State v. Hayes

783 A.2d 957, 172 Vt. 613, 2001 Vt. LEXIS 276
CourtSupreme Court of Vermont
DecidedAugust 28, 2001
DocketNo. 00-331
StatusPublished

This text of 783 A.2d 957 (State v. Hayes) is published on Counsel Stack Legal Research, covering Supreme Court of Vermont primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Hayes, 783 A.2d 957, 172 Vt. 613, 2001 Vt. LEXIS 276 (Vt. 2001).

Opinion

Defendant appeals his conviction by jury of second-degree aggravated domestic assault, arguing that the information was defective, that the absence of a court-ordered forensic examination prevented him from obtaining a fair and fully informed sentencing decision, and that the trial court violated his privilege against self-incrimination by failing to provide him with judicial use immunity before basing its sentencing decision on his refusal to acknowledge criminal responsibility. We reject each of these contentions and thus affirm the conviction and sentence.

Defendant was charged in separate informations with simple assault against his girlfriend, based on a November 7, 1998 incident, and second-degree aggravated assault against the same victim, based on a January 9,1999 incident. The charges were joined at a single trial, after which defendant was acquitted of the simple assault charge, but convicted of the second-degree aggravated assault charge.

On February 18, 2000, following completion of the presentence investigation (PSI) report, the sentencing hearing commenced. The hearing was continued after the trial court, at the request of defense counsel and with the acquiescence of the State, ordered that defendant be given a psychological evaluation at the Woodstock Correctional Facility. Defendant was held without bail pending resumption of the hearing. When the hearing resumed on April 7, 2000, the court discovered that the evaluation had never been performed. Apparently, the Department of Corrections contended that the correctional facility was not responsible for providing “forensic,” as opposed to “treatment-oriented,” evaluations, and took the position that a forensic evaluation would have to be provided by an outside psychiatrist. Upon inquiry from the court, the State stated that it did not oppose an evaluation, but would not seek funds to [614]*614have one done. Defense counsel stated that her client had been incarcerated since mid-February and wanted the case resolved. She further indicated that defendant was “hopeful” that he would obtain a probationary sentence, as had been recommended in the PSI report. The court then engaged defense counsel and defendant in an extended colloquy in which the court repeatedly asked defendant if he wanted to proceed without the evaluation and repeatedly warned defendant that the court was not restricted to the recommendation contained in the PSI report but rather could sentence defendant up to the full extent permitted under the law. After consulting with his counsel on several occasions, defendant formally waived his right to an evaluation and unequivocally stated that he wanted the court to proceed with sentencing without the benefit of the evaluation. The court then heard testimony and sentenced defendant to one-to-five years to serve.

On appeal, defendant first argues that the Department of Corrections’ refusal to honor the court’s order for a psychiatric evaluation violated his right to a fair and fully informed sentencing decision. According to defendant, his agreement to proceed without an evaluation may have been knowing and intelligent, but it was not voluntary because he could not have waived a right he had already been denied. In defendant’s view, he had no choice but to waive the evaluation.

We cannot agree with defendant’s characterization of the stipulation. Although he was represented by counsel, defendant never argued before the trial court, as he does here on appeal, that the Department had a statutory duty to comply with the court-ordered evaluation. Rather than contest the Department’s position concerning its responsibility to provide the evaluation, defendant made the conscious, voluntary choice to forego the evaluation, in the hope that the court would follow the recommendation of the PSI report. His gamble did not pay off, however, and he now claims that proceeding without the evaluation deprived him of a fair and fully informed sentencing hearing. Based on the facts recounted above, we conclude that defendant waived this argument by voluntarily agreeing to proceed with sentencing without the evaluation. See Johnson v. Zerbst, 304 U.S. 458, 464 (1938) (determining whether waiver is knowing, intelligent, and voluntary depends on particular facts and circumstances), overruled on separate grounds by Edwards v. Arizona, 451 U.S. 477 (1981). Not only did defendant consciously elect to go forward without the evaluation, he never suggested that the PSI report was in any way incomplete, inaccurate, or insufficient. Indeed, there is no indication that the trial court possessed inadequate information about defendant’s life, background, family, past conduct, or criminal record to reach a fully informed sentencing decision.

Next, defendant argues that the sentencing court violated' his privilege against self-incrimination — and this Court’s holdings in State v. Cate, 165 Vt. 404, 683 A.2d 1010 (1996), and State v. Loveland, 165 Vt. 418, 684 A.2d 272 (1996) — by insisting that he retract his trial testimony as a condition of granting him probation. In Cate, the defendant challenged a probation condition requiring him to sign an acknowledgment of responsibility for sexually assaulting the victim. We held that a defendant cannot be forced to incriminate himself by admitting criminal responsibility as a condition of probation unless he first received immunity from any future criminal prosecution stemming from the admission. Cate, 165 Vt. at 415, 417, 683 A.2d at 1018, 1019. We further held that if the prosecutor did not eliminate the risk of future prosecution derived from statements required for successful completion of rehabilitative probation, judicial use immunity would make such state[615]*615mente inadmissible against the probationer at any subsequent criminal trial. Id. at 417, 683 A.2d at 1019. In Loveland, 165 Vt. at 426-27, 684 A.2d at 278-79, we acknowledged that Cate dealt with a very narrow situation, but nevertheless extended its holding to apply to statements made by sex offenders at sentencing. We concluded that if such statements were required for successful completion of probation, they would be inadmissible at any subsequent criminal proceeding. Id. at 427, 684 A.2d at 278. In that case, we remanded the matter for resentencing because the defendant’s desire to protect his privilege against seE-incrimination may have deterred him from making a statement at his sentencing hearing concerning his willingness to accept responsibility for his crime and thus successfully engage in a probationary sex offender treatment program. Id. at 427, 684 A.2d at 279.

Here, defendant stated at his sentencing hearing that he was not in denial with respect to his conduct toward his girlfriend. When the court asked defendant to clarify what he meant when he said he was not in denial about what had happened, defendant’s response made it clear that he was not changing his claim, made at trial, that he had acted in self-defense. Indeed, defendant went on to describe his girEriend as “abusive” toward him, acknowledging only that he should have walked away from the situation. In rendering its sentence, the trial court noted that defendant would not be a good candidate for a rehabilitative program because of his. continuing denial of any criminal responsibility for the assault on his girEriend.

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Related

Johnson v. Zerbst
304 U.S. 458 (Supreme Court, 1938)
Edwards v. Arizona
451 U.S. 477 (Supreme Court, 1981)
State v. Ruud
465 A.2d 1377 (Supreme Court of Vermont, 1983)
State v. Cate
683 A.2d 1010 (Supreme Court of Vermont, 1996)
State v. Kreth
553 A.2d 554 (Supreme Court of Vermont, 1988)
State v. Gorbea
726 A.2d 68 (Supreme Court of Vermont, 1999)
State v. Loveland
684 A.2d 272 (Supreme Court of Vermont, 1996)
State v. Roy
557 A.2d 884 (Supreme Court of Vermont, 1989)

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Bluebook (online)
783 A.2d 957, 172 Vt. 613, 2001 Vt. LEXIS 276, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-hayes-vt-2001.