RILEY, Judge.
Appellant-Defendant, Saundra Wahl (Wahl), appeals her conviction for involuntary manslaughter, a Class D felony, Ind.Code § 35-42-1-4 (2013).
We affirm.
Wahl raises four issues on appeal which we restate as:
In the spring of 2011, Danny (Danny) and Jocelyne DiRienzo (collectively, the DiRienzos) began searching for a daycare for their minor children, D.D., and A.D. The DiRienzos were referred to Wahl and her husband, Daniel Wahl (Daniel) (collectively, the Wahls) who ran a State-licensed daycare facility out of their home basement in Fishers, Indiana. After touring the daycare facility, the DiRienzos selected the Wahls to provide child care services to both of their children.
Prior to June of 2013, Wahl had been working as a child care provider for approximately twenty-five years. In 2003, the Wahls built their home with the primary intention of operating a daycare facility from their basement. Shortly thereafter, the Wahls were licensed, and for ten years, they operated a daycare business under the name, Home Away from Home Child Care. In establishing their roles as child care providers, the Wahls determined that Wahl would be responsible for toddlers ranging from five months to two years, while Daniel would be responsible for the older children.
In June of 2013, A.D. was a healthy, twenty-month-old toddler. On June 20, 2013, as usual for their day, Daniel had taken the older children to the backyard to eat and play. While Daniel was outside with the older children, Wahl remained inside with the toddlers for feeding. Due to the older children being out-side, Wahl removed a compression gate between the kitchen area and the toddlers' sleeping area in the basement so as to allow the small children to move and play freely between the two rooms. In addition, Wahl also placed a child in a highchair in the kitchen for feeding and walked back to the kitchen sink to warm bottles.
The record shows that in addition to the compression gate that divided the toddlers' sleeping area and a play area adjoining the kitchen, there was a white metal security gate positioned in the basement hallway that was used to prevent the children from accessing the stairway leading to the first floor.
From the kitchen, only a portion of the white metal security gate was visible. As Wahl was lifting the child from the highchair, she saw the child that A.D. had
On September 19, 2013, the State filed an Information charging the Wahls
Danny described his son as a healthy and happy baby. He testified that "approximately a month and a half to two months" prior to A.D.'s death, he was in the Wahls' home either to drop off or pick up his children. (Tr. p. 263). Danny recalled that Wahl discussed A.D.'s progress with him, and he recalled Wahl stating that A.D. "can even push his way through the baby gate downstairs." (Tr. p. 263).
The forensic pathologist who conducted A.D.'s autopsy stated that while there are many variables that are considered in determining how long it takes to asphyxiate, for small children, he indicated that it may take "approximately 90 seconds to 120 seconds" for asphyxiation to ensue; and it would take "no more than 5 minutes" for a child to die. (Tr. p. 437).
Prior to sentencing, but after the jury returned a guilty verdict for the Wahls, the trial court received an email from Juror # 7, which stated in part:
(Court's Exh. 1). On June 6, 2014, the trial court scheduled a hearing to determine the alleged jury misconduct. At the hearing, the Wahls moved for a mistrial and after both parties had presented their arguments, the trial court took the matter under advisement. On June 11, 2014, the trial court denied the motion. Following a sentencing hearing held on June 30, 2014, the trial court sentenced the Wahls to 1095 days in the Department of Correction (DOC) with 730 days executed and placed them both on probation for 365 days. In addition, the trial court ordered the Wahls to jointly and severally pay the DiRienzos $22,353.72 in restitution with $20,232.52 of that amount being Danny's lost wages. In light of the jury misconduct, on July 29, 2014, the Wahls, through their appellate counsel, filed a motion to correct error and attached an affidavit from Juror # 7 requesting the trial court to grant them a mistrial, or in the alternative, grant them a hearing to present evidence from Juror # 7. Consequently, the State responded to the Wahls' motion on August 5, 2014, and on August 18, 2014, the trial court denied the Wahls' motion.
Wahl now appeals. Additional facts will be provided as necessary.
