State v. VerdeState v. Verde
Defendant Julie Verde appeals from her conviction, following a jury trial, of the offense of the sale of a child.
See
We recite the facts from the record on appeal in the light most favorable to the jury’s verdict.
Cf. e.g., State v. Booker,
In these discussions, Verde indicated that Watson should expect to incur medical, legal, and other costs incident to the adoption ranging between $2,500 and $5,000. During this period, Watson arranged to pay $80 to $90 of Verde’s medical care costs in return for Verde’s commitment to give her a “discount” on the adoption expenses. Verde claimed that she was in the process of setting up a private adoption agency and was working with a local attorney. However, Verde presented no corroborating evi
In January of 1985, Verde was taking care of E, the daughter of a friend who was ill. Verde had told Watson that E was available for adoption and, on several occasions, had allowed Watson to keep E at her home for “trial periods” of up to seven days. When the adoption plans did not come to fruition as Watson had been led to expect, she became suspicious and contacted the police. Officers then arranged to listen to telephone conversations between Watson and Verde. During one conversation, Verde arranged to meet Watson on February 1,1985, in a store parking lot and turn E over to her. On the appointed day, Verde took E from her mother, telling the mother an admittedly false story to the effect that she wanted to take E with her to an anti-abortion meeting. Verde then met Watson in the parking lot and, with police observing, placed E in Watson’s care. The officers then stopped Verde and arrested her.
Verde was tried before a jury and convicted of the offense of sale of a child, a third degree felony. After a thirty-day evaluation at the state hospital, she was sentenced to three months in jail, fined $2,500, ordered to perform community service, and required to make restitution. Service of the sentence was stayed pending this appeal.
Before this Court, Verde claims error (i) in the admission of certain hearsay statements, (ii) in the admission of evidence regarding the preparations Watson had made for the adoption and the emotional impact the failure of the adoption plan had on Watson, and (iii) in the failure to instruct the jury that payment of certain legitimate fees is not a crime under the statute. Verde also argues that there was insufficient evidence to prove the element of consideration that is required by the statute. We consider these questions seri-atim.
Verde’s first claim is that certain hearsay statements were improperly admitted and that her attorney’s failure to object to the admission of that testimony denied her the effective assistance of counsel. During the State’s case, Watson’s friends and co-workers were allowed to testify about statements that Watson had made to them during the period within which Verde and Watson were discussing an adoption. In these statements, Watson related details of the supposed adoption arrangements. The statements were introduced to corroborate Watson’s testimony about the steps Verde took to convince Watson that an adoption was imminent. Verde’s attorney did not object to the admission of these statements.
Ordinarily, the failure to raise an objection below would preclude our consideration of this argument on appeal.
As we recently observed in
State v. Lovell,
Verde next claims that the trial court should not have admitted evidence of the extensive preparations Watson made to receive the child into her home and of the emotional impact that the bogus adoption plan had on her. Both Watson and her mother testified that Watson had purchased toys, furniture, and clothing in anticipation of the adoption. Several of these items were admitted into evidence. Verde’s counsel did not object to the testimony or to the exhibits. A friend of Watson’s testified that Watson was emotionally distraught after realizing that she would not be able to adopt E. Again Verde’s counsel did not object. However, Verde’s counsel did object unsuccessfully to testimony from Watson’s employer that after the falsity of the adoption plan was revealed, Watson became so emotionally distraught that she attempted suicide.
Verde now argues that all of this evidence was so lacking in relevance and so unfairly prejudicial that it should have been excluded under Utah Rule of Evidence 403, which provides: “Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice_”
The State counters that whatever potential for unfair prejudice this evidence may
The next claim of error pertains to the jury instructions concerning the element of consideration. Under the sale-of-a-child statute,
Verde’s counsel did not offer such an instruction or object to the instructions actually given. Under Utah Rule of Criminal Procedure 19(c), we review an error in instructions when no objection was properly raised at trial only if we find that such review is necessary “to avoid a manifest injustice.” 4 Verde argues that this standard is met here and that the trial court should have provided such an instruction sua sponte.
Our cases are not entirely clear as to the meaning to be given the term “manifest injustice.” And determining what constitutes “manifest injustice” for purposes of rule 19(c) requires reference to a larger question — the proper standards to be applied in reviewing various types of claims of prejudicial error. Although we need not survey those standards in depth here, a brief review will be helpful in giving meaning to the term “manifest injustice.”
