MAINE SUPREME JUDICIAL COURT Reporter of Decisions
Decision: 2016 ME 145
Docket: Yor-15-91
Argued: December 10, 2015
Decided: September 20, 2016
Panel: SAUFLEY, C.J., and ALEXANDER, MEAD, GORMAN, JABAR, and HJELM, JJ.
STATE OF MAINE
v.
NICHOLAS E. WESTGATE
JABAR, J.
[¶1] Nicholas E. Westgate appeals from a judgment of conviction
entered by the trial court (York County, O’Neil, J.) on a jury verdict finding him
guilty of five counts of unlawful sexual contact (Class B), 17-A M.R.S.
§ 255-A(1)(E-1) (2015), and one count of visual sexual aggression against a
child (Class C), 17-A M.R.S. § 256(1)(B) (2015). At trial, the State sought to
prove that Westgate committed each of the offenses against a victim under the
age of twelve. Though the evidence established that the victim turned twelve
during the general timeframe within which the crimes were allegedly
committed, the State did not move to amend the charges, and neither party
requested instructions regarding crimes of a lower class committed with the
same conduct as that charged when that conduct is perpetrated against a
2
victim who is at least twelve but not yet fourteen years old. See 17-A M.R.S.
§§ 255-A(1)(E), 256(1)(A) (2015).
[¶2] The court did not deliver any lesser-included offense instructions,
and it charged the jury—with the consent of both parties—that the jury did
not have to determine with specificity the date or dates on which the sexual
contact occurred. Thus, the court did not require the jury to find one element
of the crime—that the victim was younger than twelve when the sexual
contact occurred—in order to deliver a guilty verdict. On this record, we are
unable to conclude that it was highly probable that the error did not affect the
jury’s verdict, and we are compelled to vacate the judgment.
I. BACKGROUND
[¶3] In 2012, Westgate was charged by indictment with five counts of
unlawful sexual contact (Class B), 17-A M.R.S. § 255-A(1)(E-1), and one count
of visual sexual aggression against a child (Class C), 17-A M.R.S. § 256(1)(B).
Although both crimes charged are defined as acts perpetrated against a victim
under the age of twelve, see 17-A M.R.S. §§ 255-A(1)(E-1), 256(1)(B), the
indictment alleged that the criminal acts occurred “[o]n or about Summer,
3
2009,” and indicated that the victim was born on July 20, 1997, and thus
turned twelve during the summer of 2009.1
[¶4] After granting several motions to continue the dates set for jury
selection and trial, the court held a three-day jury trial in May 2014.
Following the swearing in of the jury, the court clerk read the indictment
aloud and told the jury that it was tasked with determining whether Westgate
was guilty or not guilty of the charges alleged.2 The court then delivered its
preliminary charge to the jury, stating that the indictment was not evidence,
and that the State bore the burden of proving the allegations in the indictment
beyond a reasonable doubt. In the State’s opening statement, the prosecutor
alerted the jury to the fact that the alleged victim did not remember exactly
when the incidents occurred.
1 In the indictment, each of the five Class B counts charging Westgate with unlawful sexual
contact pursuant to 17-A M.R.S. § 255-A(1)(E-1) (2015) read as follows: “On or about Summer,
2009, in Sanford, YORK County, Maine, NICHOLAS WESTGATE, being at least three years older than
Jane Doe (DOB 7/20/97), not his spouse, did intentionally subject Jane Doe (DOB 7/20/97), who
was in fact less than 12 years of age, to sexual contact.” The single Class C count charging Westgate
with visual sexual aggression pursuant to 17-A M.R.S. § 256(1)(B) (2015) similarly alleged that:
“[o]n or about Summer, 2009, in Sanford, YORK County, Maine, NICHOLAS WESTGATE, having in
fact attained 18 years of age, and for the purpose of arousing or gratifying sexual desire, did expose
his genitals to Jane Doe (DOB 7/20/97) or cause Jane Doe (DOB 7/20/97) to expose her genitals to
NICHOLAS WESTGATE and Jane Doe (DOB 7/20/97), not NICHOLAS WESTGATE’s spouse, had not
in fact attained 12 years of age.”
2 Although the trial transcript indicates that the prosecutor delivered this charge, the court’s
instructions that immediately follow refer to “the piece of paper that Madam Clerk just read . . . with
the allegations associated with this case.” From this remark, we infer that the transcript’s
designation of the prosecutor as the speaker is due to an error in transcription.
4
[¶5] Viewing the evidence thereafter presented “in the light most
favorable to the State, the jury could rationally have found the following facts
beyond a reasonable doubt.” State v. Begin, 2015 ME 86, ¶ 2, 120 A.3d 97
(quotation marks omitted).
