Christapher Batchelor v. State of Indiana
Christapher Batchelor v. State of Indiana
Opinion
The purpose of a jury instruction "is to inform the jury of the law applicable to the facts without misleading the jury and to enable it to comprehend the case clearly and arrive at a just, fair, and correct verdict."
Campbell v. State
,
Facts and Procedural History
On a rainy, mid-December evening, Clay County Deputy Sheriff James Switzer noticed Christapher Batchelor driving without a seatbelt. As the deputy approached him from behind at a four-way stop, Batchelor reached over to fasten his seatbelt before signaling and turning left. The deputy, driving in a marked police cruiser, then activated his emergency lights. But Batchelor failed to immediately stop. For the next minute and thirty-eight seconds, Batchelor passed a gas station and wound his way through a well-lit residential area at about thirty-five miles per hour, making complete stops at two intersections and passing several illuminated side streets along the way. Even as other vehicles came to a stop during this low-speed pursuit, and despite the piercing ring of the deputy's siren, Batchelor simply kept driving. When the deputy directed his LED spotlight onto the truck's side and rearview mirrors, Batchelor finally pulled over into a gravel parking spot on the side of the road.
As Batchelor exited his truck, the deputy ordered him to the ground. Batchelor initially complied. But as the deputy approached to arrest him, he resisted, and a struggle ensued. It took two more backup officers to finally subdue Batchelor. In the end, the deputy injured his ankle, one of the back-up officers jammed his finger, and another received a black eye.
The State charged Batchelor with three crimes: Level-6 felony resisting law enforcement by fleeing, Level-6 felony battery on a police officer, and Class-A misdemeanor resisting arrest. See Indiana Code §§ 35-44.1-3-1(a)(3), (b)(1)(A) (2014) (felony resisting); I.C. §§ 35-42-2-1(b)(1), (d)(2) (2014) (felony battery); I.C. § 35-44.1-3-1(a)(1) (2014) (misdemeanor resisting).
At the conclusion of evidence at trial, the State proposed several jury instructions,
including one which defined the act of fleeing, as that term applied to the felony-resisting charge. Under that instruction-Instruction 22-a person "flees" when he or she "attempts to escape from law enforcement or attempts to unnecessarily prolong the time before the person must stop." App. Vol. III, p.71. Instruction 22 also required the State to prove beyond a reasonable doubt that the "defendant acted with the intent to escape" or, in the alternative, that a "reasonable driver in the Defendant's position" would have stopped sooner.
After summarizing all proposed final jury instructions, the trial court asked the parties, "We good?" Tr. Vol. III, p.98. Defense counsel responded "Yeah" while the prosecution replied with "No objection."
In his closing arguments, Batchelor claimed that he had not attempted to flee, as there was no high-speed chase, it was dark, it was raining, and the gravel parking spot where he stopped was "a good and safe place to pull over." Tr. Vol. III, pp. 108-09. He also argued self-defense, claiming the deputy had used unlawful force in subduing him. But the State argued that Batchelor was fleeing, citing the numerous places he could have stopped, the well-lit streets, and the lack of evidence supporting a reasonable safety concern.
Following deliberations, the jury found Batchelor guilty on all counts and the trial court entered judgment of conviction. Batchelor appealed, arguing that Instruction 22 expanded the definition of fleeing, which invaded the province of the jury and diminished the State's burden of proof.
In a unanimous opinion, our Court of Appeals reversed the felony-resisting conviction while affirming all other convictions.
Batchelor v. State
,
We granted the State's petition to transfer and now address Batchelor's claim of instructional error as it relates to his felony-resisting conviction. Because he fails to explain how this error affected his felony-battery and misdemeanor-resisting convictions, we summarily affirm those convictions.
Standard of Review
We generally review a trial court's jury instruction for an abuse of discretion.
Kane v. State
,
Discussion and Decision
A person commits the crime of resisting law enforcement, a Level 6 felony, when that person, using a vehicle, "knowingly or intentionally ... flees from a law enforcement officer" after that officer has, "by visible or audible means, including operation of [a] siren or emergency lights, identified himself or herself and ordered the person to stop." I.C. § 35-44.1-3-1.
