State v. John J. Stern, Jr.
State v. John J. Stern, Jr.
Opinion of the Court
¶ 1. Defendant appeals the trial court's determination that he violated the terms of his probation by possessing a firearm in violation of 13 V.S.A. § 4017. We affirm.
¶ 2. Defendant pled guilty to domestic assault in November 2015. The trial court deferred his sentence for one year and placed him on probation. Defendant's deferred sentence and probation order stated, "You must not engage in criminal behavior[.]" After defendant's release on probation, he asked his probation officer whether he could possess a firearm. The probation officer informed him that he was not an attorney, but he thought defendant could. This was incorrect. Under Vermont law, it is illegal for anyone convicted of domestic assault to possess a firearm. See 13 V.S.A. § 4017(a), (d)(3) (prohibiting person convicted of violent crime from possessing firearm); id. § 5301(7)(C) (listing domestic assault as violent crime).
¶ 3. During the fall of 2016, defendant encountered police officers three times. Each time, he voluntarily informed the officers that he possessed a gun. In November 2016, the State filed an affidavit alleging defendant had violated his probation by possessing a firearm on three occasions. After a hearing in December 2016, the trial court determined that Condition 31 of the probation certificate, which prohibited "engag[ing] in criminal behavior," provided "fair notice" that firearm possession would violate 13 V.S.A. § 4017, a strict liability offense; that defendant was in possession of a firearm on three occasions; and that defendant, accordingly, violated the terms of his probation. The court further held that the burden generally falls on defense counsel, not the probation officer, to inform defendant of potential "collateral consequences of a [criminal] conviction." Defendant timely appealed.
*1102¶ 4. Defendant makes two arguments. First, he argues that the probation officer's statements "eviscerate[d] the clarity" of the probation condition such that he cannot be held to have violated the terms of his probation. Second, defendant argues that even if he did violate his probation, he did not do so willfully. Defendant does not dispute the trial court's finding that he possessed a firearm in violation of 13 V.S.A. § 4017.
¶ 5. A violation-of-probation decision "presents a mixed question of law and fact." State v. Sanville,
¶ 6. In order for the court to find a violation of probation, the State must show, by a preponderance of the evidence, that "there has been a violation of a probation condition whose requirements were known to the probationer." State v. Coyle,
¶ 7. A probationer has fair notice of those conditions expressly stated in the probation certificate. See 28 V.S.A. § 252(c) ("When an offender is placed on probation, he or she shall be given a certificate explicitly setting forth the conditions upon which he or she is being released."); State v. Kane,
¶ 8. Defendant's probation certificate provided defendant fair notice that *1103gun possession constituted a violation of his probationary terms, and he does not argue otherwise. The certificate expressly prohibited defendant from "engag[ing] in criminal behavior," and it is criminal behavior for someone convicted of domestic assault to possess a gun. 13 V.S.A. § 4017. Defendant agrees that the condition was clear: "Condition 31, 'You must not engage in criminal behavior,' is not vague on its face ...." Cf. Sanville,
¶ 9. What defendant disputes is how his probation officer affected that notice. Defendant argues that the officer's statements "eviscerate[d] the clarity in the condition" such that defendant no longer had fair notice of what was required of him. We have established that the directions and instructions of probation officers may serve as fair notice to the probationer. See State v. Hammond,
¶ 10. We have not yet considered whether a probation officer's statements may remove fair notice already provided through the certificate.
[Answer]: He had asked me if he could ever use a firearm, and I looked over his charges that he has in our system and asked him if he had any other felonies or anything anywhere else. He said no, and I said, I don't see why you can't. I wasn't aware of the domestic assault.
[Question]: Did you specifically say he could have firearms?
[Answer]: No. I said I don't believe he can't. My opinion-
[Question]: Okay.
[Answer]: -is that he can't.
[Question]: Did you qualify-did you specifically advise whether it was legal for him to possess any firearms with this domestic assault conviction?
[Answer]: No. I told him that, [in] my opinion, you could; but I'm-I'm not an attorney.
Thus, defendant's probation officer made clear that although, in his opinion, defendant could possess a firearm, he was not certain whether firearm possession constituted criminal behavior in defendant's circumstances.
¶ 11. The probation officer's equivocation should have put defendant on notice that he must make further inquiries to ensure he understood the terms of his probation. Defendant acknowledged that he received and understood the conditions of his probation, and he is presumed to know the law-including what conduct qualifies as "engag[ing] in criminal behavior." See Woods,
¶ 12. Because the State met its burden to show a violation, the burden of proof shifts to defendant to show his conduct was not "willful" but "resulted from factors beyond his control and through no fault of his own." Coyle,
¶ 13. The dissent presents the case for adopting a doctrine called "entrapment by estoppel" or "due process reliance," an exception to the general rule that ignorance of the law is no excuse. See post, ¶ 17. We have not adopted this doctrine or its variations in past cases. We decline to do so now. Neither of the parties raised or briefed this issue, which makes us wary to adopt it here. See State v. Settle,
Affirmed.
