People v. Drake
People v. Drake
Opinion
*115 *3 ¶ 1 Following a bench trial in the Cook County circuit court, defendant Gerald Drake was convicted of the aggravated battery of his six-year old stepson, J.H., and sentenced to 20 years in the Illinois Department of Corrections (IDOC). On appeal, defendant contends that (1) the State failed to prove beyond a reasonable doubt that he intentionally immersed J.H. in hot water where no eyewitnesses testified and unrebutted evidence shows that the hot and cold water lines were reversed in the bathtub in which J.H. sustained his burns; (2) the trial court erred in allowing nurse Rosalina Roxas to testify to J.H.'s statement identifying him as the person who poured hot water on him where it was not pertinent to his medical diagnosis and treatment and, therefore, inadmissible under the common-law exception to the hearsay rule; (3) this court should remand for a Krankel inquiry where he argued trial counsel's ineffectiveness for failing to put on evidence of J.H.'s mental disability and J.H.'s statement in which he did not implicate defendant, yet the trial court failed to investigate the claims; and (4) his 20-year sentence was excessive, and this court should impose a sentence closer to the minimum or, alternatively, remand for a new sentencing hearing.
¶ 2 For the following reasons, we reverse.
¶ 3 BACKGROUND
¶ 4 The State's evidence at trial established that defendant lived with his wife and their nine children, including J.H. While his wife was at work on July 29, 2008, defendant was home taking care of the children, who ranged in age from infancy to 12 years old. While defendant was at home with the children, J.H. sustained second-and third-degree burns on his buttocks, genital region, and both feet up to his ankles.
¶ 5 Retired registered nurse Rosalina Roxas testified on direct examination that she treated J.H. for his burns at John H. Stroger, Jr., Hospital (Stroger Hospital). She testified that on August 8, 2008, when she entered his room, J.H. said "nurse, I'm going to tell you something." J.H. then told her that defendant poured hot water on him while he was in the tub. J.H. indicated that he had not done anything to upset defendant. No one else was in the room. On cross-examination, she again confirmed that J.H. told her that his father poured a cup of hot water on his buttocks while he was in the tub, but she further testified that she never asked how large the cup was nor did she ever see or speak to anyone from J.H.'s family.
¶ 6 The State also presented the expert testimony of Dr. Marjorie Fujara, a specialist in child abuse pediatrics at Stroger Hospital. She examined J.H. on July 30, 2008, and stated that, in her professional opinion, J.H.'s injuries were the result of forcible immersion, indicative of child abuse. She indicated that the injuries were not consistent with water being poured on J.H., contrary to the statement testified to by Nurse Roxas. Dr. Fujara also stated that her opinion would not change even if she knew that the hot and cold water knobs had been switched. She further stated that all of J.H.'s siblings were examined and none of them had burns or indications of abuse. Dr. Fujara also never spoke with any of J.H.'s family members.
¶ 7 Finally, retired Illinois Department of Children and Family Services (DCFS) investigator Thomas White, who investigated *4 *116 the case in 2008, testified that he interviewed defendant at the family home on August 3, 2008, and defendant denied that he injured the child. Defendant indicated that on the date of the injuries, his wife, J.H.'s mother, was at work and he was caring for their eight or nine children at home (White could not recall the exact number because so much time had passed), who ranged in age from infancy to 12 years old. Investigator White concluded that defendant was overwhelmed, although defendant himself never used that word. On the date J.H. sustained his injuries, the baby defecated in his diaper, some of which ended up on the floor, during which time J.H. and another sibling were wrestling and got into the feces on the floor. After seeing them with feces on themselves, defendant told them to go and take a bath. When his wife came home from work that evening, the other kids told her that J.H.'s feet were peeling. Defendant and his wife took J.H. to the hospital, with defendant carrying him inside. Defendant admitted to Investigator White that, once they arrived at the hospital, he used the name "Joe Campbell," stated that he was the child's uncle, and made up a story as to the child's location at the time of injury. When Investigator White interviewed the other children, he did not observe any signs or symptoms of abuse and they "[s]eemed appropriately adjusted."
¶ 8 On cross-examination, Investigator White testified that defendant indicated that he was not angered at the time he sent J.H. to take a bath. Defendant told him that a new water tank was installed by the landlord and that the hot and cold water lines were reversed. White checked the temperature coming out of the spigot when the cold water knob was turned on, and the temperature rose "rapidly" to 161 degrees. When White went to the basement to examine the water tank, he discovered that the hot and cold water pipes had been installed backwards on the new tank.
