Chafin v. StateChafin v. State
Mаy a trial court accept a jury’s verdict at the guilt-innocence stage of a trial and then sua sponte reform the verdict at the penalty stage and instruct the jury to punish for a different offense? The answer is no. Does it matter that the original verdict was based on alleged conduct that was not a crime? The answer is still no.
Appellant Dennis Drew Chafin appeals his five convictions for the second degree felony offense of indecency with a child by contact. See Act of May 29, 1993, 73d Leg., R.S., ch. 900, § 1.01, 1993 Tex. Gen. Laws 3586, 3615 (Tex. PemCode Ann. § 21.11(a)(1), sincе amended). The jury found appellant guilty of aggravated sexual assault of a child in one count and of indecency with a child in four counts. In accordance with the trial court instructions, the jury assessed punishment for five counts of indecency with a child at eight years’ imprisonment for each count.
We will reverse the one conviction for indecency with a child (reformed sua sponte by the trial court from a conviction for aggravated sexual assault of a child) and dismiss because the conduct alleged in the indictment was not a crime at the time of the alleged commission. Because the evidence is legally insufficient to support the other four convictions, we will reverse the judgment and order acquittals.
Points of Error
Appellant advances sixteen points of error. In four points of error, appellant complains that he was charged with conduct that did not constitute the crime of aggravated sexual assault of a child, that the trial court erred in overruling his mistrial motion, and that in the process of the trial he was denied due proсess of law and due course of law in violation of the federal and state constitutions. Eight points of error challenge the legal and factual sufficiency of the evidence to sustain four convictions of indecency with a child. In view of our disposition, we will not reach appellant’s other points of error relating to evi-dentiary rulings and a jury charge on parole.
Background
The eight-count indictment charged appellant with four counts of aggravated sexual assault of a child and four counts of indecenсy with a child by contact. Before trial, the State abandoned and waived counts I, III, and IV of the indictment, each alleging the offense of aggravated sexual assault of a child. The trial court granted the State’s request to renumber the counts remaining in the indictment. Appellant did not object. There was no physical alteration on the face of the indictment. It appears that count II of the indictment was renumbered count I, and counts V, VI, VII, and VIII became counts II, III, IV, and V. This renumbering was
Facts
The complainant, C. H., testified at the August 2001 trial that she was sixteen years old and a high school cheerleader. She related that appellant was her maternal aunt’s former husband who had periodically molested her since 1998 when she was about seven or eight years old. The complainant did not live with appellant and his wife, but claimed that the incidents occurred on visits to appellant’s home or at family gatherings. She acknowledged that she did not make an outcry to an adult until the summer of 1999 when she talked to an older stepcousin, H. H., who advised hеr to tell her mother. The complainant admitted that she was not clear on the dates of the occurrences unless she could tie the date to a particular event that she could remember — such as the videotaping of the birth of kittens in Hidalgo County in 1993. 2 She testified about unadjudicated offenses in Hidalgo and Uvalde Counties in 1993 and other offenses at unspecified times after appellant had moved to Hays County. As to the subject matter of count I, it was established that in the summer of 1996 the complainant had comе to Hays County for horseback riding classes; she spent the night at appellant’s home. She related that after she went to bed, appellant came into the room and placed his penis to her mouth, and that she clinched her teeth and refused to open her mouth. There was no penetration. Appellant left the room.
Appellant testified and denied each and every charge. His former wife, Julianne, was married to him at the pertinent times. She testified that she was unaware of any such conduct аs alleged and was surprised at the outcry of her niece in 1999. She testified to the divorce and the turmoil within the family resulting from the accusations.
Re: Procedure — Count I
In light of appellant’s contentions that he was improperly charged and convicted of conduct that was not a crime, we examine the procedure regarding the renumbered count I. The indictment was presented January 6, 2000. Count I alleged:
Dennis Drew Chafin hereinafter styled Defendant, on or about the 1st day of July, A.D., 1996, and before the presentment of this indictment, in the county and statе aforesaid, did then and there knowingly and intentionally sexually assault [C. H.], by then and there knowingly and intentionally causing his male sexual organ to contact the mouth of the aforesaid [C.H.] who was then and there a child younger than 14 years of age and not the spouse of the said Defendant.