Ignorance of the law may be a defense when knowledge is an element of the crime, which is not the case here. 13 V.S.A. § 4017 (proscribing gun possession without any intent requirement); State v. Witham,
We agree with the trial court's observation that "probationers primarily rely on their probation officers for the nuances of their conditions." We also agree, however, that "it is not for the court to weigh the equities of particular circumstances in deciding" a probation violation. Rather, that weighing lies within the State's prosecutorial discretion in deciding whether to pursue a probation violation. See State v. Rooney,
Dissenting Opinion
¶ 14. If this were a straight-up prosecution for violation of 13 V.S.A. § 4017, I would concur. We have embraced the general rule that ignorance of the law is generally no defense to a prosecution for violating that law. None of the narrow exceptions to this rule would apply to a direct prosecution of defendant for violating this statute. But this probation violation case in which a probation officer informed the probationer that his conduct, not expressly prohibited in his probation conditions and not inherently counter to community norms, would not amount to criminal behavior in violation of his probation conditions, is different. For the reasons set forth below, I dissent.
¶ 15. Two factors inform my view that defendant's reliance on his probation officer's advice may serve as a valid defense in this case. First, the general common law rule that ignorance of the law is no excuse is subject to an exception in certain cases where a defendant reasonably relies on the authoritative advice of an official responsible for enforcing the law-or in this case, the probation conditions. This case meets the requirements of a narrow exception to the general common law rule. Second, the primary purpose of probation is not to protect the public but rather to rehabilitate the probationer. That purpose is especially served by applying the narrow exception described above.
I. An Exception to the General Rule Regarding Mistake of Law Applies Here
¶ 16. There is a widely recognized due-process-based exception to the general common law rule concerning ignorance of the law, and it applies here.
A. The "Reliance" Exception to the General Rule
¶ 17. Ignorance of the law may be an excuse in narrow circumstances in which a defendant relies on an official interpretation *1106from an appropriate public officer. This Court has reaffirmed the general proposition that ignorance of the law is no excuse. See, e.g., State v. Woods,
A belief that conduct does not legally constitute an offense is a defense to a prosecution for that offense based upon such conduct when ... [an individual] acts in reasonable reliance upon an official statement of the law, afterward determined to be invalid or erroneous, contained in ... an official interpretation of the public officer or body charged by law with responsibility for the interpretation, administration or enforcement of the law defining the offense.
Model Penal Code § 2.04(3)(b)(iv) (Am. Law Inst. 2016).
¶ 18. The U.S. Supreme Court applied this reasoning to reverse a conviction for picketing near a courthouse in Cox v. Louisiana,
Thus, the highest police officials of the city, in the presence of the Sheriff and Mayor, in effect told the demonstrators that they could meet where they did, 101 feet from the courthouse steps, but could not meet closer to the courthouse. In effect, appellant was advised that a demonstration at the place it was held would not be one "near" the courthouse within the terms of the statute.
¶ 19. More recently, the Pennsylvania Supreme Court reviewed dozens of cases applying the "due process reliance doctrine" described above to identify its contours. Commonwealth v. Kratsas,
¶ 20. Although Vermont has not had occasion to consider the doctrine described in the Model Penal Code and variously described as "entrapment by estoppel" or "due process reliance," in this context, and with the limitations described above, the doctrine offers a sensible way of balancing the due process considerations at stake with the general rule that ignorance of the law is no excuse.
B. Application of the Defense
¶ 21. The facts of this case meet the stringent requirements for the doctrine's applicability. In particular, defendant's probation officer made a statement about the law that turned out to be erroneous. The probation officer had sufficient authority over the enforcement of defendant's probation to qualify as an official charged by law with defining permissible conduct under the probation order. And under the circumstances, defendant reasonably relied on the advice.
¶ 22. First, following an evidentiary hearing, the trial court found, "[d]efendant had a conversation with his probation officer in which his probation officer incorrectly informed defendant that he could possess a firearm." This finding is straightforward and supported by the evidence. The State has not challenged the finding on appeal. That should be the end of the conversation. See State v. Rutter,
¶ 23. The majority looks past this finding and assesses the transcript of the violation of probation hearing itself. It concludes based on its read of the transcript that the probation officer equivocated and "made clear that although, in his opinion, defendant could possess a firearm, he was not certain whether firearm possession constituted criminal behavior in defendant's circumstances." See ante, ¶ 10. The majority's reinterpretation of the record is unsupported by the record itself and deviates from our standard of review.
¶ 24. In initially describing his discussion with defendant, the probation officer acknowledged that when asked whether defendant could ever use a firearm, he looked over defendant's charges, asked defendant if he had any other felonies or "anything anywhere else," and then said, "I don't see why you can't." That's a straightforward statement that does not signal that the probation officer lacked confidence in his conclusion, or that he was "not certain whether firearm possession constituted criminal behavior in defendant's circumstances." In fact, nothing that the probation officer communicated to defendant signaled any reservation or lack of confidence.
¶ 25. The majority may be inferring that when the probation officer testified, "I told him that, in my opinion, you could; but ... I'm not an attorney," he meant that he, the probation officer, told defendant, "I'm not an attorney." If so, I find that to be a strained reading of the testimony. I understand the, "but I'm not an attorney" to be *1108the probation officer's acknowledgment to the court, not a continuation of his description of his statement to the defendant during their meeting. My understanding is informed by the flow of the back-and-forth, including the probation officer's previous three answers, in which he consistently testified that he told defendant that he believed defendant could use a firearm and did not suggest that he qualified this opinion in any way.