¶ 9 The defense rested without making a motion for directed finding or presenting any evidence.
¶ 10 The State argued in closing that defendant intentionally held J.H. under hot bath water. Defense counsel argued that J.H. was accidentally burned in the tub while defendant was not present in the bathroom. Additionally, defense counsel argued that the State presented no evidence to support its theories besides the injuries themselves and that no witness, including any of the other children present in the house at the time, testified as to the events of the day. 1
¶ 11 At the conclusion of the bench trial, the trial court found defendant guilty of aggravated battery, citing two grounds in particular. First, the trial court observed: "There is scientific evidence where a reasonable inference can be made that in fact the defendant, who was the caregiver or caretaker of these eight children while mother was at work, in charge caused these injuries." Second, the trial court found, after considering all the evidence: "It's consciousness of guilt because defendant took off, also the fictitious name that he used when he went to the hospital * * *." The trial court's finding referred to the fact that, on November 29, 2011, defendant failed to appear for a court date and a bench warrant was issued for his arrest. 2
*117 *5 ¶ 12 On May 21, 2014, several weeks after trial but prior to sentencing, defendant filed a pro se motion titled "Motion-To-Appeal-An-Unfair-Trial," in which he claimed that his trial counsel was ineffective. Defendant filed this pro se motion with the clerk of the Appellate Court, First District, who forwarded it to the circuit court clerk. On June 26, 2014, which was almost a month prior to sentencing, the trial court entered an order that denied defendant's pro se motion and treated it instead as an interlocutory notice of appeal.
¶ 13 On July 22, 2014, the trial court denied a posttrial motion for a new trial filed by defendant's counsel. In this posttrial motion, defendant reasserted a claim that the trial court had previously denied, namely, that this case was barred on res judicata grounds because in a prior abuse and neglect case filed by the State against defendant and his wife based on the same incident, the State had failed to prove its case by clear and convincing evidence. Defendant also claimed that the evidence was insufficient to prove him guilty of aggravated battery of a child and that the trial court erred by admitting the nurse's statement pursuant to the hearsay exception for medical statements.
¶ 14 After denying the posttrial motion, the trial court sentenced defendant to 22 years in the IDOC. A discussion ensued as to whether the sentence was to be served at 85% or 50%. The trial court then ordered, "22 years IDOC plus three years mandatory supervised release at 50 percent."
¶ 15 After sentencing defendant on the aggravated battery charge, the trial court then proceeded to a sentencing hearing on another outstanding charge. Defendant had previously pleaded guilty to a charge of driving a motor vehicle while his license was suspended or revoked. The trial court sentenced him on this second charge to one year in the custody of the IDOC to be served consecutively to the aggravated battery sentence.
¶ 16 On July 24, 2014, the State filed a "Petition for Relief from Judgment," arguing that defendant's aggravated battery sentence was a void judgment because it had to be served at 85%, not at 50%, as the trial court ordered. At the hearing on the petition on August 6, 2014, the State requested that the trial court resentence defendant. The trial court stated: "I didn't make any specific findings on the record, I don't think, because I didn't write anything down, I just said 22 years." Defense counsel argued that defendant "would have essentially served 11 years" with the IDOC and, thus, the trial court should now sentence defendant to "14 years at 85 percent." The trial court responded, "My sentence was 22 years and I wasn't considering whether or not it was going to be 50 or 85 percent." 3 The court then ruled that it "will re-sentence the defendant to a term of 20 years I.D.O.C. plus 3 years MSR at 85 percent."
¶ 17 On August 8, 2014, defendant again filed his pro se motion titled "Motion-To-Appeal-An-Unfair-Trial-Factors-That-My-Attorney-Did not-Argue-in-Trial On-Defendant-Behalf." In this motion, defendant claimed that his attorney did not "do a good job" because he failed to argue that the victim had suffered from mental health issues since he was a toddler and had attended "mentally retarded schools all his *118 *6 life." Defendant claimed that all of J.H.'s teachers had stated on school reports that "he thinks slower than normal kids" and that J.H.'s mental issues played a large role in his injuries. Defendant argued that if it took only one or two seconds to become burned at 160 degrees, J.H.'s reaction time is a lot slower than a normal child and that was why it "took him longer than a normal kid * * * to get out." Defendant also claimed that his attorney failed to present expert testimony by a plumber about the broken water tank. His attorney also failed to argue that J.H. spoke to a DCFS case worker, a physician, and a detective and never told any of them that defendant held him in the tub. Defendant further claimed that his attorney also failed to explain that defendant had a history of using fake names because he had an outstanding warrant for driving with a revoked license. Also, defendant did not want to initially turn himself in because his family had fallen behind on the rent and other bills and he wanted to pay off these bills first.
