United States v. Shawn Shaw
Opinion
Appellant Shawn Shaw, a former corrections officer, was convicted by a jury of sexually assaulting a female inmate in violation of
I
In December 2010, E.S. 1 was a pretrial detainee incarcerated at the Essex County Correctional Facility ("ECCF" or "jail") in Newark, New Jersey. Shaw was a correctional officer employed at ECCF. Although Shaw had worked at the jail for five years, he had worked in the women's unit only a handful of times. On December 27 and 28, 2010, Shaw was asked to cover the women's unit alone during the overnight shift from 10:00 p.m. to 6:00 a.m. because the jail was short-staffed due to a snow storm.
When Shaw arrived for his shift, some of the women including E.S. "flashed" him with their buttocks as "sort of a hazing ritual to the new officer in the unit." App. 326. Shaw responded by making sexual comments to E.S., such as asking if he can "hit that," which E.S. understood to be a request to perform sexual acts. App. 327. Shaw also spoke over an intercom connected to the cell that E.S. shared with a cellmate, made explicit sexual advances, and threatened that he was "going to come in there" and "get [her] out of there." App. 329.
Shortly before 3:00 a.m. on December 28, 2010, E.S. awoke to Shaw in her cell. 2 Shaw removed E.S.'s pants, "forced himself on [her]," App. 332, by "[p]ressing down" his hand on her chest so that she was unable to get up, and digitally penetrated her vagina, App. 404. Shaw then removed his own pants and underwear and laid on top of E.S. with the weight of his body. Shaw proceeded to engage in sexual intercourse with E.S. who was unable to move and "felt like [she] couldn't breathe." App. 404. 3
E.S. did not immediately report the incident, but told a male inmate (via hand signals), her mother and her attorney. The male inmate reported the incident to the jail. When confronted, E.S. formally reported the sexual assault. She was examined by a Sexual Assault Nurse Examiner, and was found to have semen on her cervix. The Government later extracted a DNA mixture. An expert for the Government testified at trial that it was "approximately 28.9 million times more likely in the African American population" that E.S. and Shaw were the sources of the mixture, than if E.S. and a "randomly selected unrelated individual" were the sources. App. 610. Shaw is African American.
The Government also introduced electronic records of the cell doors at ECCF. The records established that E.S.'s cell door was opened on the night of the incident at 2:43:41 a.m. and closed at 2:50:39 a.m. The computer that opened the door was "TS 04" and Shaw was logged into TS 04 at that time. No one else logged into TS 04 during Shaw's overnight shift.
Jail investigators also retrieved surveillance videos. Although there was no video of either E.S.'s cell or the TS 04 work station, the videos did show Shaw going on break and returning to the women's unit slightly before the sexual assault. The surveillance videos refuted Shaw's intimation to investigators that he was on break during the incident.
There was, however, a complication in interpreting the video evidence: the surveillance camera clocks were not synchronized with one another or with the clock associated with the cell door records. To synchronize the time stamps ex post , an ECCF maintenance information technician, Delfin Neves, used "arithmetic." App. 153. Neves calculated the "difference" between each surveillance camera clock and the clock for the facility systems. App. 152. 4 He recorded the results in a chart listing the "drift" for each surveillance camera clock. App. 131. 5
Using Neves' chart, an ECCF investigator, Maria Theodoridis, adjusted the time stamps on the videos showing Shaw leaving and returning from break. After her corrections, the video evidence showed that Shaw left for break at 2:31:06 a.m. and returned at 2:37:46 a.m.-a few minutes before E.S.'s cell door was opened at 2:43:41 a.m. 6
On December 31, 2010, Shaw gave a statement to investigators at the Essex County prosecutor's office. Shaw denied making sexual advances to E.S., repeatedly and emphatically denied opening her cell door, and repeatedly denied even entering her cell. Shaw told the investigators that he left the women's unit on his break "at like two thirty, two forty" for "about twenty minutes" and returned "maybe something about ... three o'clock." SA 5.
At trial, Shaw testified consistent with his prior statement. He denied making sexual comments to E.S., denied opening E.S.'s cell door, and denied having sexual intercourse with E.S. Shaw testified that he was on break "[n]o more than 20 minutes," but also agreed that it was more accurate to say that he was "only gone six or seven minutes." App. 764. Shaw also testified that male and female inmates were known to be engaging in sexual intercourse in the ECCF gym.