[¶6] In 2009, during the summer months of June, July, August, and
September, the victim was living with her father and visited her mother, who
was living with Westgate. The victim described five incidents of Westgate
having sexual contact with her, one of which also involved him exposing his
genitals to her and causing her to expose her genitals to him. The first
incident of sexual contact occurred during a weekend in June, and the second
incident occurred two weeks later. The third incident of sexual contact
occurred on a Thursday in June. Though the victim provided no indication of
when the fourth incident occurred, she testified that the fifth incident
coincided with the episode of visual sexual aggression, and that the fifth
incident occurred before her twelfth birthday.
[¶7] At the close of the State’s case-in-chief, the court advised that it
would likely instruct, with respect to the indictment’s “[o]n or about”
timeframe, that the State was not required to prove the date that the offenses
5
occurred. Westgate did not object, and proceeded to mount a defense focused
on more general timing and credibility.
[¶8] Westgate argued that he could not have committed the crimes
during the summer of 2009 because he did not have any unsupervised contact
with the victim during that period. He asserted that the victim’s testimony
about the timing of the offenses was not credible because it was inconsistent
with her inability to pinpoint the timing with such specificity before trial, and
it conflicted with statements that the victim made during pretrial interviews
with the police and the prosecutor. After Westgate refreshed the victim’s
recollection by playing for her a recording of her pretrial interview with the
police, the victim admitted that she had initially reported that Westgate
committed the criminal conduct in August 2009. Westgate later played for the
jury a recording of the police interview, during which the victim told the
investigating officer that the incidents of sexual contact could have occurred
“in June or August.” Westgate also played a recording of the victim’s pretrial
interview with the prosecutor, during which the victim stated that she could
not remember the days of the week or the months when the incidents
occurred, or how old she was at the time, but that she thought that she was
6
“eleven or twelve.” On Westgate’s request, the court admitted these
recordings, but only to challenge the victim’s credibility.
[¶9] At the close of the evidence, in describing the charges of unlawful
sexual contact to the jury, the court paraphrased the language of the
indictment, stating that each of the five charges alleged that “on or about the
summer of 2009, . . . Westgate, being at least three years older than [the
victim], who was not his spouse, did intentionally subject her, who was in fact
less than 12 years of age, to sexual contact.” In describing the charge of visual
sexual aggression, the court again paraphrased the indictment, stating that the
charge alleged that “on or about the summer of 2009 . . . Westgate, having in
fact obtained 18 years of age and for the purpose of arousing or gratifying
sexual desire did expose his genitals to [the victim], or cause [the victim] to
expose her genitals to him and [the victim] was not his spouse and had in fact
not obtained the age of 12.” The court instructed the jury to consider each
charge individually, and to determine whether each had been proved beyond
a reasonable doubt.
[¶10] The court explained that the indictment referred “to the summer
of 2009, for the time of these offenses.” With respect to this “on or about”
timeframe, the court instructed the jury as follows:
7
The charges here claim that the crime was committed on or about
a time, a specific time. The specific date of a crime need not be
proven. It is enough if the State proves beyond a reasonable
doubt that A, the crime charged was committed by the Defendant
and B, it happened sometime within the timeframe suggested by
all of the evidence in the case. The question is whether the crime
was committed, not when it happened and that must be the
princip[al] focus of your inquiry.
However, you may consider any evidence of uncertainty as to the
dates of the alleged crime in deciding whether or not the offense
has been proven beyond a reasonable doubt and in judging
whether to believe witnesses and their ability to recall events and
in determining whether the Defendant may have had the
opportunity to commit the offense alleged.
(Emphasis added.) Neither Westgate nor the State objected to these
instructions or requested any additional instructions.
[¶11] After retiring to deliberate, the jury asked for reinstruction on
“issues involving timing and the indictment.” When the court indicated that it
intended to repeat the instruction that it had already given regarding the
indictment’s “on or about” timeframe, again neither the State nor Westgate
raised any objection. The court reinstructed the jury that the charges “reflect
upon episodes that the State alleges took place in the summer of 2009,” and
that the jury was to consider whether each episode had been proved beyond a
reasonable doubt. It then repeated its “on or about” instruction, using the
same language as it had used before, and again without any objection.
8
[¶12] Before the jury delivered its verdict, defense counsel stated on
the record that Westgate had decided not to request a lesser-included offense
instruction “because [he] didn’t want to concede to the jury or have them
misconstrue it as a concession that he committed any wrongful act at all. [His]
defense was all or nothing, and that’s the way [he] presented it.” The State did
not request a lesser-included offense instruction, and none was given.