The undisputed evidence showed that the conduct occurred in the summer of 1996. Tracking the indictment, the trial court submitted count I to the jury. There was no submission of a lesser included offense nor a request by either party for such a submission. The jury returned а general verdict finding appellant guilty “as alleged in Count I of the indictment.” This verdict at the guilt-innocence stage of the trial was accepted by the trial court and filed.
The formal judgment and sentence reflected the jury’s original verdict on count I at the guilt-innocence stage of the trial and then added:
Subsequent to the jury’s verdict as to guilt on Count I, the Court held that the evidence was insufficient to sustain a conviction as to the offense of Aggravated Sexual Assault, and the conviction in Count I wаs reformed to reflect a conviction for the lesser-included offense of indecency with a child.
Discussion
The indictment appears valid on its face, and it alleged that the offense occurred “on or about July 1, 1996.” The prosecution, however, is not bound by the “on or about” date on which the offense is alleged to have been committed so long as the date proved is prior to the date of the indictment’s presentment and within the statute of limitations period.
See
Prior to September 1, 1997, section 22.02(a)(1)(B) of the Texas Penal Code (aggravated sexual assault) did not criminalize the act of causing the mouth of a child to contact or touch the sexual organ of another person, including the actor.
See
Act of May 29, 1995, 74th Leg., R.S., ch. 318, § 7, 1995 Tex. Gen. Laws 2734, 2737 (
The undisputed proof at the trial showed that the conduct alleged occurred in the summer of 1996 when the conduct was not a crime. The State does not claim otherwise.
Conduct does not constitute an offense unless it is defined as an offense by statute, municipal ordinance, order of a county commissioners court, or a ruleauthorized by and lawfully adopted under a statute.
Tex. Pen.Code Ann. § 1.03(a) (West 1994). Unless the conduct of the accused has been made a penal offense by statute, he cannot be legally convicted.
See Banti v. State,
There are several reasons why the trial court’s earlier described action wаs inappropriate. In view of the undisputed proof at trial that the conduct alleged in count I actually occurred in 1996 when that conduct was not criminalized, the trial court had no personal jurisdiction over appellant or subject matter jurisdiction with regard to count I. When a trial court lacks jurisdiction for any reason, the judgment rendered is void.
State v. Olsen,
Even with jurisdiction, the trial court had no authority under the circumstances to
sua sponte
reform the jury’s verdict at the guilt-innocence stage of the trial and tell the jurors that they had convicted appellant of a lesser included offense and to punish him for the lesser offense. A trial court may not receive a verdict and then enter a different judgment from that called for by the verdict.
Combes v. State,
Moreover, the Code of Criminal Procedure provided the procedure for the trial court. Article 36.11 provides in pertinent part that “[i]f it appears during trial that the court has no jurisdiction of the offense, or that the facts charged in the indictment do not constitute an offense, the jury shall be discharged.”
If the conviсtion was before this Court as one for aggravated sexual assault of a child merely without sufficient evidence to support it, this Court would be unable to reform the judgment to reflect a lesser included offense of indecency with a child under the circumstances.
See Collier v. State,
[A] court of appeals may reform a judgment of conviction to reflect a lesser included offense only if (1) the court finds the evidence insufficient to support the conviction of the charged offense but sufficient to support conviction of the lеsser included offense, and (2) either the jury was instructed on the lesser included offense (at the request of either party or by the trial court sua sponte) or one of the parties asked for but was denied such an instruction.
Id.; see also Ross v. State,
As noted earlier, there was no jury instruction here on a lesser included offense nor a request by either party for such an instruction. Nevertheless, the State asks that we affirm the conviction under count I of the indictment by considering that the indictment alleged, from the beginning, an offense of indecency with a child not as a lesser included offense but as the offense intended to be alleged. The State urges this reformation despite the labeling of the offense in count I as an aggravated sexual assault of a child, the lack of allegations as to some of the elements of the offense of indecency with a child, and regardless of the actions and procedure at trial. We have no such reformatory powers.