Wahl first argues that the evidence is insufficient to sustain her conviction. When reviewing the sufficiency of the evidence needed to support a criminal conviction, we neither reweigh evidence nor judge witness credibility. Bailey v. State, 907 N.E.2d 1003, 1005 (Ind.2009). "We consider only the evidence supporting the judgment and any reasonable inferences that can be drawn from such evidence." Id. We will affirm if there is substantial evidence of probative value such that a reasonable trier of fact could have concluded the defendant was guilty beyond a reasonable doubt. Id.
The version of Indiana Code Section 35-42-1-4(e) in effect at the time Wahl committed her crime provided that if: (1) a child care provider recklessly supervises a child; and (2) the child dies as a result of the child care provider's reckless supervision; the child care provider commits class D felony involuntary manslaughter.
Wahl argues that the evidence is insufficient to establish that she recklessly supervised A.D. "given her close proximity to A.D. when he went back to the gate moments after she had initially removed him from the gate." (Appellant's App. p. 15). The State called Vicki Allen (Allen) of the Indiana Family and Social Services Administration (FSSA) to testify regarding the standards imposed on child care providers while caring for children. Allen testified that according to Ind. Admin Code 3-1.1-36.5, children shall not be left unattended and must be "within sight or sound at all times," — that is, to be seen "without obstruction and heard without obstruction." (Tr. p. 448).
Here, the unrefuted evidence presented at trial established that, on the day in question, A.D. was not within Wahl's sight or sound at all times. As stated above, Wahl was first alarmed by A.D.'s and the other child's presence by the security gate when she heard it jingle. Wahl testified that she walked over to the security gate, scolded the children for playing with the security gate, and consequently removed them and placed them across the room. Shortly thereafter, Wahl returned to the kitchen to grab a bottle and pick up the baby she had left in the highchair. Unbeknownst to Wahl, A.D. and the other baby had ventured back to the security gate. Moments later, Wahl returned to the gate area only to find that the security gate had been released from its latch, A.D. and the other baby were on the opposite end, and A.D. was wedged between the gate's latch and the wall.
In addition, the State presented evidence that Wahl was aware that the gate did not function properly and had "placed furniture on both sides of the gate to help prevent the children from opening the gate." (Appellee's Br. p. 10). We note that the purpose of having a baby gate is to ensure that children do not wander off to unsupervised areas. Specifically, the State argues that failure to maintain a properly functioning gate knowing that there would be small children in the house capable of pushing through the gate, and the failure to make certain that the gate was properly latched after A.D. and other child had attempted to open it, is certainly an act committed in "plain, conscious, and unjustifiable disregard" of the harm that might result, and is indeed a "substantial deviation from acceptable standards of conduct," Ind.Code section 35-41-2-2(c).
In Phillips v. State, 25 N.E.3d 1284 (Ind.Ct.App.2015), we affirmed Phillips conviction for reckless homicide on the basis that she was consciously aware of the potential harm of placing five-month-old C.T. inside a broken crib with additional padding. Id. at 1288. On the day C.T. died, Phillips had fed C.T. and because it was naptime, she placed a folded queen size blanket inside a broken portable crib and laid C.T. inside. Id. Phillips left the residence at 12:20 p.m. Shortly after 3:00 p.m., Phillips' mother, who operated the daycare, went to check on C.T. and found him unresponsive. Id. Phillips' mother called 911. Id. The paramedics and firefighters who arrived on the scene found that C.T. had no pulse and was cold to the touch. Id. C.T. was transported to the hospital where he was pronounced dead. Id. This court was unpersuaded that the
As in Phillips, we reject Wahl's argument that her conduct conformed to acceptable standard of conduct while caring for A.D. on June 20, 2013. At trial, Detective Hawkins pointed out that the gate did not lock into place, and it took insignificant effort to thrust it open. He also stated that because the gate did not latch properly, the Wahls had braced the gate with furniture to prevent it from swaying open. Moreover, there was evidence presented at trial that the Wahls knew that A.D. had become increasingly mobile, strong, and could breach the security gate. At trial, Danny stated about two months before A.D.'s death, Wahl admitted that A.D. could push his way through the baby gate downstairs. Wahl's claim that it was a different gate is nothing but an invitation for this court to reweigh the evidence, which we will not do. See Bailey, 907 N.E.2d at 1005.
