State v. Von Niederhausern
State v. Von Niederhausern
Opinion
¶1 Defendant Lamont Stephen Von Niederhausern allegedly sexually assaulted his adult daughter, Victim, on four separate occasions. The State charged Defendant with two of the four alleged incidents. At trial, the State moved to introduce evidence of the other two incidents under rule 404(b). The trial court allowed the evidence, despite Defendant's objection, and issued a limiting instruction. The trial court also employed-without objection-a jury instruction based on statutorily undefined terms which the court defined for the purpose of the instruction by using dictionaries. The jury convicted Defendant as charged. Defendant timely appeals, alleging that the trial court abused its discretion by admitting the character evidence and erred in employing dictionary definitions in the additional jury instruction. We affirm.
BACKGROUND 1
Incident One
¶2 Incident One occurred in December 2011, when Defendant visited Victim's home. During Defendant's visit, Victim fell asleep on the couch in her living room. She awoke to someone kissing her neck in a "very sexual ... nature" and "assumed it was [her] husband" because it was open mouthed and his tongue was on her neck. He had his left hand pressing on her right rib cage, which was "below [her] breast but ... touching [her] bra[.]" Upon seeing that it was actually her father touching her, Victim froze in place, completely in shock.
¶3 Soon thereafter, Victim's husband (Husband) entered the room, heard "weird kissing noises," and saw Defendant leaning over Victim with his face down. Husband yelled, "Hey!" and Defendant ran out the door of the house, quickly got into his car, and drove away. Afterward, Defendant stayed away from Victim and her immediate family for approximately eight months.
Incident Two
¶4 Incident Two (Count One) occurred in October 2012. Without permission or invitation, Defendant visited Victim's new home, where he spent the night. The next morning, Defendant, Victim, and her children were at the house after Husband had gone to work. Victim heard Defendant speak in a "very low, husky voice, and ask[ ] her [daughter] if she had her big girl panties on." Victim's eight-year-old daughter was visibly shocked. Victim gave him a "dirty look," and he stopped talking to her daughter in that manner.
¶5 Defendant then got on the computer, purportedly to look for a job, but instead pulled "multiple tabs up with pornographic images and violent animal documentaries." Shortly thereafter, Defendant went up to a bedroom to "take a nap." But instead of sleeping, Defendant began to masturbate. Victim caught him and ordered him to leave the house, but he ignored her request. Later, Defendant approached Victim's six-year-old son and asked "if he had his big boy briefs on" in a "low, husky voice." Victim once again ordered Defendant to leave, and she took her son out of the room.
¶6 Defendant finally acquiesced to the repeated requests for him to leave and slowly took his belongings out to the car. However, once he had packed the final item, he snuck back into the house. Victim became aware that he had returned only after Defendant suddenly pressed against her from behind with his hands on her breasts, thrusting "with his erect penis pushed against her buttocks," kissing the right side of her neck with an open mouth while using his tongue, and grinding against her several times.
¶7 While Defendant sexually assaulted her, Victim froze until she heard her children, who were still in the house. Upon hearing the children, Defendant "whirled around, ran out the open door, jumped into his car," and quickly drove away. Victim began crying and called Husband to relay what had happened. Thereafter, Victim and her family did not see or hear from Defendant for over a year.
Incident Three
¶8 Incident Three (Count Two) occurred during a family event on a Saturday in December 2013. Defendant was invited with the understanding that he was to leave directly afterward. However, because it began to snow, Victim and Husband allowed Defendant to stay at their home over the weekend. On Monday morning, after Husband went to work, Victim sat down at her computer with her back to Defendant. Suddenly, Defendant approached Victim, reached around the chair, put his hands on Victim's breasts, and kissed her neck with an open mouth using his tongue. Victim told him to stop several times, but he became more aggressive. As the abuse escalated, Victim burst out of the chair and went to the kitchen "fuming." She told Defendant that she was going to call Husband and that he needed to leave immediately. Defendant left.
Incident Four
¶9 A few days after Incident Three, Victim and her family visited her mother's home to Skype with her sister. When Defendant showed up at the house, Victim left the room that Defendant was in and went into the kitchen. While she was alone in the kitchen, Defendant swiftly approached her and grabbed her from behind. He touched her lower pelvis and breasts and began thrusting against her and kissing her neck.
¶10 Becoming "alarmed that he was bold enough to do this in front of [the] family," she told him to stop, but he became more assertive. He did not stop and when she tried to move away, he grabbed her arms. He started speaking in a "seductive kind of way" to her and she said, "Please let go. Let go of me." He ignored her, so she grabbed a cup of water and dumped it on him. Husband heard her say, "Stop," and, "Let go," and he also saw that Defendant had grabbed ahold of Victim's arm as she attempted to pull away. Additionally, Husband witnessed Victim toss water in Defendant's face. At the same moment that the incident began to de-escalate, Victim's sister called the family on Skype, so Defendant went into the other room to speak with her. When the call ended, Defendant quickly left the house, leaving the door open behind him.