Although the felony-resisting statute offers no definition of the term "flees," our Court of Appeals offered some guidance in
Cowans v. State
,
Based on this conclusion, the Cowans panel determined that a defendant charged with resisting would be entitled to a jury instruction defining the word "flee." Id. at 545-46. This definition, the panel opined, should explain "that if a reasonable driver in the defendant's position would have felt unsafe to come to an immediate halt, and if the defendant took reasonable steps to increase the safety of the stop without unnecessarily prolonging the process, then the defendant was not fleeing." Id. at 546.
Instruction 22 tracks this language from Cowans :
A person who fails to stop his vehicle promptly "flees" law enforcement when the person attempts to escape from law enforcement or attempts to unnecessarily prolong the time before the person must stop . It is an issue in this case whether the Defendant attempted to escape or unnecessarily prolonged the time before stopping. The burden is on the State to prove beyond a reasonable doubt that:
(1) The defendant acted with the intent to escape, or
(2) A reasonable driver in the Defendant's position would not have felt unsafe under the facts of this case to come to an immediate halt , or
(3) [I]f a reasonable driver in the Defendant's position would have felt unsafe to come to an immediate halt , the driver would have come to a halt sooner .
App. Vol. III, p.71. (bold emphases added.)
Batchelor argues that, by using a civil negligence standard to establish criminal culpability, Instruction 22 relieves the State of its burden to prove, under the felony-resisting statute, that he knowingly or intentionally fled. Permitting the jury to convict on a lesser mens rea , he insists, violates due process and conflicts with "well-established precedent" holding that similar instructional defects amount to fundamental error. Resp. to Pet. to Trans. at 6. Batchelor also contends that, by expanding the statutory definition of fleeing, Instruction 22 invades the province of the jury in violation of article 1, section 19 of the Indiana Constitution. He specifically faults the instruction for inviting the jury to focus on whether "reasonable" safety concerns justified his actions, thus minimizing other relevant factors, like the speed at which he drove or the complete stops he made at intersections.
The State counters that Batchelor invited the alleged instructional error, thus precluding appellate review. On the merits, the State argues that the trial court committed no fundamental error because the instruction embodies an accurate statement of law approved by Court of Appeals precedent. What's more, the State insists, the trial court's general instructions properly informed the jury on all elements of the offense, thus curing any defect in the challenged instruction.
I. With no evidence of strategic maneuvering at trial, Batchelor did not invite the alleged instructional error.
We first address the State's argument that Batchelor invited the trial court's alleged instructional error. Initially, we observe that the State potentially waived this argument, having raised it for the first time in its petition for rehearing in the Court of Appeals.
1
See
Young v. State
,
A party's failure to object to, and thus preserve, an alleged trial error results in waiver of that claim on appeal.
Durden v. State
,
Here, both parties recognize that Batchelor never objected to the instruction he now challenges. 3 But the State seeks to characterize this procedural default as an affirmative action fatal to Batchelor's claim of fundamental error. By insisting that Batchelor "explicitly had no objection to the instruction when proposed" and that he "affirmatively accepted the jury instructions as a whole," State's Reply Br. on Trans. at 4, the State seeks to blur-if not collapse-the distinction between waiver and invited error, precluding review under either doctrine.
We recognize that our appellate courts have struggled in defining the doctrinal parameters of waiver and invited error, leading occasionally to inconsistent application.
Compare, e.g.
,
Gamble v. State
,
This language first appeared over seventy years ago in
Armstrong v. Presslor
,
Over time, our invited-error doctrine expanded to foreclose even constitutional claims.
6
See, e.g.
,
Brewington
,
But throughout the doctrine's history, we have consistently required something more than mere "neglect" before applying the automatic rule of preclusion: evidence of counsel's strategic maneuvering at trial. Indeed, this Court has long held that the "policy behind" the doctrine is to prohibit a party, privy to an "erroneous action of the
court," from alleging "prejudicial error" following an adverse decision.
Barton v. State
,
In reaffirming this precedent, we emphasize today that, to establish invited error, there must be some evidence that the error resulted from the appellant's affirmative actions as part of a deliberate, "well-informed" trial strategy.
