Dеfendant Kevin Cate appeals his conviction for sexual assault, 13 V.S.A. § 3252(a)(1)(A). He argues that the trial court erred in denying his motions for judgment of acquittal and for a new trial. He also argues that a probation condition requiring him, as part of a sex-offender therapy program, to acknowledge culpability for his conduct violates his constitutional rights to free speech and against self-incrimination. We vacate the probation condition requiring him to admit his guilt, but otherwise affirm.
Viewed in the light most favorable to the State,
State v. McGee,
As the afternoon progressed, complainant felt “extremely high” from the drugs and “very drunk” from the alcohol, and, around five o’clock, she decided to go upstairs in the house to pass out. When she entered the house, there was no one else downstairs or upstairs. She went upstairs and lay down on a bed. The next thing she remembered was waking up in bed with her bathing suit pulled down and
defendant on top of her with his penis inside her vagina. According to complainant, prior to that time, she had not told defendant that he could have sex with her. When she awoke, she told defendant to “get the hell off me.” Defendant complied, telling
When she arrived home, complainant telephoned a female friend, who described complainant as “pretty hysterical” and “crying and sobbing.” The friend told complainant to come right over, and complainant arrived within fifteen minutes, still crying and very upset. Complainant told her friend that she had gone to the barbecue in Lowell, had gotten drunk and had gone to lie down, and that when she awoke, defendant was having intercourse with her. The friend telephoned another female friend, and complainant spoke with the second friend, repeating her story. Both friends advised complainant to seek medical treatment at the Newport hospital emergency room. Complainant drove herself to the hospital that evening. Emergency room records indicated that complainant arrived at 10:47 p.m. and left at 12:55 a.m.
Defendant was arrested the next day and charged with sexual assault. According to the arresting officer, defendant reacted with “disbelief” to the charge. After waiving his Miranda rights in writing, he stated that he had had sex with complainant the previous day, but that complainant had consented. Defendant said that complainant was an “exhibitionist” who had been “flashing” at the barbecue. He told the police that he had gone into thе house in the late afternoon and found complainant in the upstairs bedroom, that he and complainant started talking, and that complainant then undressed, performed oral sex with him, and engaged in sexual intercourse with him. Defendant told the police that complainant had been drinking but “wasn’t that drunk” and “knew what she was doing” during the sex acts. Defendant told the officer that complainant had never fallen asleep or passed out while they were together.
The case was tried to a jury on May 17-18,1994. Prior to trial, the court granted defendant’s motion in limine to allow evidence of complainant’s prior sexual conduсt at the April 28 barbecue, on the grounds that such evidence was material to her lack of consent, and did not fall within the protections of Vermont’s rape shield act, 13 V.S.A. § 3255(a).
At trial, the defense sought to convince the jury that complainant had not “passed out,” but rather had “blacked out” at the party, and had willingly engaged in sexual conduct that she could not remember later. Complainant testified that she had in the past experienced both blackouts and passing out, and knew the difference between the two phenomena. According to complainant, when she blacked out she remained awake, whereas when she passed out she was rendered completely unconscious. She testified that she was certain she had passed out before defendant commenced any sexual acts that day, and that she had not consented to any of those acts. Complainant also testified that she had lived with defendant for three months the previous year in a nonsexual relationship, that defendant had invited her to have sex with him several times during that period, and that complainant had always refused.
Three defense witnesses, including defendant, testified concerning complainant’s conduct after she had gone upstairs to thе bedroom. According to these witnesses, a number of guests, including complainant and defendant, went inside the house in the late afternoon. The defense witnesses described complainant as dancing partly or fully unclothed in the upstairs bedroom while the party’s host attempted to sleep, and then engaging in oral sex, first with the host and then with defendant, while the other guests watched. Defendant testified that the other guests went downstairs, leaving complainant and himself alone upstairs, and that complainant then began making gestures to indicate that she wanted to perform sex acts or oral sex on him, and that he “clearly asked it if was okay.” Complainant pulled her bathing suit down around her waist and performed oral sex for about twenty minutes. Complainant then began “gesturing that we have intercourse.” Defendant asked whether it would affect their friendship, and complainant said, “No, that would be okay.” Complainant then removed her bathing suit entirely, and defendant and complainant “had intercourse for a
At the end of the State’s case, and again at the conclusion of the evidence, defendant moved for acquittal on the ground that the State had failed to prove complainant’s lack of consent beyond a reasonable doubt, as required under 13 V.S.A. § 3252(a)(1)(A). The court denied defendant’s motion, and the jury returned a guilty verdict. The court later denied defendant’s motion for a new trial.