See Collier,
In point of error five, appellant complains that the trial court erred in denying his motion for mistrial made when it was apparent to the trial court, the prosecutor, and appellant that the “conviction” under count I was not based on conduct defined as a crime. We agree.
We review a trial court’s denial of a mistrial under an abuse of discretion standard.
See Ladd v. State,
In view of this disposition, we need not discuss appellant’s points of error six and seven claiming violations of due process and due course of law, which would also appear to entitle him to the relief requested as to the conviction under count I. It is, however, a violation of these processes to convict a defendant for conduct that does not constitute a crime.
Briggs,
Legal Sufficiency — The Other Convictions
We turn next to points of error eight through eleven challenging the legal sufficiency of the evidence to sustain the other four convictions for indecency with a child. The standard for reviewing the legal sufficiency of the evidence is whether viewing the evidence in the light most favorable to the jury’s verdict, any rational trier of fact could have found beyond a reasonable doubt all the essential elements of the offense charged.
Jackson v. Virginia,
Elements of the Offense
The elements of the offense of indecency with a child under the statute in effect on the dates alleged in the instant indictment were that the accused: (1) knowingly or intentionally, (2) engaged in sexual contact, (3) with a child, (4) younger than seventeen years of age, (5) who was not the spouse of the accused. Act of May 29, 1993, 73d Leg., R.S., ch. 900, § 1.01, 1993
Appellant was convicted of four separate and distinct counts of the second degree felony offense of indecency with a child. Count II (as renumbered) provided in pertinent part that the appellant
[o]n or about the 3rd day of June, A.D., 1998, and before the presentment of this indictment in the county and state aforesaid, with the intent to arouse or gratify the sexual desire of Dennis Dew Chafin did then and there knowingly and intentionally engage in sexual contact with [complainant] by touching the breast of the aforesaid [complainant], who was then and there a child younger than 17 years of age and not the spouse of the defendant.
The other three counts (counts III, IV, and V as renumbered) made the same allegations except that they alleged the dates “on or about the 1st day of July, A.D., 1996,” “on or about the 4th day of July, A.D., 1995,” and “on or about the 1st day of July, A.D., 1993.”
It was the State’s burden to prove beyond a reasonable doubt the elements of each of the four separate counts of the indictment.
See
Tex. Pen.Code Ann. § 2.01 (West 1994);
Appellant’s Contention
Appellant contends that “no evidence whatsoever was presented to the jury” to prove thе actions as alleged in the four counts. Appellant notes the evidence of extraneous offenses in counties other than Hays County about the touching of the complainant’s “boobs,” but urges that the complainant’s testimony about the elements of the four counts was general, global, and without specification as to occasion, location, and time, etc. Appellant claims that the State did not sustain its burden of proof.
The difficulty presented by this record is that the prosecution never directеd the complainant’s attention to the four counts or elicited from her testimony about the counts individually or collectively. In response to appellant’s contentions, the State cites the same brief testimony of the complainant that appellant cites and considers totally inadequate.
Discussion
The complainant testified that she made her fust outcry to an adult in 1999. The record then reflects:
Q. —when was the last time that it had occurred prior to that [1999]?
A. I know that it happened probably the summer before that. I know it happened, but there’s no events that I can — -that can recall my memory or make me remember anything like that, but I do know that it did happen.
