. State | Cited | |
1995 WY 171, 904 P.2d 344, | Miller v. State | Cited | |
1995 WY 209, 908 P.2d 963, | Bush v. State | Cited | |
1999 WY 123, 987 P.2d 666, | Yetter v. State | Cited | |
1998 WY 57, 957 P.2d 855, | Gayler v. State | Cited | |
2000 WY 166, 10 P.3d 531, | MAZUREK v. STATE | Cited | |
2000 WY 43, 998 P.2d 957, | OLDMAN v. STATE | Cited | |
2001 WY 13, 17 P.3d 715, | TAYLOR v. STATE | Discussed | |
2001 WY 66, 29 P.3d 787, | EARLL v. STATE | Discussed | |
2001 WY 67, 28 P.3d 21, | WARNER a/k/a RODRIGUEZ v. STATE | Discussed | |
2002 WY 51, 44 P.3d 22, | TRUJILLO v. STATE | Cited |