Defendant was sentenced to five-to-fifteen years in prison, with all but three years of the prison term suspended, and to an indеfinite term of probation, which included the following condition:
5. . . . You shall sign an acknowledgement of responsibility for the acts for which you have been placed on probation. (This will be used for treatment purposes & will not be used against you for civil proceedings). . . . It is necessary for Mr. Cate to work through denial in order to be eligible for the seex [sic] offender program in the Chittenden facility, if he does not choose to do this program, a Violation] 0[f] P[robation] could be done while he is incarcerated and the defendant] would then be sent to the Northwest State Correctional] Facility in St. Albans.
(Emphasis added.) The present appeal followed.
I.
Defendant claims that the trial court should have granted a judgment of acquittal because there was insufficient evidence to prove beyond a reasonable doubt that complainant had not consented to defendant’s sexual acts. 13 V.S.A. § 3252(a)(1)(A). In reviewing a denial of a motion for judgment of acquittal, we view the evidence in the light most favorable to the State, excluding any modifying evidence; we will uphold the court’s ruling if the evidence fairly and reasonably could convince a reasonable trier of fact of defendant’s guilt beyond a reasonable doubt.
McGee,
The State presented complainant’s testimony that she was passed out at the time of the alleged offense, that she had not, up to that point, given anyonе consent to have sex with her, and that, upon waking from her passed-out state, she had demanded that defendant immediately stop having sex with her. Two State’s witnesses testified that complainant was “hysterical” in the hours after the alleged offense and told them that she was asleep when defendant began having intercourse with her; a third witness, the emergency room nurse who treated complainant for over an hour at the hospital, testified that complainant was still upset at 11:00 on the evening of the alleged offense. Finally, complainant’s friend testified that complainant on prior occasions had rejected defendant’s sexual advances. We conclude that the evidence was sufficient to fairly and reasonable convince a reasonable jury, beyond a reasonable doubt, that complainant had not consented to a sexual act with defendant.
Defendant contends, however, that complainant’s testimony should have been excluded because she could not testify from personal knowledge, owing to her extreme intoxication at the time of the alleged offense; that evidence of complainant’s insistence that defendant’s sex acts stop immediately and of complainant’s emоtional state after the event was not sufficient to prove lack of consent; and that evidence of complainant’s prior rejections of defendant’s sexual advances was improperly admitted to show lack of consent. We address these claims in order.
A.
Defendant contends that complainant’s testimony should have been excluded because her account of the circumstances of the alleged
As a gеneral rule, reception of evidence is a matter of discretion for the trial court.
State v. Percy,
STATE: On April 28th of 1993, did you pass out
or black out?
COMPLAINANT: I passed out.
At no time did defense counsel request a bench ruling on his earlier objection, or raise a Rule 602 objection that complainant lacked personal knowledge of the matter. On the record presented, we conclude that defense counsel did not object with sufficient specificity and clarity to allow the trial court a fair opportunity to rule on the question. See
In re D.C.,
As we recently observed, “The duty to exclude objectionable testimony rests squarely with defense counsel, and without an objection, the defendant fails to preserve the issue for appeal.”
