Lead Opinion
Robert Hanes was convicted by a jury of willful injury causing serious injury. At trial, the jury was instructed that potential penalties would include fines; community service; supervised or unsupervised probation; placement in a residential, correctional, or violator facility; or confinement in a county jail or prison. The jury instruction was improper and prejudiced Hanes. We reverse and remand.
I.Background Facts and Prior Proceedings.
Robert Hanes was convicted after a jury trial of willful injury causing serious injury in violation of Iowa Code section 708.4(1) (2005). The verdict is based on an incident between Hanes and Nathanial Taylor on the morning of April 28, 2007. According to Taylor, he was walking to a cigar store to redeem bottles and cans. Taylor claims one week earlier Hanes had given him $2.25 to purchase gizzards for Hanes, and Taylor did not purchase the gizzards or return the money. Hanes asked about the money and was angry and yelling. Taylor offered Hanes his cans, but Hanes pulled out a knife and said “I’m going to kill you” and “stabbed [Taylor] in the face.” Taylor then grabbed Hanes’s hand holding the knife, hit Hanes in the head, and kicked Hanes until Hanes said “stop.” Hanes picked up a bottle of whiskey and walked into the park.
Hanes claimed he did not know Taylor and encountered him while walking home. Hanes testified Taylor struck him with the bag of cans and bottles, and Hanes struck back. Hanes testified he was defending himself, and he had previous boxing experience.
Hanes filed a direct appeal and alleged a number of trial errors. First, Hanes complains a jury instruction improperly and incorrectly referenced potential penalties. Second, Hanes argues the district court improperly excluded hearsay testimony that should have been admitted under the exception for statements made for purposes of medical diagnosis. The State argues this issue was not preserved.
Third, Hanes raises a number of issues through the mechanism of ineffective assistance of counsel because trial counsel did not object to certain matters. Hanes complains his trial counsel was ineffective for failing to object to the instruction regarding serious injury and for failing to object to the instruction regarding specific intent. Hanes raises ten additional issues pro se, including an argument that he was prejudiced by the prosecuting attorney’s statement that the defense could have called additional witnesses if they had any information helpful to the defense. The court of appeals affirmed the conviction. Hanes sought further review.
II. Scope of Review.
This court reviews challenges to jury instructions for correction of errors at law. Boyle v. Alum-Line, Inc.,
III. Merits.
A. Jury Instruction Regarding Punishment. The district court gave a
The duty of the jury is to determine if the defendant is guilty or not guilty.
In the event of a guilty verdict, you have nothing to do with punishment.
Criminal offenses may be punished by fines or community service; by supervised or unsupervised probation; by placement in a residential, correctional or violator facility; or by confinement in a county jail or prison; depending on the circumstances of the case. Accordingly, you may neither speculate on what any punishment in this case might be nor let it influence your verdict.
The district court explained the penalty instruction as follows:
And it’s the stock instruction except that the second — or the last paragraph is one that I’ve added and have been using because of questions that have come up from people during jury selection, whether they’re concerned about punishment in one case or another. Frequently it comes up with drug crimes where people are concerned about issues and disparity in sentencing and so forth. But I think it’s just emphasizing to the jury that they shouldn’t speculate on any possible punishments.
Defense counsel objected to the instruction, arguing the instruction invites speculation on the part of the jury. Defense counsel also noted that community service, probation, or placement in a residential facility are not sentencing options for a forcible felony. The district court responded:
Well that’s why I put in the language depending on the circumstances of the case because that is absolutely right what you said in forcible felonies, there isn’t community service and that’s one of those cases. And so I am going to leave it in. I don’t think it’s a misstatement of the law. And I disagree with you that it causes speculation. It would be fruitless to speculate in cases like that. So the objection is overruled.
It is well-settled that juries should not be instructed regarding the statutory penalty for the charged offenses. See State v. Purcell,
The State argues the penalty instruction is consistent with the rule prohibiting jury instruction on punishment because it “merely instructed the jury that penalties for crimes in general range from fines to imprisonment.” We do not find this logic persuasive. The issue of punishment is not for the jury to consider or speculate about and knowledge about punishment can serve to confuse or distract the jury. Id. A generalized explanation of potential penalties wades into a topic
The State argues even if the jury instruction was improper, reversal is not warranted under harmless-error analysis because Hanes was not prejudiced. We will not reverse unless an error in giving a particular instruction was prejudicial to the complaining party. Spates,
The requirement that a jury instruction error result in prejudice before a conviction will be reversed mirrors the harmless-error analysis this court undertakes for any alleged error in a criminal trial. See State v. Jordan,
Similarly, the proper harmless-error analysis for errors in jury instructions that are not of a constitutional dimension, such as the penalty instruction here, is the same analysis applied to nonconstitutional trial errors. This court has held noncon-stitutional harmless-error analysis begins with the question: “ ‘ “Does it sufficiently appear that the rights of the complaining party have been injuriously affected by the error or that he has suffered a miscarriage of justice?” ’ ” State v. Paredes,
We have previously found this test of prejudice was met when improperly admitted information was such that “ ‘the information unquestionably ha[d] a powerful and prejudicial impact’ ” on the jury. Sullivan,
The State argues the penalty instruction was not prejudicial because the instruction also emphasized the jury has “nothing to do with punishment” and “may neither speculate on what any punishment in this case might be nor let it influence [the jury’s] verdict.” Hanes argues he was prejudiced despite this admonition because the jury instruction improperly suggested probation, a fine, community service, or commitment to a residential facility were potential sentences, and the jury could have been misled by this information.