Lastly, the State argues that the child-to-staff ratio was beyond the required limit and that it rose to the level of reckless supervision. We note that child-to-staff ratio means "the maximum number of children permitted per direct child care provider." Ind. Admin. Code 3-1.1-7.1. Pursuant to Ind. Admin. Code § 3-1.1-36.5, the Wahls were allowed to have no more than six children from birth to 24 months; and at least two of the children should have been sixteen months old and walking. Allen testified that based on her initial investigation, Wahl was in charge of seven children instead of six. At a later interview, Wahl withdrew her prior statement and indicated that she was supervising six children on the day in question. Contrary to her latter statements, on appeal, Wahl argues that having one child over the number required is not a substantial deviation given her close proximity to A.D. the entire time on the day he died. We strongly disagree.
According to the Interpretative Guide for Child Care Home Rule (2013), http://www.in.gov/fssa/files/BCC_Homes_ Interpretative_Guide.pdf (last visited May. 9, 2015), the intent of Ind. Admin. Code 3-1.1-36.5, is "[t]o provide for the safety and developmental needs of the children. This rule recognizes that ratios need to be lower for younger children and assumes that children younger than 24 months place special demands on a caregiver due to their need for individual care and attention." We observe that the regulations were promulgated to ensure the health and safety of children entrusted to the care of child providers. In light of this regulations objective, we find that Wahl's assertion that caring for one extra child was not an excessive violation of the regulations must fail. Also, pursuant to the reckless statute, we find that Wahl's aberration from the regulations should be considered as a substantial deviation from acceptable standards of conduct. See I.C. § 35-41-2-2(c).
Moreover, we note that child security gates are protective barricades designed to prevent young children from accessing areas in the home that might be unsafe. The risk of death might not be probable but it would be real and substantial
Next, Wahl argues that the trial court abused its discretion by denying her motion to correct error based on alleged jury misconduct. In general, a trial court has broad discretion to determine whether to grant or deny a motion to correct error. Volunteers of Am. v. Premier Auto Acceptance Corp., 755 N.E.2d 656, 658 (Ind.Ct.App.2001). We will reverse only for an abuse of that discretion. Id. An abuse of discretion occurs if the trial court's decision was against the logic and effect of the facts and circumstances before the court or if the court misapplied the law. Id. The trial court's decision comes to us cloaked in a presumption of correctness, and the appellant has the burden of proving that the trial court abused its discretion. Id. In making our determination, we may neither reweigh the evidence nor judge the credibility of witnesses. Id. Instead, we look at the record to determine if: (a) the trial court abused its judicial discretion; (b) a flagrant injustice has been done to the appellant; or (c) a very strong case for relief from the trial court's [order] ... has been made by the appellant. Id.
Wahl maintains that the interference by the alternate juror during jury deliberations constituted impermissible extra-judicial communication. As mentioned earlier, prior to sentencing and after the jury returned a guilty verdict for the Wahls, the trial court received an email from Juror # 7, who indicated that the alternate juror had involved himself in the jury deliberations. A hearing was conducted on June 6, 2014, and the Wahls moved for a mistrial. Subsequently, on June 11, 2014, the trial court denied the Wahls' motion and stated in part:
(Appellant's App. p. 90). Shortly after sentencing, the Wahls filed a motion to correct error exclusively supported by Juror # 7's affidavit reiterating the statements made in the prior email.
The State maintains that when a defendant seeks a new trial based on jury misconduct, she must show that the misconduct was (1) gross and (2) she was probably harmed. See Griffin v. State, 754 N.E.2d 899, 901 (Ind.2001). We disagree that this is the correct standard of review. Most recently, our supreme court in Ramirez v. State, 7 N.E.3d 933, 938 (Ind.2014), took into account the confusion involved when determining jury taint and sought to clarify the existing precedents. In particular, the court stated: "[F]ederal and Indiana precedent has narrowed the presumption of prejudice to apply in cases where defendants show more than just potential taint — but some Indiana precedent, including our own, has
Id. at 939 (internal citations omitted). According to the test proponed in Ramirez, Wahl is required to show by a preponderance of the evidence that: (1) the alternate juror communicated with jurors without authorization; and (2) about the matter before the jury. We will first establish whether Wahl has met her initial two-part inquiry of prejudice.