[¶13] The jury returned a verdict of guilty on all six counts as charged
and the court entered a judgment of conviction on the verdict. The court
imposed a sentence of ten years’ imprisonment with all but eight years
suspended, followed by ten years of probation, on each of the charges of
unlawful sexual contact, with the sentences on each charge to run
concurrently. On the charge of visual sexual aggression, the court imposed a
concurrent sentence of twelve months. Westgate filed an application to allow
an appeal from his sentence, which we granted and consolidated with his
timely appeal from the judgment of conviction. See 15 M.R.S. §§ 2115, 2151
(2015); M.R. App. P. 2(b)(2)(A), 20(a), (h).
II. DISCUSSION
[¶14] On appeal, Westgate argues that the court erred by instructing
the jury that it did not need to determine when the offenses occurred, but only
9
whether the offenses were committed within the timeframe suggested by the
evidence. He asserts that he was denied his right to a fair trial because the
court failed to clearly instruct the jury that he could only be convicted of the
crimes charged if the jury found, beyond a reasonable doubt, that the conduct
was perpetrated against the victim before her twelfth birthday.3
A. Standard of Review
[¶15] Because Westgate did not object to the court’s timing instructions
at trial, we review his unpreserved challenge to those instructions for obvious
error. See M.R. Crim. P. 30(b), 52(b) (Tower 2014);4 State v. Baker, 2015 ME
39, ¶ 11, 114 A.3d 214. To prevail on a challenge subject to the obvious error
standard, Westgate bears the burden of demonstrating “(1) an error, (2) that
is plain, (3) that affects substantial rights,” and that (4) “seriously affects the
fairness and integrity or public reputation of judicial proceedings.” State v.
Fay, 2015 ME 160, ¶ 13, 130 A.3d 364 (alterations omitted) (quotation marks
omitted).
3 We reject without discussion Westgate’s unpersuasive contention that the indictment and the
victim’s testimony offer him no protection against double jeopardy. See State v. Hebert, 448 A.2d
322, 326 (Me. 1982) (“The scope of jeopardy created by an indictment is . . . as broad as that
indictment may fairly be read.”).
4 Although the Maine Rules of Unified Criminal Procedure have superseded the Maine Rules of
Criminal Procedure since Westgate’s trial, the new rules do not differ from the former rules in any
respect that is relevant here. See M.R.U. Crim. P. 1(e)(3), 30(b), 52(b). In this opinion, we cite to the
rules in effect at the time of Westgate’s trial.
10
[¶16] In reviewing jury instructions for error at the first step of the
obvious error analysis, we evaluate the instructions in their entirety,
considering “the total effect created by all the instructions and the potential
for juror misunderstanding,” State v. Varney, 641 A.2d 185, 187 (Me. 1994)
(quotation marks omitted), and whether the instructions “informed the jury
correctly and fairly in all necessary respects of the governing law,” Baker,
2015 ME 39, ¶ 10, 114 A.3d 214 (quotation marks omitted). Jury instructions
are erroneous if they create “the possibility of jury confusion and a verdict
based on impermissible criteria.” State v. Ashby, 1999 ME 188, ¶ 3,
743 A.2d 1254 (quotation marks omitted). An instructional error is “plain” if
the error is so clear that “the trial judge and prosecutor were derelict in
countenancing it, even absent the defendant’s timely assistance in detecting
it.” State v. Dolloff, 2012 ME 130, ¶ 36, 58 A.3d 1032 (quotation marks
omitted). “An error affects a criminal defendant’s substantial rights if the
error was sufficiently prejudicial to have affected the outcome of the
proceeding.” Fay, 2015 ME 160, ¶ 13, 130 A.3d 364 (quotation marks
omitted). In reviewing for obvious error, our ultimate task is to determine
whether the defendant received a fair trial. Dolloff, 2012 ME 130, ¶ 76,
58 A.3d 1032.
11
B. Obvious Instructional Error
[¶17] A defendant facing criminal prosecution by the State has a
fundamental right, guaranteed by the Fifth and Sixth Amendments to the
United States Constitution, to a jury charged with determining whether the
State has proved, beyond a reasonable doubt, facts that establish each element
of the crime charged. United States v. Gaudin, 515 U.S. 506, 509-10 (1995). “In
order for the criminal justice system to attain just and efficient results through
the medium of a jury, it is mandatory on the part of a trial judge that in his
charge to the jury he inform them in clear and concise terms as to the law
which is applicable to the particular facts in issue which the evidence tends to
prove.” State v. Bahre, 456 A.2d 860, 866 (Me. 1983). “We have previously
ruled that a failure to properly instruct the jury on each of the essential
elements of the offense [charged] constitutes obvious error affecting
substantial rights . . . .” State v. Nickerson, 534 A.2d 1323, 1325 (Me. 1988).