The jury convicted Shaw of deprivation of civil rights through aggravated sexual abuse,
II
We begin by addressing Shaw's claims related to his conviction for deprivation of civil rights by aggravated sexual abuse,
A
1
A deprivation of civil rights under Section 242 of Title 18 occurs where a defendant "under color of any law, statute, ordinance, regulation, or custom, willfully subjects any person ... to the deprivation of any rights, privileges, or immunities secured or protected by the Constitution or laws of the United States."
Hope v. Pelzer
,
As is relevant here, Section 242 sets forth three statutory maximum sentences. First, the default maximum sentence is "imprison[ment] not more than one year."
In the case before us, the Government charged Shaw with both the base and aggravated violations of Section 242. As to the base offense, Shaw was charged with depriving E.S. of due process through unwanted sexual contact so egregious as to shock the conscience.
See
Lanier
,
Section 242, notably, does not define the term "aggravated sexual abuse."
2
Aggravated sexual abuse under Section 2241(a)"prohibits forced sexual acts against another person."
Lockhart v. United States
, --- U.S. ----,
We read the aggravated sexual abuse statute, Section 2241(a), in contrast to the statute defining the lesser crime of (non-aggravated) sexual abuse,
When read together, Sections 2241(a) and 2242(1) demonstrate Congress's graded approach to criminalizing sexual assault.
11
Aggravated sexual abuse requires the jury to "find that the defendant (1) actually
used force
against the victim
or
(2) that he made a
specific kind
of threat-i.e. that he threatened or placed the victim in fear of death, serious bodily injury, or kidnapping."
Cates
,
3
Other Circuits have further interpreted Section 2241(a)(1) by reference to a House Judiciary Committee Report accompanying the Sexual Abuse Act of 1986.
See
H.B.
,
The House Report provides that for Section 2241(a), "[t]he requirement of force may be satisfied by a showing of [1] the use, or threatened use, of a weapon; [2] the use of such physical force as is sufficient to overcome, restrain, or injure a person; or [3] the use of a threat of harm sufficient to coerce or compel submission by the victim." H. Rep. No. 99-594 at 14 n.54 a (emphasis added). There are two problems, however, with adopting this definition in its entirety.
First and notably, the House Report purports to define something specific-the "requirement of force" for Section 2241(a).
The second problem relates to the statutory text. The House Report defines the "requirement of force" for Section 2241(a) in three ways. The third is "the use of a threat of harm sufficient to coerce or compel submission by the victim."
Id.
at 14 n.54a. But "defining 'force' in this expansive way ... flatly contradict[s] the text of § 2241(a)(1)," which requires actual force.
Cates
,
Moreover, it is not a solution to construe the House Report's third definition as applying to Section 2241(a)(2) instead of Section 2241(a)(1). On its face, Section 2241(a)(2) encompasses only certain threats-of "death, serious bodily injury, or kidnapping."
Indeed, the Government at no point defends the House Report's third definition. Instead, the Government asks us to adopt the second portion of the House Report's definition, defining the "requirement of force" as "the use of such physical force as is sufficient to overcome, restrain, or injure a person." H. Rep. No. 99-594 at 14 n.54 a. The Government relies primarily upon
United States v. Lauck
, in which the Second Circuit quotes only this portion of the House Report's definition.
See
Br. for Appellee 17 (quoting
Lauck
,
B
We turn now to the District Court's jury instructions on the alleged deprivation of civil rights through aggravated sexual abuse,
1
In Shaw's case, the District Court first instructed the jury on the base offense of deprivation of civil rights,
The government alleges that the defendant deprived [E.S.] of the right to bodily integrity by sexually assaulting her. In determining whether the alleged conduct of the defendant constitutes unwanted sexual contact, it is not necessary to find that the defendant used physical force against [E.S.]. Instead, you may consider factors such as the context in which the alleged incident occurred, the relationship between the parties, the relative positions of power and authority between the defendant and [E.S.], the disparity in size between the defendant and [E.S.], and the use of mental coercion .
App. 803-04 (emphasis added).
The District Court later instructed the jury on the aggravated crime of deprivation of civil rights through aggravated sexual abuse,
You may find that the defendant's conduct involved aggravated sexual abuse if you find that he used force during the alleged sexual assault. ... [R]estraint alone can constitute sufficient force to meet the force requirement when a defendant employs a degree of restraint sufficient to prevent an individual from escaping the sexual contact. The disparity in coercive power and size between the defendant and [E.S.] are factors that the jury may consider when determining whether force was utilized .
