State v. Ashley Nutbrown-Covey
State v. Ashley Nutbrown-Covey
Opinion
¶ 1. This case presents the question whether the doctrine of issue preclusion bars the State from prosecuting defendant for alleged abuse of one child, A.N., after the family court, in an earlier child-in-need-of-supervision (CHINS) proceeding involving a different child, J.N., found that there was insufficient evidence to adjudicate J.N. CHINS for being without proper parental care or subsistence. We hold that, given the facts of this case, the prosecution is not barred by issue preclusion. Accordingly, we affirm the trial court's denial of defendant's motion to dismiss.
¶ 2. The facts relevant to this criminal case and the related family court proceeding involve an incident that occurred in the fall of 2011. Defendant is the mother of three children: J.N., born in 2013; A.N., born in 2008; and A.C., born in 2004. In August 2011, defendant and A.N.'s father took A.N.-then three years old-to the emergency room for an injury to A.N.'s leg. A.N. was examined by a physician, whose treating records indicate that although it was obvious that A.N. was injured, there were no deformities or external bruising to A.N.'s leg. The physician ordered X-ray examinations, which showed that A.N. was suffering from a spiral fracture of the left leg, meaning that A.N.'s leg had been subjected to significant torque. Although the physician was a mandated reporter, he did not notify the Department for Children and Families (DCF) of A.N.'s injury because nothing indicated that A.N. had been injured by defendant or any other adult. Neither DCF nor the State took any action until 2014.
*219 ¶ 3. On July 9, 2014, the State filed an information against defendant alleging one felony count (Count 1) of first degree aggravated domestic assault in violation of 13 V.S.A. § 1043(a)(1) and three misdemeanor counts (Counts 2 through 4) of child cruelty in violation of 13 V.S.A. § 1304(a). Defendant entered pleas of not guilty to all charges at her July 10, 2014, arraignment, and the State later dismissed Count 3. Counts 2 and 4 involve alleged abuse of A.C., while the factual basis for Count 1 involves the incident from August 2011 in which defendant and A.N.'s father brought A.N. to the emergency room with a fractured leg. None of the criminal charges involve alleged abuse of J.N.
¶ 4. On July 16, 2014, when J.N. was ten months old, the State filed a petition in the family division alleging that J.N. was without proper parental care in violation of 33 V.S.A. § 5102(3)(B). According to that statute, a child is CHINS if he or she "is without parental care or subsistence, education, medical, or other care necessary for his or her well-being." The State's theory at the CHINS proceeding was that defendant posed a risk of harm to J.N. for various reasons, including: her alleged prior abuse of A.N. and A.C.; her behavior towards J.N.'s putative father during their contentious breakup, which involved, among other things, allegations that defendant engaged in elaborate schemes to falsely accuse J.N.'s putative father of domestic abuse; allegations that she verbally threatened J.N.'s putative father and the children; and her alleged propensity to leave J.N. in the care of questionable caregivers.
¶ 5. J.N. was placed in foster care pending the outcome of the CHINS proceeding. The family court held a merits hearing on the CHINS petition on December 11, 2014, and took testimony from, among others, two medical doctors, including the emergency room physician who treated A.N. in August 2011, the investigating detective, A.N.'s father, and a ten-year-old child, A.B., who was present when A.N.'s leg was injured. After hearing the testimony, the court found that there was "no evidence at all" related to "[defendant]'s care during [J.N.'s] life that in any way, shape, or form" suggested that defendant "presented a risk of abuse or neglect." The court did not, however, make specific findings about the alleged incidents of abuse of A.C. or A.N. 1 The court dismissed the CHINS petition and returned J.N. to defendant's custody. The State did not appeal.