¶ 18 The trial court docketed this pro se motion as a notice of appeal, and no other notice of appeal was filed. This appeal followed.
¶ 19 ANALYSIS
¶ 20 As previously stated, defendant makes a number of arguments on appeal. Specifically, he contends that (1) the State failed to prove beyond a reasonable doubt that he intentionally immersed J.H. in hot water, where no eyewitnesses testified and unrebutted evidence shows that the hot and cold water lines were reversed in the bathtub in which J.H. sustained his burns; (2) the trial court erred in allowing Nurse Roxas to testify to J.H.'s statement identifying him as the person who poured hot water on him where it was not pertinent to his medical diagnosis and treatment and, therefore, inadmissible under the common-law exception to the hearsay rule; (3) this court should remand for a Krankel inquiry where defendant argued trial counsel's ineffectiveness for failing to put on evidence of J.H.'s mental disability and J.H.'s statement in which he did not implicate defendant, yet the trial court failed to investigate the claims; and (4) his 20-year sentence was excessive and this court should impose a sentence closer to the minimum or alternatively, remand for a new sentencing hearing.
¶ 21 1. Hearsay Rule Violation
¶ 22 Defendant contends the trial court violated Illinois Rule of Evidence 803(4) (eff. Apr. 26, 2012) when the trial court admitted, as a statement "made for purposes of medical treatment," a hearsay statement by J.H. to Nurse Roxas concerning the identity of the alleged perpetrator.
¶ 23 The parties dispute the proper standard of review for this issue. The State argues that this issue should be considered under an abuse of discretion standard, while defendant contends that it is a question of law and should be reviewed de novo .
¶ 24 Illinois recognizes the common-law exception to the hearsay rule for statements made by a patient to medical personnel for the purpose of medical diagnosis and treatment.
People v. Oehrke
,
¶ 25 In the case at bar, we find that the identification statement made by J.H. to Nurse Roxas was not made to assist in his medical diagnosis or treatment. The statement was made more than a week after J.H. had been admitted to the hospital, and treatment of his injuries had already commenced. While we are mindful that such statement would be cause for concern to a medical professional, this court has found that "concern never has been held by any Illinois court to support the medical diagnosis and/or treatment exception to the rule against hearsay."
Oehrke
,
¶ 26 This does not end our review, however. We must now address the question of whether the trial court's admission of J.H.'s statements to Nurse Roxas identifying defendant was harmless error.
Oehrke
,
¶ 27 Courts consider three factors in determining whether an error was harmless: (1) whether the error contributed to the conviction, (2) whether the other evidence in the case overwhelmingly supported the conviction, and (3) whether the improperly admitted evidence was cumulative or duplicative of the properly admitted evidence.
Littleton
,
¶ 28 Here, J.H.'s statement to Nurse Roxas was the only evidence that placed defendant in the bathroom where the injury occurred. Thus, the statement was not cumulative of any other evidence presented at trial. See
Littleton
,
¶ 29 Based on the record, we cannot say that " 'the properly admitted evidence was so overwhelming, without the erroneously admitted hearsay statements, that no fair-minded
*8
*120
trier of fact could reasonably have acquitted the defendant.' "
Oehrke
,
¶ 30 2. Sufficiency of the Evidence
¶ 31 A finding that the erroneous admission of hearsay evidence was reversible error does not end our inquiry, however, as defendant also challenges the sufficiency of the evidence. Specifically, defendant contends that the State failed to prove beyond a reasonable doubt that he intentionally immersed J.H. in hot water where no eyewitnesses testified and the unrebutted evidence shows that the hot and cold water lines were reversed in the bathtub in which J.H. sustained his burns.
¶ 32 In this case, because the trial court committed reversible error in admitting hearsay evidence as previously determined, the remedy would ordinarily be a remand for a new trial. See
Littleton
,
¶ 33 The double jeopardy clause provides that no person shall "be subject for the same offense to be twice put in jeopardy of life or limb." U.S. Const., amends. V, XIV. The Illinois Constitution ( Ill. Const. 1970, art. I, § 10 ) and Illinois statute ( 720 ILCS 5/3-4(a) (West 2012)) provide similar guarantees
.