[¶18] Here, Westgate was charged by indictment with five Class B
violations of 17-A M.R.S. § 255-A(1)(E-1), which criminalizes the act of
intentionally subjecting another person to sexual contact when “[t]he other
person, not the actor’s spouse, is in fact less than 12 years of age and the actor
is at least 3 years older.” He was also charged with one Class C violation of
12
17-A M.R.S. § 256(1)(B), which criminalizes the act of exposing one’s genitals
to another or causing another person to expose his or her genitals “[f]or the
purpose of arousing or gratifying sexual desire” when the actor has “in fact
attained 18 years of age” and “the other person, not the actor’s spouse, has not
in fact attained 12 years of age.” For the crimes charged, one of the facts that
had to be proved by the State, beyond a reasonable doubt, was that Westgate
had committed these acts before the victim’s twelfth birthday, which fell in the
middle of the period that the alleged victim described.
[¶19] The trial court read the indictment to the jury, but did not specify
what the elements of the criminal charges were, including the element that
the victim must have been under the age of twelve when the conduct
occurred. In addition, when the court went on to address the “[o]n or about”
timeframe employed by the indictment to pinpoint a time period during which
the offenses allegedly occurred, the court did not tell the jury that the State
had to prove that the offenses occurred before the victim’s twelfth birthday.
Instead, the court stated that the State did not have to prove an exact date.
[¶20] After retiring for deliberations, the jury submitted a note asking
for further instruction on the issue of timing. This request suggests that the
court’s initial instructions confused the jury about the necessity of
13
determining whether the offenses occurred before the victim’s twelfth
birthday. In response to the jury’s request, the court stated that the jury could
return a verdict of guilty so long as it found that the crimes had been
committed within the timeframe suggested by the evidence. The court further
instructed the jury that its principal focus should be the question of whether
the crimes had been committed, not when they occurred. Counsel did not
seek, and the court did not provide, the critical follow up to that instruction,
specifically, “as long as you find that the crime was committed before the
child’s twelfth birthday.”
[¶21] Thus, clarifying instructions regarding the issue of timing,
although generally accurate, here suggested that the date of the offenses did
not matter. Because the evidence established that the victim turned twelve on
July 20, 2009—during the summer that the offenses were allegedly
perpetrated—and the crimes charged proscribe acts perpetrated against a
victim who is younger than twelve, the date of the offenses did matter.5
5 We have stated that
[i]t is insufficient merely to give the jury general and abstract propositions of law,
which may be correct in themselves but, without further explanation as to their
application to the particular facts of the case, leave the jury to speculate as to how
they should be applied in determining guilt . . . in the factual scenario presented by
the evidence.
State v. Bahre, 456 A.2d 860, 866 (Me. 1983).
14
[¶22] Although the trial court did, by reading the indictment, suggest
that the jury had to find that the victim was under twelve, we conclude that
the import of this instruction was overcome by its incongruity with the court’s
later instruction that the State did not have to prove the dates on which the
offenses were committed. Viewing the jury instructions as a whole, we
conclude that the court’s timing instructions plainly and erroneously
suggested that the jury could bypass the issue of whether the victim was
younger than twelve when the offenses were committed. See Baker, 2015 ME
39, ¶ 14, 114 A.3d 214.
[¶23] We also conclude that the gap in the court’s instructions
regarding the necessity of finding the victim’s age denied Westgate the right to
have the jury determine whether the State had proved, beyond a reasonable
doubt, every fact necessary to support his conviction. See State v. Dana,
517 A.2d 719, 721 (Me. 1986). The court’s instructions to the jury supply the
only insight that we can have into the jury’s essential fact-finding. The
incomplete instructions given here affected Westgate’s substantial rights and
the fairness of his trial, see Fay, 2015 ME 160, ¶ 13, 130 A.3d 364, because the
instructions allowed the jury to find him guilty without determining beyond a
reasonable doubt that the conduct occurred before the victim turned twelve,
15
see Dana, 517 A.2d at 721. Because the victim’s age was an element of the
crimes charged, and the timing of the offenses relative to the victim’s twelfth
birthday was an issue disputed at trial, the instructional error compromised
the integrity of the jury’s verdict. We must conclude that the error deprived
Westgate of his fundamental right to a fair trial.