App. 808-09 (emphasis added).
On appeal, Shaw challenges only the emphasized portion of the charge, in which the District Court instructed the jury that disparities in coercive power and size are "factors" to consider as to aggravated sexual abuse under Section 2241(a)(1). 13 Specifically, Shaw argues that this "disparit[ies]" instruction was strikingly similar to the District Court's earlier instruction on unwanted sexual contact. As such, he argues, the jury instructions collapsed the distinction between the greater and lesser offenses. For the reasons below, we agree.
As to the text of the jury instructions, Shaw correctly notes that the District Court instructed the jury to consider disparities in power and size as "factors" for both a deprivation of civil rights and a deprivation of civil rights through aggravated sexual abuse. App. 803, 808. First,
the District Court instructed the jury to consider "the disparity in size between the defendant and [E.S.], and the use of mental coercion" when determining whether there was unwanted sexual contact. App. 803-04. Second, it instructed the jury to consider "[t]he disparity in coercive power and size between the defendant and [E.S.] ... when determining whether force was utilized" for aggravated sexual abuse. App. 808-09. These instructions together could have "confus[ed] and thereby misle[d]" the jury into believing that non-consent or coerced consent was equivalent to the use of force.
Zehrbach
,
Indeed, the Seventh Circuit recently rejected a similar disparities instruction in
United States v. Cates
,
In reaching this conclusion, we recognize that the Tenth Circuit has adopted the opposite position, upholding a jury instruction that "[f]orce may also be implied from a disparity in coercive power or in size between the defendant and the victim or from the disparity in coercive power, combined with physical restraint."
Holly
,
The disparities instruction approved in
Holly
is based upon the House Report accompanying the Sexual Abuse Act of 1986. As explained above, the House Report provides that the "requirement of force" under Section 2241(a)"may be satisfied by ... the use of such physical force as is sufficient to overcome,
restrain
, or injure a person." H. Rep. No. 99-594 at 14 n.54 a (emphasis added). Applying this definition, an early Eighth Circuit decision held that restraint-and thereby force-could be proven, at least in part, through evidence of size disparities.
See
United States v. Bordeaux
,
2
This does not, however, complete our analysis. Rather, we must "consider the totality of the instructions and not a particular sentence or paragraph in isolation."
United States v. Sussman
,
Although the District Court's disparities instruction could have misled the jury, other portions of the charge adequately distinguished between the lesser and aggravated offenses.
See
United States v. Berrios
,
In contrast, as to the aggravated offense, the District Court explained to the jury that Section 2241(a) requires either "using force against th[e] other person ... [o]r ... placing th[e] other person in fear that any person will be subjected to death, serious bodily injury, or kidnapping." App. 807. Adding clarity, it instructed the jury that Section 2241(a)(1) requires the jury to find that Shaw "used force during the alleged sexual assault," App. 808, and contains a "requirement of force," App. 808.
Thus, upon consideration of the charge as a whole, the instructional error does not warrant overturning the verdict.
See
Mills
,
C
Relatedly, Shaw also challenges the sufficiency of the evidence for a deprivation of civil rights through aggravated sexual abuse,
As stated above, the crime of aggravated sexual abuse occurs where the offender "knowingly causes another person to engage in a sexual act-(1) by using force against that other person; or (2) by threatening or placing that other person in fear that any person will be subjected to death, serious bodily injury, or kidnapping; or attempts to do so."
Shaw argues that the evidence was insufficient to establish that he "us[ed] force against th[e] other person" under Section 2241(a)(1). We disagree. Viewed in the light most favorable to the Government, a rational juror could have found that Shaw used actual force when he "forced himself on [E.S.]," App. 332, by "[p]ressing down" his hand on E.S.'s chest so that she was unable to get up, App. 404, while committing the sexual act of digital penetration, and laid on E.S. with the weight of his body, while having sexual intercourse with her, such that she was unable to move and "felt like [she] couldn't breathe," App. 404. Therefore, Shaw's sufficiency of the evidence claim fails.
III
We now address Shaw's remaining claims: two evidentiary issues and a constitutional speedy trial claim. Each lacks merit.
A
In his first evidentiary claim, Shaw challenges a portion of E.S.'s testimony on redirect examination. Specifically, the District Court permitted E.S. to testify on redirect that she is in therapy in connection with the sexual assault. Shaw objected to this testimony, but the District Court overruled the objection on the ground that Shaw opened the door on cross-examination in two ways: (1) by asking E.S. whether she had "done reasonably well getting [her] life together since this event" and (2) by asking E.S. whether she had told school students during a presentation that the "worst" part of her experience in jail was a fight. App. 369, 375.