State v. Gomes,
We conclude that the court’s failure, on its own, to exclude or limit complainant’s testimony did not amount to plain error. The Vermont Rules of Evidence provide that “[ejvery person is competent to be a witness except as otherwise provided by statute or in these rules.” V.R.E. 601(a). An explicit exception to the presumption of competency is found in Rule 602, which states, “The testimony of a Witness may be excluded or stricken unless evidence is introduced sufficient to support a finding that [s]he has personal knowledge of the matter.” V.R.E. 602. The rule goes on, however, to say that “[ejvidence to prove personal knowledge may, but need not, consist of the testimony of the witness h[er]self.” Id. The rules reflect “the modern trend which has converted questions of competency into questions of credibility while ‘steadily moving towards a realization that judicial determination of the question of whether a witness should be heard at all should be abrogated in favor of hearing the testimony for what it is worth.’” 3 J. Weinstein & M. Berger, Weinstein’s Evidence ¶ 601[05], at 601-40 (1990) (hereinafter Weinstein) (quoting Comment, Witnesses Under Article VI of the Proposed Federal Rules of Evidence, 15 Wayne L. Rev. 1236, 1250 (1969)).
As one commentator has observed:
[T]he judge must admit the testimony even though the witness is not positive about what [s]he perceived, provided the witness had an opportunity to observe and obtained some impressions from h[er] observations. This is true even where the witness admits to having perceptual problems. In that situation, a complete revelation of the witness’ problems to the jury will allow it to assess the witness’ testimony in light of the actual circumstances and give it the appropriate weight.
Weinstein,
supra,
¶ 602[02], at 602-12 to 602-13 (footnote omitted); accord
United States v. Peyro,
B.
Defendant claims that the trial court erred in concluding that complainant’s insistence that defendant’s sex acts stop immediately at the moment she awoke and the reports of complainant’s emotional state after the event precluded entry of a judgment оf acquittal. Defendant argues that this evidence, while supportive of complainant’s later belief that she had not consented to the sex acts with defendant, was not probative of complainant’s lack of consent at the time of the sex act. Again, defendant’s argument goes to the weight and not the sufficiency of the evidence. See
State v. Eaton,
C.
Defendant contends that, in denying his motion for judgment of acquittal, the trial court erred in considering evidence that complainant had rejected defendant’s sexual advances in the past. Citing V.R.E. 404(a), defendant argues that evidence of complainant’s past conduct was not admissible to show her propensity to act in accordance with it. Here again, defendant failed to object to this evidence at the time it was offered, and we will review the court’s ruling for plain error only.
State v. Noyes,
Under Rule 404(a), evidence of a character trait generally is not admissible to prove that a person conformed to that trait on a particular occasion. Evidence of other acts may, however, be used to prove knowledge, intent, or absence of mistake or accident. V.R.E. 404(b). The court did not err
II.
Next, defendant argues that the trial court’s denial of his motion for a new trial relied on a theory of the case that was not
presented at trial and incorrectly stated the law of sexual assault. A new trial based upon the weight of the evidence should be granted only where the evidence preponderates heavily against the verdict and a serious miscarriage of justice would otherwise result.
State v. Trombly,
Defendant first argues that the court denied the motion for a new trial based in part on the theory that complainant was too intoxicated to consent, a theory of the case that was not presented at trial. According to defendant, the State produced evidence only thаt complainant was unconscious and therefore unable to give consent; consequently, the defense never had a chance to respond to the claim that complainant could not have given consent even in a state of blackout. Defendant did not object, however, to the jury instruction that
[ljack of consent may be shown where a defendant knows that the other person is mentally incapable of understanding the nature of the sexual act, or knows that the other person is not physically capable of resisting or declining consent to the sexual act. Or knows that the other person is unaware that a sexual act is being committed.
Throughout the trial, the State sought to prove that complainant was so intoxicated that she was unable to consent to defendant’s sexual advances. Whether the jury found that complainant was unable to consent because she had passed out or blacked out was not significant, so long as the evidence did not preponderate heavily against the jury verdict.