The State charged Hanes with willful injury causing serious injury pursuant to Iowa Code section 708.4(1). Under Iowa Code section 702.11, the charged crime is considered a forcible felony. Iowa Code section 907.3 prohibits use of deferred judgment and probation as sentencing options for a forcible felony such as willful injury causing serious injury. Although the jury was also presented with lesser-included offenses, if they chose to convict for the charged offense, which they did, probation, a fine, community service, or commitment to a residential facility were not potential sentences.
The State points to Purcell, which held although it was error to instruct a jury on sentence, such error did not require reversal. Purcell,
Although generally we presume juries follow instructions, here, this is not enough to overcome the presumption of prejudice that arises from the nonconstitutional jury instruction error because the penalty instruction was contradictory. It directed the jury not to speculate, but also — incorrectly — suggested the defendant could receive a sentence other than prison time, including a fíne or probation. One could argue the jury was not specifically instructed to consider the possible penalties. To the contrary, however, the inclusion of such information in the jury instructions caused the jury members to consider it. Jury members may have had differing beliefs regarding what sentences were available when they began serving on this jury, but after the district court’s instruction, they all would have had an erroneous belief that the defendant could receive only a fine, probation, or community service.
An erroneous jury instruction cannot necessarily be overcome by part of the same instruction which correctly states the law. See State v. Leins,
Inclusion of the penalty instruction prejudiced Hanes. We reverse the verdict and remand for a new trial.
B. Additional Issues. Although we reverse on the issue of the penalty instruction, we take this opportunity to address those additional issues which may arise on retrial. See Schuler,
1. Statement for purposes of medical diagnosis. Hanes argues the district court erred by failing to allow a nurse practitioner who treated Hanes’s injuries to testify regarding Hanes’s statements. Hanes asked the nurse practitioner to testify regarding his physical complaint when he arrived at the hospital for treatment. The State objected on grounds of hearsay, and the district court sustained the objection, excluding the evidence.
*553 Q. Okay. And when Mr. Hanes presented himself, your hospital — to your hospital, what was his complaints? A. Mr. Hanes’ complaint is that he had been hit—
[Prosecutor] Objection, Your Honor, to the hearsay.
[Defense] Purposes of medical treatment, Your Honor.
The Court: It’s still — If it’s — it’s subject to that exception, but it’s not admissible because it would be exculpatory.
Whether testimony is exculpatory or inculpatory is not a factor for courts to consider in determining the admissibility of statements made for purposes of medical diagnosis. Iowa Rule of Evidence 5.803(4) provides an exception from the hearsay rule when statements are
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.
Statements made for such purposes are admissible, regardless of whether they are exculpatory or inculpatory, if they fit within the two-part test this court has adopted. The two-part test requires the proponent of the statement to show: (1) the declarant’s motive in making the statement is consistent with the purposes of promoting treatment, and (2) the content of the statement must be such as is reasonably relied on by a physician in treatment or diagnosis. State v. Hildreth,
Although Hanes’s defense attorney asked the nurse practitioner about “a dialogue initiated for purposes of diagnosis or treatment,” Hildreth,
2. Jury instruction regarding serious injury. Hanes objects on appeal to a jury instruction — number eighteen — which defined “serious injury.” Defense counsel did not object at trial. Hanes was charged with willful injury causing serious injury under Iowa Code section 708.4(1). The serious injury instruction stated:
A “serious injury” is a bodily injury which, if left untreated, creates a substantial risk of death or which causes serious permanent disfigurement, including scarring, or extended loss or impairment of the function of any bodily part or organ.
Hanes argues this jury instruction was improper in two ways. First, Hanes argues the words “if left untreated” improperly modified all three options: risk of death, serious permanent disfigurement,
Serious injury is a defined term in the Iowa Code. According to Iowa Code section 702.18:
1. “Serious injury ” means any of the following:
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6. Bodily injury which does any of the following:
(1) Creates a substantial risk of death.