It is a long-established principle in Indiana jurisprudence that a jury's verdict may not be later impeached by the jurors who returned it. Ward v. St. Mary Med. Ctr. of Gary, 658 N.E.2d 893, 894 (Ind.1995). The policy reasons for this are that "(1) there would be no reasonable end to litigation, (2) jurors would be harassed by both sides of litigation, and (3) an unsettled state of affairs would result." Id. This principle is also set forth in Indiana Evidence Rule 606(b) which provides:
Thus, a rebuttable presumption of prejudice will arise if jurors engage in misconduct by out-of-court communications with unauthorized persons. Spears v. State, 811 N.E.2d 485, 488 (Ind.Ct.App.2004). In Griffin, our supreme court explained that an alternate juror is not a member of the jury, "and he or she qualifies as an outside
Here, the jury was instructed that the "alternate will be with you in the room but is not permitted in your deliberations or verdict." (Appellant's App. p. 66). According to Juror # 7's affidavit, after the jury retired to the jury room and contrary to the trial court's instructions, the alternate began leading the jury in the discussions. After been asked to withdraw, he proceeded to test and experiment with the white metal security gate while discussions were ongoing. In addition, the alternate juror repeatedly replayed a video which led the jurors to interrupt their discussions and watch a particular portion of the video. From the foregoing, it is clear that the alleged communication — both spoken and unspoken — constituted impermissible communication barred under Rule 606(b), and it related to a matter before the jury. Having established that Wahl met her burden pursuant to Ramirez, the burden now shifts to the State to show that the alternate juror's out-of-court communication was harmless.
The State maintains that it rebutted the presumption of prejudice since the evidence of the alleged misconduct amounts to "harmless childish behavior." (Appellee's Br. p. 16). Specifically, the State argues that according to Juror # 7 affidavit, "it appears that the alternate refrained from speaking with the other jurors once it was pointed out to him that he was not to participate in the deliberations. (Appellee's Br. p. 17). In addition, the State argues that all the "alternate juror allegedly did was play with properly admitted evidence during the deliberations." (Appellee's Br. p. 14).
We note that the test for harmless error is not whether there was substantial evidence of the defendant's guilt but whether the error contributed to the verdict. Hall v. State, 796 N.E.2d 388, 396-97 (Ind.Ct.App.2003), trans. denied. As noted above, the jury was admonished before retiring and they were well aware that the alternate juror was not to take part in the discussions. Also, the trial court tendered an instruction, reminding the jurors that their verdict must be based solely on the evidence presented at trial. We must presume that the jury followed the trial court's instructions. Harris v. State, 824 N.E.2d 432, 440 (Ind.Ct.App. 2005). See also Henriquez v. State, 973 N.E.2d 1154 (Ind.Ct.App.2012) (noting that juries tend to monitor themselves pretty well and that if the alternate is trying to deliberate, the other jurors would stop him or bring it to the court's attention) trans. denied.
Here, Juror # 7 advised the alternate juror to cease and desist from discussions, and we presume that the other jurors were attentive of that warning. Because we find that the jury was obviously aware that the alternate juror was not meant to participate in the discussions, any transient comments that the alternate juror made at the commencement of the jury deliberations or his curiosity to experiment with the exhibits admitted into evidence, did not introduce new material into deliberations that was not already known by the jury from the trial itself. On these facts, it is plain to us that, while Wahl may have met her initial burden, the State rebutted the alleged misconduct, and without more, we
Next, Wahl argues that her sentence was inappropriate in light of the nature of the offense and her character. Indiana Appellate Rule 7(B) provides that we "may revise a sentence authorized by statute if, after due consideration of the trial court's decision, [we find] that the sentence is inappropriate in light of the nature of the offense and the character of the offender." The burden is on the defendant to persuade the appellate court that his or her sentence is inappropriate. Childress v. State, 848 N.E.2d 1073, 1080 (Ind. 2006). "Ultimately the length of the aggregate sentence and how it is to be served are the issues that matter." Cardwell v. State, 895 N.E.2d 1219, 1224 (Ind. 2008). Whether we regard a sentence as appropriate at the end of the day turns on our sense of the culpability of the defendant, the severity of the crime, the damage done to others, and a myriad of other considerations that come to light in a given case. Id.