¶ 26. I'm no more qualified than the majority to definitively interpret the transcript. That's why we defer to trial courts' factual findings. They have the opportunity to hear the testimony live and in context, to read nonverbal clues, and to discern meaning from more than the flat words on a cold page. See, e.g., Salve Regina Coll. v. Russell,
¶ 27. We have concluded that defendants receive fair notice through probation officers' instructions that conduct is proscribed or required, even if the proscription or requirement is not expressly described in the probation conditions. See, e.g., State v. Kane,
¶ 28. Given these factors, with respect to the requirements of defendant's probation, *1109defendant's probation officer is analogous to the state investigating commission that wrongly assured witnesses that they had a legal privilege to refuse to answer, see Raley,
¶ 29. Third, under all of these circumstances, defendant's reliance on his probation officer's statements was reasonable.
¶ 30. Moreover, and significantly, defendant's alleged criminal violation-possession of a firearm following a misdemeanor domestic assault conviction-is not conduct that, in the absence of the statute, would be counter to community norms. The distinction between offenses that are inherently wrong (e.g., murder), and those that are criminal merely because they are prohibited by statute (e.g., jaywalking), described in Latin and much legal writing as malum in se and malum prohibitum, is relevant to my analysis. See malum in se and malum prohibitum Black's Law Dictionary (10th ed. 2014). However, I am not drawing the line between these categories based on an evaluation of "moral turpitude," as we have in prior cases. See, e.g., State v. Fournier,
II. The Specific Purpose of Probation Supports Application of the Reliance Defense
¶ 31. Even if we did not adopt the narrow "reliance defense" as a general exception to the common law rule regarding ignorance of the law, we should apply the exception in the context of probation conditions. The distinct purpose of probation, as contrasted with our criminal laws more broadly, supports application of the defense in the context of violations of probation.
¶ 32. The purpose of probation is to assist the offender in leading a law-abiding life. See 28 V.S.A. § 252(a) ("The conditions of probation shall be such as the court in its discretion deems reasonably necessary to ensure that the offender will lead a law-abiding life or to assist the offender to do so.");
Because the primary goal of probation ... is rehabilitation of the defendant, the relationship between a defendant and his or her probation officer should not be founded on fear, intimidation, or authoritarianism, but on trust, openness, and the commonly held goal of restoring the defendant to useful and productive citizenship.
State v. Powers,
¶ 33. The various rationales that justify the general common law principle, and its effect of allowing punishment for conduct that a defendant did not know was wrongful, are far less compelling in the context of probation condition violations. Thomas White has identified three historical justifications for the general rule. See T. White, supra, at 785-86. First, a justification ascribed to nineteenth century English jurist John Austin is that "if ignorance of the law were recognized as an excuse, the defendants would always defend on this ground, and courts would be confronted with questions they could not solve." Id. at 785. Where the ignorance of the law is based on proof that a defendant reasonably relied on an interpretation by a responsible official, the problems of proof, and the fear *1111that the defense would become a first-line litigation strategy for every criminal defendant, do not apply. Second, Oliver Wendell Holmes's rationale, that "the purpose of the criminal law [is] to protect the community and to deter the commission of criminal acts, without consideration of the subjective moral culpability of the wrongdoer," id. at 786, is squarely at odds with the rehabilitative purpose of probation described above. And third, the rationale attributed to Professor Jerome Hall that "allow[ing] the mistake of law defense would undermine the paramount importance of the courts' and legislatures' interpretations and declarations of the law," id., packs far less punch when a defendant is reasonably relying on the interpretation of an appropriate official.
¶ 34. Allowing the reliance defense in the context of this case would not undermine the public protection goals of 13 V.S.A. § 4017 one bit. Defendant can be criminally prosecuted for violating the statute. No exception to the general common law rule would apply to that prosecution. But insofar as the purpose of his probation is his rehabilitation-helping him to lead a law-abiding life-violating him under these circumstances would not promote those goals.
¶ 35. The trial court in this case did not believe that it had the discretion to account for defendant's reliance on his probation officer's advice in adjudicating the violation; for the reasons set forth above, I believe the trial court did have such discretion. I would remand for consideration of the trial court's findings and defendant's evidence in light of the principles set forth above.
That he did rely on his probation officer's statements is undisputed. The trial court found, "The court acknowledges that Defendant was relying on his probation officer's statement. It understands that probationers primarily rely on their probation officers to understand the nuances of their conditions."
Some commentators have argued that in modern times, when so much conduct not previously deemed criminal is unlawful, the "common law fiction" that all people are presumed to know the law fails "to reconcile effectively the dilemma created by a penal law that purports to punish only subjective culpability and yet punishes even those who believe their action to be legal and therefore not wrongful." T. White, Reliance on Apparent Authority as a Defense to Criminal Prosecution,
Reference
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- STATE of Vermont v. John J. STERN, Jr.
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