We need not determine whether the District Court abused its discretion in allowing E.S. to testify that she is in therapy, as any potential error would be harmless.
See
United States v. Bailey
,
B
In his second evidentiary claim, Shaw argues that the District Court admitted lay opinion testimony in violation of Federal Rule of Evidence 701(c). We review this claim for abuse of discretion.
See
United States v. Hoffecker
,
Citing Rule 701(c), Shaw challenges the District Court's decision to allow an ECCF maintenance information technician, Neves, to testify as a lay witness. Neves testified regarding the ECCF surveillance camera clocks, which were not synchronized. Neves used "arithmetic" to synchronize the cameras' time stamps
ex post
. App. 153. His testimony was based on subtraction, not "scientific, technical, or other specialized knowledge within the scope of Rule 702." Fed. R. Evid. 701(c) ;
see also
United States v. Georgiou
,
C
Finally, Shaw raises a cursory constitutional speedy trial claim. Where, as here, a defendant fails to raise a Sixth Amendment claim in the district court, we review for plain error.
See
United States v. Cotton
,
In assessing a constitutional speedy trial claim, we consider the "[l]ength of delay, the reason for the delay, the defendant's assertion of his right, and prejudice to the defendant."
Barker v. Wingo
,
The first factor, the length of the delay, "trigger[s]" the speedy trial analysis.
Doggett v. United States
,
But rather than argue the
Barker
factors, Shaw merely contends that prejudice can be presumed from the length of the delay.
See
Doggett
,
IV
The judgment of the District Court will be affirmed.
The victim is herein identified only by her initials.
E.S.'s cellmate testified that she remained asleep.
At trial, E.S. testified that she is five feet, five inches tall and one hundred and thirty pounds; she estimated that Shaw is over six feet tall and far heavier than she.
The facilities systems clock is accurate because Neves calibrates it twice a week.
Neves made his calculations a few days after the incident, and so his chart approximated the drift on the night of the incident. One surveillance camera clock was four minutes and forty seconds ahead of the facilities systems clock; another was five minutes and thirteen seconds behind. In short, even though the surveillance cameras were recording simultaneously, they showed a nine minute and fifty-three second difference in time.
If the time stamps had not been corrected, the videos would have shown Shaw returning from break at 2:42:49, a minute before E.S.'s cell door opened at 2:43:41 a.m.
The jury, however, found that the deprivation of civil rights did not result in bodily injury.
See
The District Court had jurisdiction under
Cf.
Kennedy v. Louisiana
,
A "sexual act" includes, in relevant part, "the penetration, however slight, of the anal or genital opening of another by a hand or finger or by any object, with an intent to abuse, humiliate, harass, degrade, or arouse or gratify the sexual desire of any person" or "contact between the penis and the vulva."
The legislative history further supports this reading of the text. Sections 2241 and 2242 were enacted together as part of the Sexual Abuse Act of 1986, Pub. L. No. 99-654,
We need not reach the first portion of the House Report's definition, providing that for Section 2241(a), "[t]he requirement of force may be satisfied by a showing of the use, or threatened use, of a weapon." H. Rep. No. 99-594 at 14 n.54 a.
This opinion should not be read to approve of any portion of the jury instructions not challenged on appeal.
See
Oral Argument at 1:14:53 ("The disparity in size and coercive power is certainly relevant as to whether the force is sufficient to restrain the victim.");
The parties dispute whether Shaw preserved his sufficiency of the evidence claim in the District Court through a motion for judgment of acquittal. We need not resolve this dispute because, even assuming arguendo that the issue was preserved, the claim fails.
The plain error test requires (1) an error; (2) that is "clear or obvious" and (3) "affected the defendant's substantial rights, which in the ordinary case means he or she must 'show a reasonable probability that, but for the error,' the outcome of the proceeding would have been different."
Molina-Martinez v. United States
, --- U.S. ----,
Shaw further argues, fleetingly, that that the Government failed to disclose a letter written by E.S., and that the District Court erred by declining to permit the playing of a supposedly corresponding audio recording. Arguments raised in such a cursory fashion, without adequate citation to the record and authority, are deemed waived.
See
Kost v. Kozakiewicz
,
Reference
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