The advisory sentence is the starting point the legislature has selected as an appropriate sentence for the crime committed. Abbott v. State, 961 N.E.2d 1016, 1019 (Ind.2012). At the time of his sentencing, the advisory sentence for a Class D felony was one-and-one-half years, with a minimum of six months and a maximum of three years. Here, the trial court imposed the maximum sentence but suspended one year to probation. In arriving at this sentence, the trial court found as mitigating circumstance the fact that Wahl had no criminal history at the time. However, the trial court found the nature of the offense and the fact that the victim was "less than 12 years of age" to be an aggravating circumstance. (Tr. p. 852). See Kile v. State, 729 N.E.2d 211, 214 (Ind.Ct.App.2000) (holding that the trial court did not err in using the particularized factual circumstances of the case — namely the victim's age — as an aggravating factor).
As for the nature of the offense, Wahl argues that she "was not asleep or on another floor of the house; she was [a mere] 8-10 feet away from A.D." (Appellant's Br. p. 23). She further argues that a portion of the security gate was "visible from the [] kitchen" and she had just been able to overhear A.D. and another child jingle the gate minutes before. To her defense, she argues that the moment she observed A.D. stuck in the gate, she quickly removed him from danger and began performing CPR. We are not persuaded by Wahl's arguments. At trial, the forensic pathologist testified that for young children such as A.D., it may take "approximately 90 seconds to 120 seconds" for asphyxiation to ensue; and it would take "no more than 5 minutes" for a child to die. (Tr. p. 437). Moreover, as discussed in the foregoing, as a child care provider, Wahl was to keep A.D. within sight or sound at all times. The record reveals that the security gate did not latch properly and A.D. had successfully breached the gate. As such, Wahl's argument that A.D. was just 8-10 feet away, does not alter the fact that A.D. wandered off to an unsupervised area, and within minutes, his neck got stuck in a defective gate that triggered his death.
Turning to Wahl's character, we note that she has led a law-abiding life prior to the events of June 20, 2013. At her sentencing hearing, Wahl presented twenty-three letters from friends and families who attested that she was a generous and loving person as well a good Christian. Though we find that her good character is indeed redeeming, it does not alter the
Finally, Wahl contends that the trial court abused its discretion in ordering that she jointly and severally pay $20,237.52 in restitution to the DiRienzos for Danny's lost wages. At the sentencing hearing, Danny stated that he had missed a total of 53 days of work due to A.D.'s death. We reverse a trial court's order to pay restitution only for an abuse of discretion. Gil v. State, 988 N.E.2d 1231, 1234 (Ind.Ct.App.2013). A trial court abuses its discretion if its "decision is clearly against the logic and effects of the facts and circumstances before it" or if it "misinterprets or misapplies the law." Id.
Indiana Code section 35-50-5-3(a) provides, in relevant part, that "in addition to any sentence imposed under this article for a felony or misdemeanor, the court may ... order the person to make restitution to the victim of the crime[.]" When such an order is entered, it must be based upon a consideration of:
Id. An order of restitution is as much a part of a criminal sentence as a fine or other penalty. Kotsopoulos v. State, 654 N.E.2d 44, 46 (Ind.Ct.App.1995). It is well established that the restitution order must reflect the actual loss sustained by the victim. Smith v. State, 471 N.E.2d 1245, 1248 (Ind.Ct.App.1984), trans. denied. The amount of actual loss is a factual matter, which can be determined only upon presentation of evidence. Id. A restitution order must reflect a loss sustained by the victim as a direct and immediate result of the defendant's criminal acts, and the trial court may consider only expenses incurred by the victim prior to the date of sentencing. Rich v. State, 890 N.E.2d 44 (Ind.Ct.App.2008), trans. denied.
Here, Wahl argues that although Danny "presented documentation for his requested loss of wages" none of them explained why he missed work for a total of 53 days. (Appellant's Br. p. 28). In response, the State maintains that Wahl failed to lodge an objection to that amount. After reviewing the transcript, we agree with the State that Wahl did not specifically object to the payment of Danny's loss of wages. Also, our review of the record reveals that Wahl did not lodge any objection at the sentencing hearing or the trial court's consideration of the documents that Danny submitted for his loss of wages before the sentencing hearing.