¶ 6. On September 29, 2015, defendant filed a motion to dismiss the criminal charges against her for lack of a prima facie case pursuant to Vermont Rule of Criminal Procedure 12(d) and on the ground that collateral estoppel barred the State from relitigating the question of whether she abused A.N. or A.C. The court held a hearing on May 2, 2016, where the State dismissed Count 3-a misdemeanor child abuse charge involving A.C.-and defendant withdrew her Rule 12(d) motions on Count 1, the assault charge concerning A.N., and Counts 2 and 4, the abuse charges concerning A.C. After hearing argument on the collateral estoppel issue, the trial court issued a written decision on June 15, 2016, finding that collateral estoppel did not bar the State from trying defendant for aggravated domestic assault of A.N. and criminal child abuse of A.C., despite the family court's dismissal of the CHINS petition that included the same factual allegations. We *220 granted an interlocutory appeal of that decision.
¶ 7. The question before this Court is whether collateral estoppel bars the State from pursuing criminal charges against defendant for child abuse of A.N. and A.C. after the family court dismissed the CHINS petition concerning J.N. that included the same allegations. Because we conclude that the question of defendant's alleged abuse of A.N. and A.C. was never fully resolved in the CHINS proceeding and because the State did not have a fair opportunity to fully litigate that issue, we hold that the doctrine of collateral estoppel does not apply and the State is not barred from pursuing criminal charges against defendant.
¶ 8. The elements of collateral estoppel, also known as issue preclusion are:
(1) preclusion is asserted against one who was a party or in privity with a party in the earlier action; (2) the issue was resolved by a final judgment on the merits; (3) the issue is the same as the one raised in the later action; (4) there was a full and fair opportunity to litigate the issue in the earlier action; and (5) applying preclusion in the later action is fair.
Trepanier v. Getting Organized, Inc.
,
¶ 9. The State here concedes that the first factor-preclusion is asserted against one who was a party or in privity with a party in the earlier action-is satisfied because defendant is attempting to assert preclusion against the State in both cases. In light of the State's concession, we do not address this factor further.
¶ 10. The second factor asks whether the issue in the present action was resolved by a final judgment on the merits in the earlier proceeding,
Pollander
,
¶ 11. As we have previously noted, "preclusion appl[ies] only to issues necessarily and essentially determined in a prior action."
¶ 12. Defendant contends that the evidence the State presented at the CHINS proceeding for J.N., which included testimony about alleged abuse of A.N. and A.C., is the same evidence that forms the basis for the State's criminal case against her for aggravated domestic assault of A.N. and child cruelty of A.C. Additionally, defendant argues that because the family court found that there was insufficient evidence to adjudicate J.N. CHINS for neglect under the preponderance-of-the-evidence standard, and because the State attempted to present overlapping evidence in the CHINS proceeding and the subsequent criminal case, the issues in the two proceedings are the same. Citing language from
State v. Dann
,
¶ 13. However, commonality of evidence alone is insufficient for issue preclusion; the actual factual or legal question presented in the first action must be the same as the question presented in the
*222
second. Cf.
Dann
,
¶ 14. In a similar vein, the kinds of proceedings at issue here-a CHINS proceeding in the family division and a criminal case-require the courts to consider and apply different rules of law. See Restatement (Second) of Judgments § 27 cmt. c (explaining that determining whether issue was necessary to first judgment requires court to consider whether any new evidence involves application of different rule of law). A criminal case is concerned with a defendant's conduct in some specified instance and therefore requires the State to prove particular elements of a crime at the time and place alleged, while a CHINS case is concerned with the wellbeing of the child in question and therefore considers the course of the parent-child relationship. See
In re J.J.P.
,
¶ 15. For example, in this case the question before the CHINS court was whether the State presented sufficient evidence to establish that J.N. was "without proper parental care or subsistence, education, medical, or other care necessary for his or her well-being," 33 V.S.A. § 5102(3)(B), whereas the questions before the criminal court in this case are whether the State can establish that defendant "attempt[ed] to cause or willfully or recklessly cause [d] serious bodily injury to [A.N.]," 13 V.S.A. § 1043(a)(1), and whether the State can establish that defendant "willfully assault[ed], ill treat[ed], neglect[ed] or abandon[ed] or expose[d] [A.C.], or cause[d] or procure[d] [A.C.] to be assaulted, ill-treated, neglected, abandoned or exposed."