People v. Bellmyer
,
¶ 34 When the double jeopardy clause applies, a reviewing court must examine the sufficiency of the evidence prior to a remand for a new trial.
Hernandez
,
¶ 35 When reviewing a challenge to the sufficiency of the evidence, the relevant inquiry is whether, after viewing the evidence in the light most favorable to the State, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt.
People v. Sutherland
,
¶ 36 Here, the State presented evidence that J.H. sustained second-and third-degree burns on his buttocks, genital region, and both feet up to his ankles. Nurse Roxas testified on direct examination that on August 8, 2008, J.H. told her that defendant poured hot water on him while he was in the tub. On cross-examination, she testified that she never asked for any details nor did she ever see or speak to anyone from J.H.'s family.
¶ 37 The State also presented the expert testimony of Dr. Fujara, who examined *121 *9 J.H. on July 30, 2008, and stated that, in her professional opinion, J.H.'s injuries were the result of forcible immersion, indicative of child abuse. She indicated that the injuries were not consistent with water being poured on J.H., contrary to the statement testified to by Nurse Roxas. Dr. Fujara also never spoke with any of J.H.'s family members.
¶ 38 Additionally, retired DCFS investigator White testified that he interviewed defendant at the family home on August 3, 2008, and defendant denied that he injured the child. Defendant indicated that on the date of the injuries, his wife, J.H.'s mother, was at work and he was caring for all of the children at home, who ranged in age from infancy to 12 years old. On the date J.H. sustained his injuries, the baby defecated in his diaper, some of which ended up on the floor, during which time J.H. and another sibling were wrestling and got into the feces on the floor. After seeing them with feces on themselves, defendant told them to go and take a bath. When his wife came home from work that evening, the other kids told her that J.H.'s feet were peeling. Defendant and his wife took J.H. to the hospital, with defendant carrying him inside. Defendant admitted to Investigator White that, once they arrived at the hospital, he used the name "Joe Campbell," stated that he was the child's uncle, and made up a story as to the child's location at the time of injury.
¶ 39 On cross-examination, Investigator White testified that defendant indicated that he was not angered at the time he sent J.H. to take a bath. Defendant told him that there had been a new water tank installed by the landlord and that the hot and cold water lines were reversed. Investigator White verified that the hot water tank's pipes were reversed, and he also learned that the water coming from the tank was 160 degrees as measured by his thermometer.
¶ 40 As previously stated, J.H.'s erroneously admitted hearsay statement was the only piece of evidence placing defendant in the bathroom where the injury occurred. The State provided no other identification evidence, and it is undisputed that there were other people present in the house.
¶ 41 Viewing all of the evidence presented at the trial in the light most favorable to the State, we conclude that the State failed to prove defendant guilty of the essential elements of aggravated battery beyond a reasonable doubt. The double jeopardy clause forbids a second or successive trial for the purpose of affording the prosecution another opportunity to supply evidence it failed to muster in the first proceeding.
People v. Olivera
,
¶ 42 3. Defendant's Other Claims of Error
¶ 43 Since we are reversing defendant's conviction, we do not need to reach defendant's claims concerning a Krankel inquiry or sentencing error.
¶ 44 CONCLUSION
¶ 45 For the foregoing reasons, the judgment of the circuit court of Cook County is reversed.
¶ 46 Reversed.
Justice Lampkin concurred in the judgment and opinion.
Justice Gordon partially concurred and partially dissented in the judgment and opinion.
¶ 47 JUSTICE GORDON, concurring in part and dissenting in part:
*122 *10 ¶ 48 For the following reasons, I concur with the majority's finding that defendant's conviction must be reversed but dissent from the majority's finding that double jeopardy bars a retrial. Thus, I would reverse and remand for further proceedings. In addition, I write separately to discuss arguments and case law not addressed by the majority.
¶ 49 I concur with the majority's finding that the trial court erred in allowing a nurse to testify about J.H.'s statement identifying defendant as the person who poured hot water on him, where it was not pertinent to J.H.'s medical diagnosis and treatment and, therefore, was not admissible under the medical diagnosis and/or treatment exception to the hearsay rule. Ill. R. Evid. 803(4) (eff. Apr. 26, 2012). I agree that the alleged identity of the perpetrator cannot be considered a statement made for the purposes of medical treatment in this particular case.
¶ 50 However, I must write separately on this issue because (1) I disagree with the standard of review applied by the majority and (2) we need to address an argument raised by the State and overlooked by the majority.