Trombly,
Defendant also argues that the trial judge misapplied Vermont’s law of sexual assault in denying defendant’s motion fоr a new trial. We disagree. The court noted that “a reasonable inference is that a state of intoxication to the point of either passing out or ‘blacking out’ would be inconsistent with a claim that the victim was not so impaired as to be incapable of consent.” Defendant contends that the foregoing statement undermines one crucial element of sexual assault, namely, that the State must prove defendant knew that complainant did not or was not able to consent. See 13 Y.S.A. § 3252(a)(1)(A). He argues that the State failed to show that defendant had knowledge of her lack of consent, and that the record actually indicatеs that complainant had blacked out and had willingly engaged in sex acts that she cannot now remember. Whether complainant passed out or blacked out, however, a reasonable juror could find that defendant knew that complainant was either unaware that a sex act was being committed or incapable of declining consent to that act. Id. § 3254(2)(A)-(C).
The court’s order denying defendant’s motion for a new trial indicates that the court reviewed the evidence supporting the defense and prosecution theories of the case and found that “the trial was essentially a credibility contest.” Defendant presented extensive
III.
Finally, defendant argues that the probation condition requiring him to admit his guilt as part of sex-offender therapy should be stricken because it violates his Fifth Amendment and Article 10 rights against self-incrimination and his First Amendment and Article 11 rights of free speech. Specifically, defendant argues that the requirement that he sign an acknowledgement of responsibility for sexually assaulting the victim is unconstitutional because (1) signing the acknowledgement would incriminate him for perjury, (2) penitential confessions violate the Fifth Amendment, and (3) the condition derogates his free-speech rights. Because the first argument is disрositive of defendant’s claim on appeal, we do not reach the second and third arguments.
In
Mace v. Amestoy,
‘“privileges [a person] not to answer official questions put to him in any other proceeding, civil or criminal, formal or informal, where the answers might incriminate him in future criminal proceedings . . . unless and until he is protected at least against the use of his compelled answers.’”
Id.
at 850 (quoting
Minnesota v. Murphy,
Although we are not bound by the decisions of the federal district court, we give respect and persuasive effect to its well-reasoned decisions on questions involving the United States Constitution.
State v. Austin,
A probationer may not assert the privilege against self-incrimination where his statements pose no realistic threat of incrimination in a separate criminal proceeding.
Gleason,
The federal district court in
Mace
specified that the prosecuting attorney must grant immunity if the State wishes to pursue rehabilitative goals in probation that compel offenders to discuss their criminal conduct.
Mace,
Accordingly, in situations such as this, where the prosecutor has failed to eliminate the threat of future prosecution, we hold that the proper remedy for protecting a probationer’s privilege against self-incrimination is a grant of judicial use immunity that makes any statements required for successful completion of rehabilitative probation inadmissible against the probationer at a subsequent criminal proceeding. We further hold that the sentencing court must advise the probationer that statements required for successful cоmpletion of probation, and their fruits, will not be admissible against him or her at any subsequent criminal proceeding. See
State v. Begins,
We do not mean by our decision today to discourage district courts from imposing probation conditions of the kind at issue here. This Court has addressed, in several decisions in recent years, the constitutional claims arising when a convicted sex offender is required, as a condition of his probation, to attend sexual aggressiveness theraрy, but the sentencing judge fails to advise the probationer that a requirement of such therapy is that the probationer acknowledge guilt for his criminal conduct. See, e.g.,
State v. Fisk,
Accordingly, the probation order must be vacated, and the cause remanded for resentencing. On remand, the trial court may reimpose the challenged probation condition, but only if it first assures defendant on the record that statements required for successful completion of probation, and their fruits, will not be admissible against him at any subsequent criminal proceeding. Absent such assurance, the State may not seek, nor the сourt impose, a probation condition requiring defendant to admit culpability for the conduct of which he stands convicted.
Affirmed, except that the sentencing order requiring defendant to acknowledge his culpability as a prerequisite to enrollment in sexual aggressiveness therapy is vacated, and the cause remanded for resentencing in light of this decision.
Notes
Among the foundational elements of opinion testimony by a lay witness is the requirement that the lay witness’s opinion be “rationally based on the perception of the witness.” YR.E. 701(a). Defense counsel did not specify, however, whether he was objecting to complainant’s qualifications as a lay witness or as an expert witness. Compare YR.E. 701 (lay witness) with 702 (expert witness).