¶ 16. Consistent with the decisions of other courts that have considered this question, we conclude that this case does not satisfy the second or third
Trepanier
factor and hold that the civil CHINS case, in this instance, has no preclusive effect in defendant's pending criminal case. See, e.g.,
Gregory v. Commonwealth
,
¶ 17. The fourth
Trepanier
factor asks whether there was a full and fair opportunity to litigate the issue in the earlier action. Courts applying this factor must take into account, among other considerations: the parties' incentives to litigate; the foreseeability of future litigation; the legal standards and burdens involved in the two actions; the procedural tools available in each forum; and the possibility of inconsistent determinations of the same issue in separate prior cases. See
D
a
nn
,
¶ 18. There are significant procedural differences between the CHINS and criminal proceedings at issue here. Section 5313(b) of Title 33, which governs the timing for CHINS proceedings, provides that "a merits hearing shall be held and merits adjudicated no later than 60 days from the date the temporary care order is issued," while the statute of limitations for all of the criminal charges the State alleges against defendant is three years. 13 V.S.A. § 4501(e). Although the timeline goals for adjudicating the merits of a CHINS petition are not always met, the need to achieve permanency without undue delay for a child is paramount in our juvenile system. See 33 V.S.A. § 5101(a)(4) ("The juvenile judicial proceedings chapters shall be construed ... to ensure that safety and timely permanency for children are the paramount concerns.");
In re A.S.
,
¶ 19. To give preclusive effect to a CHINS proceeding in a later criminal proceeding might result in CHINS cases being delayed pre-merits while the State develops evidence in an attempt to avoid the possibility that an adverse CHINS result would foreclose any related criminal charges. A delay in reaching the merits of a CHINS petition would necessarily further delay the adjudication of a child's custody, and "[w]hen abuse is claimed ... any consequent delays are likely to be disruptive to the child and the child's stability."
In re A.S.
,
¶ 20. Additionally, the State has an interest in having a jury rather than a judge make determinations about the credibility of witnesses, the factual basis for the criminal prosecution, and the weight to give to proffered evidence. See
Singer v. United States
,
¶ 21. Second, the State has different incentives to litigate a CHINS proceeding and a criminal prosecution. The nature of a CHINS proceeding, which is fundamentally concerned with the child's welfare and with ensuring that the judicial process identifies the custody circumstances that are in the child's best interests, means that the State's incentive is to focus on issues that bear on the child's best interests and not solely on the behavior of the custodial parent. Third, there is no possibility of inconsistent verdicts in this case because it is possible that J.N. was not lacking sufficient parental care for CHINS purposes, even if J.N.'s siblings were criminally abused before J.N. was born. This conclusion is consistent with the reasoning of other courts that have considered this issue. See, e.g.,
People v. Percifull
,
Affirmed .
For the sake of clarity, we refer throughout this opinion to the criminal allegations against defendant collectively as child abuse, although defendant is accused of child cruelty against A.C. and aggravated domestic assault of A.N.
The passage in
Dann
that defendant cites-"For the purposes of claim preclusion, two causes of action are the same if they can be supported by the same evidence."-involves claim preclusion, not issue preclusion. 167 Vt. at 125,
Public access is an additional procedural difference between a CHINS proceeding and a criminal proceeding, and although that difference may not prejudice either the State or defendant in this case, it is worth noting because it implicates important interests of third parties. Specifically, the public and the press have a protected First Amendment right of access to most stages of a criminal trial, but public access to CHINS proceedings is statutorily restricted. Compare
State v. Tallman
,
Reference
- Full Case Name
- STATE of Vermont v. Ashley NUTBROWN-COVEY
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- 7 cases
- Status
- Published