(2) Causes serious permanent disfigurement.
(3) Causes protracted loss or impairment of the function of any bodily member or organ.
The language of section 702.18 does not include the phrases “if left untreated” or “including scarring.” The serious injury instruction given at trial is identical to the Iowa State Bar Association’s Criminal Jury Instruction for serious injury — number 200.22 — except that the language “if left untreated” and “including scarring” were additions by the district court.
We agree with Hanes that the instruction improperly suggested scarring will always be considered serious permanent disfigurement. Serious permanent disfigurement is not defined and is a question for the jury to decide. Scarring may in some circumstances rise to the level of serious permanent disfigurement. See State v. Phams,
We also agree that to the extent the phrase “if left untreated” is added to the statutory language, it would more properly be placed after the phrase “creates a substantial risk of death.” The jury instruction as written is not entirely clear and could suggest to a jury that an injury which did not cause either serious permanent disfigurement or protracted loss or impairment of the function of a bodily member or organ, but could have without treatment, is always considered a serious injury. The statutory language defining serious injury does not allow such a result. Iowa Code section 702.18(1)(6 )(1) defines serious injury to include a bodily injury which “[c]reates a substantial risk of death.” (Emphasis added.) Addition of the words “if left untreated” to “creates a substantial risk of death” is not error because the risk is that the injury would, if left untreated, result in death. In comparison, the risk that a bodily injury would have caused serious permanent disfigurement or protracted loss or impairment of the function of any bodily member organ if left untreated is not included in section 702.18. Iowa Code section 702.18(1)(& )(2) defines serious injury to include a bodily
Although the serious-injury instruction was not consistent with the statutory definition, we need not address whether defense counsel’s failure to object to the serious-injury instruction was deficient and prejudicial because we reverse on other grounds. Any instruction on “serious injury” given upon retrial should track the statutory definition of this term.
3. Jury instruction regarding specific intent. Hanes claims the jury instruction on specific intent — number twenty-one — erroneously failed to require the jury to find the proper mental state existed at the time of the offense. Defense counsel did not object to the specific-intent instruction at trial. The specific intent instruction provided:
“Specific intent” means not only being aware of doing an act and doing it voluntarily, but in addition, doing it with a specific purpose in mind.
Because determining the defendant’s specific intent requires you to decide what the defendant was thinking when an act was done, it is seldom capable of direct proof. Therefore, you should consider the facts and circumstances surrounding the act to determine the defendant’s specific intent. You may, but are not required to conclude a person intends the natural results of his or her acts.
Specific intent does not have to exist for any particular length of time. It is sufficient if it exists at any time before the act
(Emphasis added.) The first two paragraphs of this instruction are identical to the Iowa State Bar Association’s Criminal Jury Instruction for specific intent— instruction number 200.2. The last paragraph was added to the uniform instruction by the district court. It states: “Specific intent does not have to exist for any particular length of time. It is sufficient if it exists at any time before the act.”
Hanes complains the last sentence of the specific-intent instruction allowed the jury to find specific intent if at any time prior to the incident resulting in the victim’s injuries, the defendant had specific intent. Hanes argues the jury could have improperly found Hanes had specific intent to harm Taylor during the alleged incident when Hanes paid Taylor $2.25 for gizzards and Taylor simply kept the money.
The State argues other portions of the jury instructions require a finding of specific intent at the time of the charged crime. The State points to the first paragraph of the specific-intent instruction which states specific intent requires “being aware of doing an act and doing it voluntarily, but in addition, doing it with a specific purpose in mind.” The State also points to the marshalling instruction— number fifteen — which stated in part:
In order to convict the defendant of Willful Injury Causing Serious Injury, the State must prove each of the following elements:
1. On or about the 28th day of April, 2007, the defendant assaulted Nathan Taylor.
2. The defendant specifically intended to cause a serious injury to Nathan Taylor.
A crime requires proof of specific intent when the statute’s description of the proscribed act refers to the defendant’s “intent to do some further act or achieve some additional consequence.” Eggman v. Scurr,
However, because we reverse on other grounds, we need not address whether defense counsel’s failure to object was deficient and caused Hanes prejudice. It is sufficient for purposes of this appeal to state the court should not instruct the jury upon retrial that the defendant’s specific intent may exist at any time.
4. Prosecution closing argument. Hanes argues the State’s closing argument was improper in his pro se supplemental brief. Hanes argues the State improperly suggested the defense should have called additional witnesses. The State misconstrues Hanes’s objection to the prosecuting attorney’s rebuttal. The State suggests Hanes’s complaint is with his own lawyer’s failure to call these two additional witnesses. Instead, Hanes’s complaint is the prejudicial nature of the prosecuting attorney’s statement in rebuttal shifting the burden to call witnesses to the defense.