A review of Utah cases reveals a rather simple set of categories and concepts. Errors we label “harmless” are errors which, although properly preserved below and presented on appeal, are sufficiently inconsequential that we conclude there is no reasonable likelihood that the error affected the outcome of the proceedings.
See, e.g., State v. Knight,
Errors that result in reversal fall into two categories. The first consists of errors which were properly preserved below and presented on appeal and which, when considered in context, are deemed harmful, i.e., there is a reasonable likelihood that the error affected the outcome in the trial court.
See
The question presented by the instant case is how the standard of “manifest injustice,” made applicable to instructional errors through rule 19(c) of the Utah Rules of Criminal Procedure, fits within those categories of error. What does the rule mean when it says that an instructional error not properly objected to may be considered on appeal “to avoid a manifest injustice”? We conclude that in most cir
Our conclusion is further strengthened by reference to the comparable federal rules. The federal equivalent of Utah’s rule 19(c) is rule 30 of the Federal Rules of Criminal Procedure. It does not expressly provide a manifest injustice or plain error exception to the requirement that objections be made to preserve claims of instructional error. However, the federal courts have read federal rule 30 to incorporate a plain error rule. “Thus, even in the absence of a sufficient objection, [a federal] appellate court may reverse for plain error in the instructions.” Wright,
Federal Practice and Procedure: Criminal 2d
§ 484, at 709 (1982);
accord United States v. Thevis,
For the foregoing reasons, we conclude that when faced with a claim that a particular assertion of instructional error not raised at trial should be considered on appeal because failure to do so would result in manifest injustice under Utah Rule of Criminal Procedure 19(c), we will determine whether to review such a claim of error under the same standard we use when determining the presence of plain error under Utah Rule of Evidence 103(d). As explained in
Eldredge,
No. 20558, the plain error test of rule 103(d) is two-pronged. First, the error must be “plain” or “manifest.” This is sometimes termed an “obviousness” requirement. After examining the record, an appellate court must be able to say “that it should have been obvious to a trial court that it was committing error.”
11
Id.
at 9. Second, the error must be of sufficient magnitude that it affects the substantial rights of a party. In other words, applying the standard we explained in
State v. Knight,
We now apply those tests to Verde’s claim. She argues that the trial court committed manifest error when it failed to instruct the jury that payment of legitimate legal and other fees cannot constitute the consideration which is an element of the offense.
Sale of a child — Any person, while having custody, care, control, or possession of any child, who sells, or disposes of, or attempts to sell or dispose of, any child for and in consideration of the payment of money or other thing of value is guilty of a felony of the third degree; provided, however, this section shall not make it unlawful for any person, agency, or corporation to pay the actual and reasonable maternity, connected medical or hospital and necessary living expenses of the mother preceding and during confinement as an act of charity, so long as payment is not made for the purpose of inducing the mother, parent, or legal guardian to place the child for adoption, consent to the adoption, or cooperate in the completion of the adoption.
The purpose of the emphasized portion of the statute is to make it clear that payment as an “act of charity” of certain legitimate expenses of the birth mother incident to the birth of a child is not to be treated as the furnishing of consideration for the criminal sale of a child. In this case, the scheme involved a child who was thirteen months old when Verde offered to arrange the adoption; the child’s mother testified that at the time of the planned adoption, there were no outstanding expenses related to the birth; and Verde did not offer any evidence that any monies she sought and received were to go for expenses incident to the birth. It follows that even if the instruction Verde argues for had been given, no reasonable juror could have found that the $2,500 to $5,000 in various fees and expenses that Verde had requested or the $80 to $90 for Verde’s medical bills that Watson had paid were to have been applied to the mother’s legitimate expenses relating to the child’s birth. Therefore, we need not determine whether the failure to give the instruction was error at all, much less whether it was obvious error, because we are not convinced that absent any such error, “there was a reasonable likelihood of a result more favorable to the accused,” i.e., our confidence in the verdict is not undermined.
State v. Bell,
Verde’s final claim is that there was insufficient evidence to show that she was selling the child “for and in consideration of the payment of money or other thing of value,” as the statute requires. The State argues that there is sufficient evidence to show that Verde had received certain consideration at the time of her arrest and that she anticipated receiving additional amounts from Watson.
In considering a claim of insufficiency of the evidence,
“we review the evidence and all inferences which may reasonably be drawn from it in the light most favorable to the verdict of the jury. We reverse a jury conviction for insufficient evidence only when the evidence, so viewed, is sufficiently inconclusive or inherently improbable that reasonable minds must have entertained a reasonable doubt that the defendant committed the crime of which he [or she] was convicted.”