"Generally, failure to object to an award of restitution constitutes waiver of a challenge to the award on appeal, unless a defendant argues that the award was fundamentally erroneous and in excess of statutory authority." Morris v. State, 2 N.E.3d 7, 9 (Ind.Ct.App.2013),
A.D. died on June 20, 2013, and Danny took time off work to grieve the loss of his son. According to the pre-sentence investigation report, Danny missed work from June 21 through August 30, 2013. He was also absent for two days from May 13-14, 2014, to attend the Wahls' trial. Lastly, Danny missed a day of work on June 12, 2014, to attend the sentencing hearing. At the sentencing hearing, Danny testified that even though he was compensated while on leave, given that he used up his leave days meant that he lost income of $ 20,237.52 which he would have netted upon retirement. Danny is a federal employee and has been for the past sixteen years. Under 5 U.S.C. § 5551(a), federal employees who are separated from service are entitled to receive a lump sum payment for the annual leave that they have accrued but not taken. We note that had Danny not been forced to expend his annual leave, he would have been entitled to a lump-sum cash payment for any unused leave in the event of retirement as federal employee pursuant to 5 U.S.C. § 5551. In light of the foregoing, the trial court properly ordered restitution for loss of wages.
Based on the foregoing, we conclude that (1) there was sufficient evidence to support Wahl's conviction for involuntary manslaughter; (2) the trial court did not abuse its discretion in denying Wahl's motion to correct error based on jury misconduct; (3) Wahl's sentence is appropriate; and (4) the trial court did not abuse its discretion in ordering restitution.
Affirmed.
BARNES, J. concurs.
BAILEY, J. dissents with separate opinion.
BAILEY, Judge, dissenting.
I respectfully dissent, because cumulative error denied Wahl a fair trial. I am convinced that the alternate juror crossed a line in his persistent efforts to influence the duly-selected jurors. Even more egregious, Wahl's Involuntary Manslaughter conviction was achieved by merging regulatory concepts into the definition of recklessness as set forth by our Legislature in the Criminal Code. Administrative code provisions, State's Exhibit 65, were submitted as "evidence."
The theory of prosecution was that non-conformance with regulatory standards (one too many children or improper maintenance) is necessarily "a substantial deviation from acceptable standards of conduct" as an element of the charged crime. The State offered as an exhibit the language of Indiana Administrative Code Section 3-1.1-36.5 (setting forth the child to staff ratio and stating that children are to be supervised at all times) and asked Vicki Allen to explain or define "supervision" within the meaning of the regulatory provision. When asked "what does that mean," she responded: "The children need to be within sight or sound at all times." (Tr. 448.)
Subsequently, in closing argument, the State invited the jurors to convict Wahl on this basis:
(Tr. 675.) (emphasis added.) In discussing the elements of the crime, the Prosecutor read the statutory definition of "recklessness" (including its reference to acceptable standards of conduct), and then supplemented the definition with reference to Allen's testimony:
(Tr. 678-79.) (emphasis added.)
In short, the State engrafted language from a regulatory scheme into the Criminal Code, such that "a substantial deviation from acceptable standards of conduct" became "a substantial deviation from child care provider standards." This invaded the province of the jury whose duty it was to determine whether conduct was so substantial in its deviance that it amounted to criminal reckless conduct.
The State should indeed insist upon high standards for child care providers. That said, it is perplexing that the Prosecution — and the State on appeal — appear satisfied that any failing to provide the best possible care amounts to criminal conduct. The State's brief urges: "When it comes to the care of children in a for-profit
In all conduct subject to regulation by this State, such as the operation of a business or profession, there is potential for negligence, gross negligence, or criminality. Individuals frequently fall short of the standards set by regulatory schemes. This can, and should, result in penalties such as warnings, revocation of licenses, fines, or other penalties of a civil nature. Egregious conduct can, and should, result in the bringing of criminal charges. However, in those situations, the conduct proscribed is that defined by our Legislature in the Criminal Code and the jury is the arbiter of community standards. A jury of one's peers is entrusted with the determination of whether the accused acted in a manner that is so removed from acceptable community standards that he or she should be convicted of a felony and locked away from society.
In my opinion, Wahl's conviction was not a product of constitutionally adequate proceedings and amounts to fundamental error. Accordingly, I respectfully dissent.