The prosecution’s opening statement referenced two witnesses, Paul McGonigle and Willie Brown, and explained their anticipated testimony. The State then failed to call these witnesses. Hanes’s defense attorney highlighted this inconsistency in his closing argument, stating “The state has the burden to prove its case. Where are these people if they’re so important?” In response, the State argued in rebuttal:
Now, the — the defense brought up Paul McGonigle. And I mentioned Paul McGonigle in my opening. I also mentioned Willie Brown. You didn’t see them; did you? No, we didn’t call them. You know who else didn’t call them? The defense didn’t call them. The defense called witnesses. The defense can call any witness they so desire. If there was anything helpful for the defendant, the defense could have called Paul McGonigle or Willie Brown.
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... If there was anything the defense really wanted from either one of these individuals that they felt was beneficial or helpful to the defendant, they could have called them.
Hanes’s defense attorney did not object.
The State bears the burden of proof in criminal cases. It is improper for the State to shift the burden to the defense by suggesting the defense could have called additional witnesses. “ ‘It is generally improper for a prosecutor to comment on a defendant’s failure to call a witness. Such comment can be viewed as impermis-sibly shifting the burden of proof to the defense.’ ” Byford v. State,
Some courts have held an attempt, by the State to shift the burden of proof may be cured by an instruction regarding the State’s burden of proof. Cook v. State,
IV. Conclusion.
The penalty jury instruction incorrectly suggested penalties of a fine, probation, or community service were available when they were not statutorily permissible. This instruction prejudiced the defendant because it misled the jury with respect to the possible consequences of its verdict and de-emphasized the gravity of the jury’s decision. The conviction is reversed and the case is remanded to the district court.
DISTRICT COURT JUDGMENT REVERSED; CASE REMANDED.
Notes
. Davis, as noted above, held that jury instruction error is presumed prejudicial unless "the contrary appears beyond a reasonable doubt from a review of the whole case."
. The prejudice standard discussed above is appropriate where, as here, defense counsel objected to the instructional error at trial. When reviewing a claim of ineffective assistance of counsel because defense counsel failed to object, the defendant has the burden to show that " 'there is a reasonable probability that, but for the counsel’s unprofessional errors, the result of the proceeding would have been different.' ” State v. Hopkins,
Dissenting Opinion
(dissenting).
I respectfully dissent. I would conclude the instructional error by the district court in this case does not require a reversal of the conviction and the grant of a new trial. I reach this conclusion because the error that occurred at trial was insignificant and did not result in any prejudice.
It has long been recognized in Iowa and across the nation that trial error does not require a new trial when the error does not result in prejudice. Hammond v. Sioux City & P.R. Co.,
The difficulty in applying the harmless-error review lies in assessing the impact of the error on the verdict. In assessing whether a defendant has been injuriously affected by instructional error, the instruction itself must first be carefully considered. In this case, the district court properly instructed the jury that it must “determine if the defendant is guilty or not guilty” and that they “have nothing to do with punishment” in the event the verdict is guilty. See State v. Piper,
The majority finds prejudice because it was possible the jury used the extraneous information in reaching its verdict.
We presume juries follow courts’ instructions. State v. Morrison,
Importantly, the district court did not instruct the jury to consider the various types of punishment in reaching its verdict; it only informed the jury of the types of punishment. Thus, this is not a case in which the jury was instructed to do or consider something that was incorrect so that we would presume the jury followed the incorrect directive in reaching its verdict. This is also not a case in which the court gave two conflicting directives so that it would be impossible to know if the correct directive was followed. See State v. Leins,
Instead, the instruction only provided extraneous information to the jury, information that is generally known by jurors independent of the instruction by the district court. See State v. Sullivan,
Moreover, we examine jury instructions for reversible legal error by considering the instructions as a whole, and “if some part was given improperly, the error is cured if the other instructions properly advise the jury as to the legal principles involved.” Thavenet v. Davis,
The question is, therefore, simple. Do we or do we not believe jurors follow instructions? The jurors in this case were unequivocally told to disregard punishment. While it was odd and inconsistent for the district court to pass extraneous information along to the jury and then tell the jury to not consider it, it is just as inconsistent to presume the jury went ahead and considered the information. By analogy, we generally find the erroneous admission of evidence to be harmless when the trial court strikes the evidence from the record and immediately admonishes the jury to disregard the evidence. State v. Johnson,
I believe jurors serve the justice system with a deep and abiding allegiance to their duties and responsibilities as instructed by the court. This belief supports our presumption that jurors follow instructions. Moreover, there is nothing about the extraneous information in this case, or any
. Importantly, harmless error is a standard of judicial review that requires judges to decide if error affected the verdict. See O’Neal v. McAninch,