See
Brewington
,
To be sure, cases often arise when either the source of the error or counsel's motives at trial are less than clear. And appellate courts should exercise their judgment in deciding the issue. But when a careful reading of the record fails to disclose enough information, courts should resolve any doubts
against
a finding of invited error rather than engage in speculation. Although this may seem contrary to principles of finality and judicial economy, we believe the opposite is often true. Defendants still carry a heavy burden in meeting the high standard of fundamental error, so there is little to no threat of multiple reversals. And when "the procedural posture of the claim is caused by counsel's failure to object at trial," we can often preempt the defendant's ineffective-assistance-of-counsel challenge on post-conviction review by considering a claim of fundamental error on direct appeal.
Brewington
,
For these reasons, we agree that, "[u]nder the State's broad interpretation of the invited error doctrine, a defendant will almost always invite error rather than waive it." Resp. to Pet. to Trans. at 10. Indeed, the State, not Batchelor, tendered and relied on the challenged instruction at trial.
7
And we find nothing in the record-and
the State cites no evidence-showing that Batchelor made an "active" or "affirmative" request for this instruction, let alone that he intended to exploit it as a deliberate trial strategy.
Cf.
Durden
,
We now proceed to the merits of this case.
II. The challenged instruction resulted in no fundamental error.
Having concluded that Batchelor did not invite the alleged instructional error, we now review his claim for fundamental error, as he failed to object to the tendered instruction at trial. An error is fundamental if it "made a fair trial impossible" or if it clearly and blatantly violated basic principles of due process resulting in "undeniable and substantial potential for harm."
Durden
,
A. Instruction 22 misstated the mens rea and potentially misled the jury as an incorrect statement of law.
To convict under the felony-resisting statute, as noted above, the State must prove beyond a reasonable doubt that the defendant "knowingly or intentionally" fled from a law-enforcement officer after that officer has identified himself and ordered the defendant to stop. I.C. § 35-44.1-3-1. Instruction 22 falls short of this requirement in two ways.
First, by suggesting that the State need only prove the intent to flee based on what a "reasonable driver" would have done, the challenged instruction impermissibly uses a civil negligence standard to establish criminal culpability. To give "concrete substance for the presumption of innocence," due process requires the State to persuade the factfinder "beyond a reasonable doubt of every fact necessary to constitute the crime charged."
In re Winship
,
By predicating liability on what a "reasonable driver" considers safe or unsafe, Instruction 22 effectively "reduces culpability on the all-important element of the crime to negligence."
Second, Instruction 22 threatened to mislead the jury as an incorrect statement of law. By emphasizing a factual scenario beyond the statutory definition of fleeing-whether "reasonable" safety concerns justified Batchelor's delay in stopping-Instruction 22 minimized other potentially relevant evidence for the jury to consider (e.g., driving speed or complete stops at intersections).
The Indiana Constitution protects the jury's discretion in weighing all the evidence presented at trial. Ind. Const. art. 1, sec. 19 (protecting the jury's right in all criminal trials "to determine the law and the facts"). Instructions that emphasize certain facts while ignoring others can be misleading and invade the jury's province.
See
Ludy v. State
,
Because nothing in the resisting statute defines fleeing as unnecessarily delaying a stop without a reasonable safety concern, Instruction 22 threatened to invade the jury's province to decide the law and the facts.
See
Ind. Const. art. 1, sec. 19 ;
Keller v. State
,
B. The jury charge provided adequate instructions on the correct statutory elements and standard of proof.
Instruction 22, standing alone, threatened to relieve the State of its burden to prove that Batchelor "knowingly or intentionally" fled. But the jury, of course, heard not one but multiple instructions. And the trial court expressly directed the jury "to consider all instructions together," not to "single out any certain sentence or any individual point or instruction and ignore the others." App. Vol. II, p.118; Tr. Vol. II, p.225. So, we now look to those instructions to determine whether the jury received adequate information on the correct statutory elements and standard of proof.
See
Ramsey v. State
,
We first observe that the trial court, in both its preliminary and final instructions, read to the jury the charging information which contained the correct mens rea -that "Batchelor did knowingly or intentionally flee from ... a law enforcement officer." App. Vol. II, p.119; Tr. Vol. II, p.225; Tr. Vol. III, p.122.
The court, in both its preliminary and final jury charges, also gave a comprehensive instruction on the felony-resisting offense.
This instruction, virtually identical to Pattern Criminal Jury Instruction 5.3040, enumerates each element of the crime on which the State carried the requisite burden of proof.