Summary of Proceedings
¶11 The State charged Defendant with two counts of class A misdemeanor sexual battery relating to Incidents Two and Three.
See
¶12 The trial court held an evidentiary hearing followed by arguments of counsel. In a written ruling, the trial court allowed the State to present evidence of Incidents One and Four, although the State did not bring charges regarding those incidents. The trial court wrote:
The consistency of grabbing his daughter when he thought others were not watching, of touching her breasts, pressing his pelvis against her buttocks, kissing her neck, and then fleeing when confronted show intent, motive, plan and preparation to commit the crimes charged. This evidence also shows that the defendant ... knew or should know his conduct would likely cause affront or alarm to his adult daughter.
Prior to any testimony by Victim regarding Incidents One and Four, the judge read a limiting instruction reminding the jury that the evidence was to be used for specific, noncharacter purposes. Before closing arguments, the court read the limiting instruction again.
¶13 The trial court also gave-without objection-a jury instruction based on the statutorily undefined terms "affront" and "alarm," which were defined for purposes of the instruction by using three dictionaries: Black's Law Dictionary, Oxford Dictionary, and Merriam-Webster Dictionary. The jury convicted Defendant as charged. Defendant timely appeals and we reject his contentions.
ISSUES AND STANDARDS OF REVIEW
¶14 Defendant raises two issues on appeal. First, he argues that the trial court abused its discretion by admitting Incidents One and Four as bad-act evidence against Defendant under rule 404(b) of the Utah Rules of Evidence. We review a trial court's decision to admit evidence under rule 404(b) for abuse of discretion.
See
State v. Reece
,
¶15 Second, Defendant contends that his defense counsel was ineffective for allowing the crime of sexual battery to be so broadly defined in the jury instructions that Defendant suffered unfair prejudice. "A claim of ineffective assistance of counsel raised for the first time on appeal presents a question of law that we review for correctness."
State v. Charles
,
ANALYSIS
I. Character Evidence
¶16 Defendant asserts that the trial court abused its discretion by admitting evidence of his other two alleged bad acts (Incidents One and Four) under rule 404(b) of the Utah Rules of Evidence. This argument fails. Rule 404(b) provides,
Evidence of a crime, wrong, or other act is not admissible to prove a person's character in order to show that on a particular occasion the person acted in conformity with the character. ... [but] may be admissible for another purpose, such as proving motive, opportunity, intent, preparation, plan, knowledge, identity, absence of mistake, or lack of accident.
Utah R. Evid. 404(b). Accordingly, under rule 404(b), evidence of a defendant's bad act is not admissible to prove that "a defendant has a propensity for bad behavior and has acted in conformity with his dubious character."
State v. Burke
,
¶17 As stated, while our supreme court has clarified that appellate assessment regarding admission of evidence is limited to "whether the district judge made an error" the court also noted that "[t]he careful trial judge will still proceed as outlined in our [previous decisions]-marching through the standards set forth in rules 404(b), 402, and 403, and presenting ... analysis on the record. And the judge who does so will be better-positioned to have [the] decision on admissibility of prior misconduct evidence affirmed on appeal."
State v. Thornton
,
A. Noncharacter Purpose
¶18 Here, the trial court appropriately admitted the evidence for at least two 4 different proper, noncharacter purposes: (1) intent and (2) absence of mistake or lack of accident.
1. Intent
¶19 Evidence is offered for a proper, noncharacter purpose if used to prove intent.
See
Utah R. Evid. 404(b)(2). Here, the two additional incidents, when considered in tandem with the two charged offenses, are relevant to show Defendant's intent. Because sexual battery requires that the defendant not only commit the act of touching, but do so under circumstances that he knows or should know would likely cause affront or alarm, the evidence of the additional two acts is relevant to show Defendant's intent.
See
¶20 Incident One, which occurred while Victim was sound asleep, is evidence that Defendant specifically intended to act upon Victim under circumstances that he knew or should have known would likely cause affront or alarm. The act-touching and licking Victim, his adult daughter, as she slept on the couch-"could reasonably be inferred with a basis in logic and human experience" as evidence of Defendant's intent, since it involved more than just a simple, familial gesture or a harmless or accidental physical act.
See
State v. Whitaker
,
¶21 By the same token, Incident Four, which occurred in the kitchen at Victim's mother's house, also demonstrates Defendant's intent to act in a sexual way that he knew would cause affront or alarm. The fact that this incident occurred after the charged events is of no import. Particularly where the State offered bad-acts evidence to show intent, acts committed after the charged events can be relevant.
6
In
United States v. Brugman
,
2. Absence of Mistake or Lack of Accident
¶22 While not a stated basis by the trial court for admission, the State asserted at the evidentiary hearing that the evidence of Incidents One and Four should have been admitted to show absence of mistake or lack of accident.