State v. Booker,
We affirm the conviction.
Notes
. Verde also cites article I, section 12 of the Utah Constitution. However, she makes no argument that the guarantees of the Utah Constitution are different in kind or degree from the federal constitutional provisions. Because she provides no separate authority or argument based on the Utah Constitution, we choose to consider only her federal constitutional claims.
See State v. Lafferty,
. In
State v. Moton,
. Verde has not raised the question of whether the admission of this testimony might be plain error under Utah Rule of Evidence 103(d). However, we do not find the alleged error to be sufficiently prejudicial to meet the plain error test discussed elsewhere in this opinion.
.
(c) No party may assign as error any portion of the charge or omission therefrom unless he [or she] objects thereto before the jury is instructed, stating distinctly the matter to which he [or she] objects and the ground of his [or her] objection. Notwithstanding a party’s failure to object, error may be assigned to instructions in order to avoid a manifest injustice.
. "Any error, defect, irregularity or variance which does not affect the substantial rights of a party shall be disregarded.”
. Error may not be predicated upon a ruling which admits or excludes evidence unless a substantial right of the party is affected, and [a proper, timely objection was made].
. No error in either the admission or the exclusion of evidence, and no error or defect in any ruling or order or in anything done or
. Although this brief review is not intended as a comprehensive survey of the law in this area, there are two additional points that bear mention. First, there are special rules applying to harmless error review in death penalty cases.
See State v. Tillman,
. "Nothing in this rule precludes taking notice of plain errors affecting substantial rights although they were not brought to the attention of the court."
.In considering our brief review of the concepts and categories of errors, a useful comparison may be made to the classification given various errors in the federal courts by Professor Charles Allan Wright, a prominent authority in the area of federal procedure. According to Wright,
(i) "Harmless error” is error that did not prejudice the defendant and, on appeal, is disregarded whether or not an objection was made at trial.
(ii) "Reversible error” is error to which an objection was raised and which meets the appropriate test for prejudicial effect.
(iii) “Plain error” is error to which no objection was raised, but which should have been obvious to the trial court and is sufficiently harmful to require reversal.
(iv) The allocation of the burden of proving and the standard for measuring prejudicial effect differ depending on the nature of the right affected. For an error involving certain federal constitutional rights, the government has the burden of proving that the error is harmless beyond a reasonable doubt. For nonconstitu-tional error, the accused must show that a substantial right was affected. See Wright, Federal Practice and Procedure: Criminal 2d §§ 851 to 856 (1982) [hereinafter Wright]; see alsoFed.R. Crim.P. 52 (defining “harmless error” and "plain error”).
. This "obviousness” prong of the plain error rule has been described in various terms, all of which amount to saying that from a review of the record, the appellate court is led to the conclusion that given the circumstances, the trial court should have been aware that an error was being committed at the time.
See, e.g., State v. Cobo,
. This explanation of the test in terms of two elements that must be satisfied should not be taken to mean that the plain error and manifest injustice tests are in any respect precise or wooden. As we explained in Eldredge, No. 20558 at n. 11, determining the obviousness of an error and determining the severity of the resulting prejudice are not necessarily unrelated inquiries. In any given case, the degree of harmfulness may well affect the appellate court's judgment as to the obviousness of the error. At bottom, both the plain error and manifest injustice tests, no matter how stated, ultimately permit the appellate court to balance the need for procedural regularity with the demands of fairness. Id.
. This is our first occasion to consider this statute. Without expressing an opinion as to its operation in a different context, we note that a similar provision has been considered in Michigan in a case involving a contract for surrogate motherhood.
See Doe v. Kelley,
. Verde also contends that such an instruction was required by section 55-8a-l of the Code. That section related to the governance of adoption practices. The portion on which Verde relies provided: "(4)
No provision of this chapter
precludes payment of fees for medical, legal, or other lawful services rendered in connection with the care of a mother, delivery and care of a child, or lawful adoption proceedings_”
Verde claims that this provision creates an exception to criminal liability under the sale-of-a-child statute,
. As we explained earlier, the test for an ineffective-assistance-of-counsel claim under the federal constitution has two prongs. The first prong is that the lawyer’s performance was deficient under the standard of "reasonably effective assistance.”
Strickland
v.
Washington,