8
See
1 Ind. Pattern Jury Instructions: Criminal
§
5.3040 (4th ed. 2018). These "elements" instructions "provide a jury with a roadmap to guide decision-making" and are "particularly vital to a jury's ability to understand and apply the law to the facts."
LaPorte Cmty. Sch. Corp. v. Rosales
,
Preliminary Instructions 9 and 10 emphasized the State's burden, noting that "the State must prove the defendant guilty of each element of the crime charged, beyond a reasonable doubt" and that it "is not enough for the State to show that the Defendant is probably guilty." Tr. Vol. II, pp. 228-29. The trial court repeated this directive to the jury in its final instructions, preceded by a definition of the terms "knowingly" and "intentionally." Tr. Vol. III, p.126. Notably, the jury received no similar instruction defining the term "negligently." And the lack of elaboration on this concept "made it even less likely that the jury was focused on it."
Benefield v. State
,
To the extent that Instruction 22 invaded the province of the jury by minimizing potentially relevant evidence of Batchelor's intent to flee, we point to Preliminary Instruction 2 and Final Instruction 1: "Under the Constitution of Indiana, [the jury has] a right to determine both the law and the facts." Tr. Vol. II, p.224; Tr. Vol. III, p.121. Following this directive, the court informed the jurors that they were "the exclusive judges of the evidence." Tr. Vol. II, p.229; Tr. Vol. III, p.129. The court further directed the jury to weigh and consider "all the evidence" in deciding Batchelor's guilt, and that the "quantity of evidence ... need not control [their] determination of the truth." Tr. Vol. II, pp. 229, 230; Tr. Vol. III, pp. 127, 130.
Finally, we note that, while the State highlighted Instruction 22 in its closing arguments, the court expressly told the jury that these "statements" or "arguments are not evidence." Tr. Vol. II, p.231; Tr. Vol. III, p.130. And to the extent that the jury ignored this instruction, we point out that Batchelor himself argued in closing that the spot where he finally stopped was "a good and safe place to pull over." Tr. Vol. III, p.109.
Given this context, we find the jury charge as a whole sufficiently informed the jury of the proper
mens rea
which the State was required to prove beyond a reasonable doubt.
See
Ramsey
,
C. The instructional defect was harmless.
Even if Batchelor had objected to Instruction 22 at trial, we conclude that his conviction was "clearly sustained by the evidence and the jury could not properly have found otherwise."
Dill v. State
,
Here, the State presented uncontroverted evidence showing that Batchelor knowingly fled. After ignoring the officer's emergency lights and siren, Batchelor continued driving for a minute and thirty-eight seconds through a quiet residential area. Even as other vehicles came to a stop during this low-speed pursuit, Batchelor passed several well-lit spots and side streets where he could have parked his truck. He then demonstrated his intention not to comply with law enforcement by fighting and injuring several officers. Rather than reveal Batchelor had acted with simple negligence, the evidence-presented to the jury from the deputy's dashcam video-overwhelmingly shows that he knowingly fled from law enforcement officers.
This evidence, albeit circumstantial, was sufficient for the jury to have found the knowledge element of the crime proven beyond a reasonable doubt
and
sufficient enough to overcome the presumption of prejudice that applies to our analysis of jury instructions for harmless error.
Cf.
Kane
,
III. Because of its potential to mislead the jury, we expressly disapprove of the Cowans instruction.
The purpose of a jury instruction "is to inform the jury of the law applicable to the facts without misleading the jury and to enable it to comprehend the case
clearly
and arrive at a just, fair, and correct verdict."
Campbell
,
As dicta, the
Cowans
opinion had no binding effect on the trial court here.
See
Koske v. Townsend Eng'g Co.
,
We understand the State's concern that this "places trial courts in an untenable situation." Pet. to Trans. at 9. Indeed, trial court judges speak to not one but two audiences in giving instructions-the jury itself and the appellate courts-with the latter often receiving priority to avoid reversal. Fred H. Cate & Newton N. Minow,
Communicating with Juries
,
Going forward, trial courts should use Indiana Pattern Criminal Jury Instruction 5.3040 for the resisting-by-fleeing offense. 11 And while counsel may argue that a defendant's actions are reasonable or unreasonable, it's ultimately for the jury to decide whether there's evidence of knowing or intentional fleeing under the statute. 12
Conclusion
For the reasons specified above, we affirm the trial court's conviction of Batchelor for felony resisting. And because he fails to explain how the instructional error affected his felony-battery and misdemeanor-resisting convictions, we summarily affirm those convictions.