7
Evidence is properly offered for a noncharacter purpose if it is offered to prove the absence of mistake or lack of accident.
See
Utah R. Evid. 404(b)(2) ;
see also
State v. Pedersen
,
B. Relevance
¶23 As noted in
Thornton
, "[r]elevance is a low bar."
C. Probative Value Compared to Risk of Unfair Prejudice
¶24 Any alleged danger of unfair prejudice suffered by Defendant does not substantially outweigh the probative nature of the evidence.
See
Utah R. Evid. 403. Evidence is only unfairly prejudicial if it creates "an undue tendency to suggest decision on an improper basis."
State v. Maurer
,
II. Jury Instructions
¶25 Defendant contends that his trial counsel was ineffective for failing to object when the court approved jury instructions, which, he argues, included prejudicially broad dictionary definitions for "alarm" and "affront."
8
This argument fails because Defendant has not shown the prima facie elements of ineffective assistance of counsel: deficient performance and prejudice.
Strickland v. Washington
,
¶26 Deficient performance requires demonstration that "counsel made errors so serious that counsel was not functioning as the 'counsel' guaranteed ... by the Sixth Amendment."
¶27 Case law demonstrates that use of dictionary definitions in jury instructions is permissible.
See
State v. Souza
,
¶28 Based on this precedent, it was acceptable for the court to employ the dictionary definitions of "affront" and "alarm" as "the ordinary meaning of a word" to a "reasonable person familiar with the usage and context ... in question."
See
State v. Hawkins
,
¶29 Accordingly, Defendant has failed to show that the use of dictionary definitions in Defendant's jury instructions was erroneous and that Defendant's counsel acted deficiently in failing to object. And Defendant's argument on appeal is particularly unpersuasive where Defendant fails to identify, let alone argue, what would have been the legally correct version of the instruction.
¶30 Defendant also fails to show prejudice since an objection to the jury instructions would have surely been unsuccessful, meaning that it would not have made a difference in the outcome of the case. Defendant must show that "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different."
Strickland v. Washington
,
¶31 Even if the court had used more narrow definitions of affront or alarm-or if no definition had been used at all-because of the overwhelming evidence against Defendant and the particularly disturbing acts at issue, it is not reasonably probable that Defendant would have enjoyed a more favorable trial result had his counsel objected to the instructions. Under any definition of affront or alarm, no reasonable jury would conclude that purposefully touching his own adult daughter's breasts, licking her neck with one's tongue, and grinding an erect penis against her buttocks falls outside of any definition of those terms. Thus, because there is not a reasonable probability that objecting to the jury instructions would have yielded a different or more favorable result, Defendant cannot demonstrate prejudice, and his claim of ineffective assistance therefore fails.
CONCLUSION
¶32 We conclude that the trial court did not abuse its discretion by allowing evidence of the two additional bad acts committed by Defendant. We also conclude that Defendant has failed to demonstrate ineffective assistance regarding his defense counsel's failure to object to the dictionary definitions used in the jury instructions. Accordingly, we affirm.
"On appeal from a criminal conviction, we recite the facts from the record in the light most favorable to the jury's verdict."
State v. Pham
,
We note that at times, Utah case law has described rule 404(b) as an "inclusionary" rule.
See
State v. Lowther
,
Significantly, the
Thornton
court expressly repudiated any requirement that a trial court scrupulously examine evidence of other acts.
The State also argues that the evidence is admissible for the purpose of narrative, but since the decision of the trial court can be sustained on the grounds of intent and absence of mistake, we need not address every other possible noncharacter basis.
Furthermore, given Victim's reaction, the act demonstrates that Defendant was put on notice that similar conduct, such as the acts committed afterward, would likewise cause affront and alarm to Victim.
While it is common to refer to rule 404(b) as pertaining to "prior" bad acts, the plain language of rule 404(b) makes no reference to "prior" crimes, wrongs, or acts, but refers only to "other" crimes, wrongs, or acts.
See
Utah R. Evid. 404(b). Many courts have recognized that other crimes, wrongs, or acts are relevant to the issue of intent, even if those acts occurred after the charged conduct.
See
United States v. Delgado
,
As explained in
State v. Thornton
, "[a] judge may make the right decision for a mistaken reason (or no reason), for example, and still be affirmed on appeal."
The relevant jury instructions stated,
You are instructed that the term "affront" means an insult or indignity; an action or remark that causes outrage or offense or that offends modesty or values. "Insult" refers to an act that offends or shows a lack of respect. "Indignity" refers to an act that hurts someone's dignity; an embarrassing act or occurrence. An "offense" is something that causes a person to be hurt, angry, or upset; something that is wrong or improper.
You are instructed that the term "alarm" means an anxious awareness of danger; something that causes a person to feel frightened, disturbed, or in danger.
Reference
- Full Case Name
- STATE of Utah, Appellee, v. Lamont Stephen VON NIEDERHAUSERN, Appellant.
- Cited By
- 12 cases
- Status
- Published