Q. And what do you mean “it”? What do you mean by “it”?
A. Him touching me and making me touch him.
Q. All right. And where would he have touched you at?
A. On my boobs, vagina, and butt.
Q. Okay. Was it pretty consistent?
A. Yes.
Q. Okay.
A. Very.
Q. And did it consistently happen every time that you were alone with Dennis?
A. Yes.
Q. Okay. And when I mean by — what do you mean by alone with Dennis?
A. Whenever nobody else was around.
Q. Okay. Was it mostly during the day or when?
A. It happened during the day, but most of the time it was at night, whenever I was going to sleep.
Appellant contends that the foregoing evidence is insufficient to support the four convictions in question. 5
The complainant earlier testified that in 1993, when she was about eight years old, appellant touched her “boobs, vagina, and butt,” but these incidents were shown to have occurred in Hidalgo and Uvalde Counties and could hot be the basis of the allegations in the four counts of indecency with a child in Hays County. The complainant testified as set forth earlier that appellant touched her “boobs” only when they were alone. This eliminates those incidents she described in her testimony when others were present and where she made no mention of her breasts being touched.
The complainant testified that at a family reunion in 1993, apparently near Wim-berly in Hays County, she was swimming in a river with others when appellant, while “playing around in the water,” rubbed his penis against her legs and “touched me under my bathing suit.” She was not asked if, and did not say that, he touched her breasts.
The complainant also testified that, at some unspecified time in Wimberly, she and appellant’s son, Bryan, were playing a computer game when appellant came into the room and placed her in his lap. She moved when Bryan “left,” but аppellant touched her vagina inside of her shorts. No mention was made of appellant touching her breasts.
The complainant testified that on another unspecified time in Bryan’s room (no other location given) when both of appellant’s sons were present on the floor, appellant came into the room, laid on the bed where she was, and placed his hand under her pants and touched her vagina. No mention was made of her breasts. When describing the events underlying count I of the indictment eаrlier discussed, the complainant did not state that appellant ever touched her breasts.
We have examined the record independently of the complaint’s testimony to determine if there was other evidence to support the allegations of the four counts of indecency with a child. We find no supporting evidence in the testimony of the complainant’s mother, Detective Mark Graves, H. H., the stepcousin, or Dr. Dana Powell, a psychotherapist.
6
The State has
The State argues that “given the consistent nature of the abuse,” there was a reasonable inference that the touching of the breasts occurred on or about the dates alleged. Other than the reasonable inference argument, the State makes no effort to tie the “touching of the breasts” to earlier incidents where such evidence was lacking. Although the State may well have been able to elicit such testimony, it failed to do so. The State does cite
Guia v. State,
In
Blankenship v. State,
We are not to sit as a thirteenth juror reweighing, the evidence or deciding whether we believe the evidence established the element in contention beyond a reasonable doubt; rather, we are to ask ourselves whether the trier of fact, acting rationally, could have found the evidence sufficient to establish the element beyond a reasonable doubt ...; we test the evidence to see if it is at least conсlusive enough for a reasonable fact finder to believe based on the evidence that the element is established beyond a reasonable doubt.
Id.
at 207;
accord Zimmerman v. State,
Having reviewed all the evidence in the light most favorable to the verdicts, we conclude that no rational trier of fact could have found beyond a reasonable doubt all of the essential elements of the four offenses of indecency with a child in counts II, III, IV, and V of the indictment (as renumbered). The evidence being legally insufficient as a matter of law, аcquittals must be ordered on these four counts.
See Burks v. United States,
In view of our disposition of all counts of the indictment, we do not reach appellant’s other points of error.
As to count I charging appellant with conduct that was not a crime, the judgment of conviction rendered thereunder is reversed and that count is dismissed. As to counts II, III, IV, and V, the judgments of conviction for indecency with a child rendered thereunder are reversed and acquittals are rendered on each count.
Notes
. Abandonment of counts in an indictment does not constitute an amendment to the indictment.
See Eastep v. State,
. This videotape was played for the jury.
. A trial court in a criminal case also has no authority to
sua sponte order
a new trial.
. It is obvious when the statute was drafted, one-count indictments were most common and the right to severance was libеral.
. Appellant also notes that the complainant acknowledged on cross-examination that in August 1999 she and her mother prepared an e-mail statement for Detective Mark Graves and there was no mention in the statement of any 1998 incident. In fact, the last incident listed was in 1996.
. Dr. Powell did testify, over hearsay objection, that the complainant told her in 2001 that appellant touched her breasts in 1993