Rush, C.J., and David, Slaughter, and Goff, JJ., concur.
Compare
State's Br. of Appellee at 10 ("Batchelor failed to object to the jury instruction he now challenges, and he has waived his claim as a result. Therefore, any alleged error can only be reviewed for fundamental error.") (internal citation omitted)
with
State's Pet. for R'hrg at 5 (arguing that, when, as here, "a defendant does not object at trial, it cannot be fundamental error if there is a legitimate strategic reason for not objecting") (citing
Brewington v. State
,
We classify alleged errors as structural, fundamental, or harmless. For a discussion of these error doctrines and the scope of appellate review they embrace, see
Durden v. State
,
Initially, the State argued that Batchelor's counsel responded with "No objection." State's Pet. to Trans. at 6. But the State later conceded that it "misattributed the 'no objection' statement to Batchelor's counsel," while still arguing that Batchelor never raised an objection to the jury instructions as a whole. State's Reply Br. on Trans. at 4.
Waiver is a form of procedural default or a forfeiture of rights.
Bunch v. State
,
We can trace the invited-error doctrine back to the mid-nineteenth century, but even then, the Court considered the degree of potential harm before declining review.
See
Billingsley v. Groves
,
Our courts have applied some limits to the invited-error doctrine.
See, e.g.
,
Miles v. State
,
It's unclear from the record whether the State even mentioned the instruction's provenance. The transcript is devoid of reference to Cowans or Woodward . And while several of the State's proposed instructions cite either the applicable statute or supporting precedent, there is no citation to a source for the challenged instruction. The final instructions given to the jury likewise contain no authority, apart from a single reference to a state constitutional provision.
Indiana Pattern Criminal Jury Instruction 5.3040 delineates the category of offense-from Class A misdemeanor to Level 2 felony-to parallel the resisting-by-fleeing statute. Here, the Court of Appeals tailored the Pattern Instruction to reflect the Level-6 felony charge:
The crime of Resisting Law Enforcement is defined by law as follows:
A person who knowingly or intentionally flees from a law enforcement officer after the officer has, by visible or audible means, including the operation of the law enforcement officer's siren or emergency lights, identified himself and ordered the person to stop, commits Resisting Law Enforcement, a Class A Misdemeanor. The offense is a Level 6 Felony if the person uses a vehicle to commit it.
Before you may convict the Defendant, the State must have proved each of the following beyond a reasonable doubt:
1. The Defendant;
2. Knowingly or intentionally;
3. Fled from Deputy James A. Switzer, a law enforcement officer;
4. After Deputy James A. Switzer had, by visible or audible means, including the operation of the law enforcement officer's siren and/or emergency lights, identified himself and ordered the Defendant to stop; and
5. The Defendant used a vehicle to commit the offense.
If the State failed to prove each of these elements beyond a reasonable doubt, you must find the Defendant not guilty of Resisting Law Enforcement, a Level 6 felony, as charged in Count 1.
App. Vol. III, p.55.
Even the State, at oral argument, conceded that the challenged "instruction is more complex than it needs to be." Oral Arg. Video Tr. at 26:59-27:01. Indeed, its use in this case led one panel of the Court of Appeals to find fundamental error when the trial court applied another panel's advisory dicta and used the Cowans instruction.
The parties in Cowans did not seek transfer.
See, e.g. , infra , n.8.
Because Batchelor fails to articulate his mandatory-presumption argument on transfer (focusing instead on the impermissible civil negligence standard in establishing the
mens rea
), we decline to address that argument. Even if we were to analyze that claim, Instruction 22 is not "cast in the language of command" as prohibited by the Due Process Clause of the Fourteenth Amendment.
Francis v. Franklin
,
Reference
- Full Case Name
- Christapher BATCHELOR, Appellant (Defendant) v. STATE of Indiana, Appellee (Plaintiff)
- Cited By
- 52 cases
- Status
- Published