¶ 51 While there is no dispute between the parties that the issue was preserved for our review, the State and defendant do dispute the proper standard of review. The State argues, and the majority agrees, that we should apply an abuse-of-discretion standard of review, which normally applies to evidentiary questions. By contrast, defendant argues, and I agree, that whether the hearsay exception applies to the alleged identity of the perpetrator is solely a question of law, which we should review de novo .
¶ 52 While evidentiary rulings are generally within the sound discretion of the trial court,
de novo
review applies to an evidentiary question if that question concerns how to correctly interpret a " 'rule of law.' "
People v. Caffey
,
¶ 53 The question of whether the hearsay exception includes the alleged identity of the perpetrator is solely a question of law, to which we apply
de novo
review. This court previously considered this issue and found that, while a trial court is vested with discretion in determining whether statements made by a victim were reasonably pertinent to the victim's diagnosis or treatment, any statements identifying the offender were "beyond the scope" of the trial court's discretion.
Oehrke
,
¶ 54 The question before us is solely whether the alleged identity of a perpetrator can be considered a statement made for purposes of medical treatment, which is purely a legal question. In the statement at issue, a nurse testified that J.H. told her that "his dad was the one who poured hot water on his buttocks while he was in the tub." However, the admission of most of this statement is not at issue. Defendant does not contest the nurse's ability to testify that hot water was poured on J.H.'s buttocks while in the tub.
E.g.
,
People v. Spicer
,
¶ 55 In support of its argument that we should apply an abuse-of-discretion standard of review to this question, the State cites only one case:
In re Jovan A.
,
¶ 56 Next, we need to address an argument raised by the State and overlooked by the majority. The State argues that the outcome of this case is dictated by the Illinois Supreme Court's opinion in
People v. Falaster
,
¶ 57 While there is a general bar to admitting statements of identification as statements made for the purposes of medical diagnosis or treatment,
4
our supreme court in
*124
*12
Falaster
,
¶ 58 I do concur with the majority's finding that this error was not harmless.
People v. Thompson
,
¶ 59 However, I find that a retrial of defendant does not violate the bar against double jeopardy. See
Oehrke
,
¶ 60 In addition, the majority minimizes the significance of the excluded evidence in its double jeopardy analysis. On the one hand, the majority agrees that this evidence is so compelling that its admission, by itself, is enough to reverse. On the other hand, the majority downplays this evidence of guilt in its double jeopardy analysis. Our supreme court has held: "If the evidence presented at the first trial,
including the improperly admitted evidence
, would have been sufficient for any rational trier of fact to find the essential elements of the crime proven beyond a reasonable doubt, retrial is the proper remedy." (Emphasis added.)
People v. McKown
,
¶ 61 Since I would remand for a new trial and the trial court may permit the same attorney to represent defendant, I believe we must address defendant's
Krankel
claim, which the majority does not discuss. While I recognize the advantages of permitting the same counsel who is already thoroughly familiar with the case to continue with it, I would hold the trial court must first conduct a
Krankel
inquiry, for the reasons and in the manner set forth by our supreme court in
People v. Ayres
,
¶ 62 On this appeal, defendant asked this court to remand for a Krankel inquiry, on the ground that he had filed a pro se posttrial motion that argued that his trial counsel was ineffective for failing to introduce (1) evidence of J.H.'s mental disability and (2) statements by J.H. in which he did not implicate defendant. There is no dispute among the parties that the trial *126 *14 court failed to investigate defendant's claims and failed to conduct any inquiry. Thus, I would remand for a Krankel inquiry, to be conducted before any further proceedings.
¶ 63 For the foregoing reasons, I concur only with the finding that defendant's conviction must be reversed. However, I must dissent because I find that double jeopardy poses no bar to a retrial. Thus, I would remand for further proceedings including, first, a Krankel inquiry.
The incident occurred in July 2008, and the trial occurred in 2014.
On February 28, 2013, defense counsel stated to the trial court that defendant "turned himself in to the police. * * * He said that he wanted to get it over with. So, he told them about the warrant." However, the assistant State's Attorney argued during the State's closing at trial that "he didn't turn himself in." Defense counsel objected but was overruled. The State presented no evidence at trial concerning the circumstances of defendant's 2013 arrest.
The State concedes in its appellate brief that on July 22, 2014, "the trial court determined that defendant's sentence would be served at 50-percent."
See
Oehrke
,
Reference
- Full Case Name
- The PEOPLE of the State of Illinois, Plaintiff-Appellee, v. Gerald DRAKE, Defendant-Appellant.
- Cited By
- 3 cases
- Status
- Unpublished