C. Disposition
[¶24] The State’s evidence at trial could establish all of the elements of
the crimes charged aside from the victim’s age. That evidence would have
been sufficient to support Westgate’s conviction for violations of the statutes
that criminalize—at lower classifications—the same conduct as that charged
when that conduct is perpetrated against a victim who is twelve or thirteen,
but not yet fourteen. See 17-A M.R.S. §§ 255-A(1)(E), (E-1), 256(1)(A), (B);
State v. Thornton, 2015 ME 15, ¶ 11, 111 A.3d 31 (explaining that the crime
defined by 17-A M.R.S. § 255-A(1)(E) is a lesser-included offense of the crime
defined by 17-A M.R.S. § 255-A(1)(E-1)). However, the State did not move to
amend the indictment to charge Westgate with the lesser-included offenses of
Class C unlawful sexual contact and Class D visual sexual aggression, and it did
not ask the court to issue lesser-included offense instructions to the jury.
16
[¶25] “The State may charge a person with . . . [a] Class . . . C crime only
through indictment by a grand jury.” Id. ¶ 7. Although a grand jury must issue
every indictment, the trial court may permit the amendment of an indictment
without resubmission to the grand jury “‘at any time before verdict or finding
if the amendment does not change the substance of the crime.’” Id. ¶ 8
(quoting M.R.U. Crim. P. 7(e)). If an amendment “creates a substantive change,
the indictment must be resubmitted to the grand jury.” State v. Gauthier,
2007 ME 156, ¶ 18, 939 A.2d 77, abrogated in part on other grounds by Manley
v. State, 2015 ME 117, ¶ 18, 123 A.3d 219. “A change is substantive if it
changes the nature or grade of the charged offense; it is formal if it does not
alter the facts that must be proved.” Id.
[¶26] The State now urges us to substantively amend the judgment to
conform to the evidence, and to impose a conviction for the uncharged
offenses of Class C unlawful sexual contact and Class D visual sexual
aggression pursuant to 17-A M.R.S. §§ 255-A(1)(E) and 256(1)(A),
respectively. However, at trial, Westgate expressly told the court that he did
not want an instruction on the lesser offenses. The State did not oppose that
request, and the court did not issue a lesser-included offense instruction of its
own initiative, though it had the discretion to do so pursuant to 17-A M.R.S.
17
§ 13-A(1) (2015). To amend the judgment at the appellate level would impose
a conviction for offenses that were not presented to the jury—and, perhaps
more importantly, for charges that neither party wanted the jury to consider.
[¶27] The uncertainty demonstrated by the parties and the court
regarding the necessary elements to charge the jury to obtain a conviction on
the Class B charge of unlawful sexual contact may be attributable, in part, to
the confusing evolution of the law proscribing unlawful sexual contact. Title
17-A M.R.S.A. § 255 (1983),6 the predecessor to section 255-A, was originally
enacted in 1975. P.L. 1975, ch. 599, § 1 (effective May 1, 1976). The elements
of the crime of unlawful sexual contact as set out in the 1983 version of the
statute prohibited sexual contact with another person in five specific
instances: when the victim (A) had not expressly or impliedly acquiesced in
the sexual contact; (B) was unconscious or otherwise physically incapable of
resisting, and had not consented to the sexual contact; (C) was under age
fourteen and the defendant was at least three years older; (D) suffered from
an apparent mental disability that rendered him or her substantially incapable
of understanding the nature of the contact; or (E) was in official custody and
6 Title 17-A M.R.S.A. § 255 was repealed and replaced by P.L. 2001, ch. 383, §§ 22, 23 (effective
Jan. 31, 2003) and has since been amended, most recently by P.L 2011, ch. 691, §§ A-14, A-15
(effective May 22, 2012) (codified at 17-A M.R.S. § 255-A (2015)).
18
the defendant had disciplinary or supervisory authority over him or her.
17-A M.R.S. § 255(1)(A-E).
[¶28] No sentencing classification was specified within the elements of
any of these five criminal acts; sentencing classification was addressed in a
separate subsection, 17-A M.R.S.A. § 255(2), indicating that unlawful sexual
contact was a Class D crime, except that violation of subsection (1)(C), sexual
contact with a person under age fourteen, was enhanced to a Class C crime.
[¶29] By the time section 255 was repealed and replaced effective
January 31, 2003, P.L. 2001, ch. 383, §§ 22, 23 (codified at 17-A M.R.S.A.
§ 255-A (Supp. 2002)), the unlawful sexual contact prohibition had evolved
into twenty separately defined crimes, with the sentencing classification for
each stated within the paragraph stating the elements of each crime. The
unlawful sexual contact prohibition in 17-A M.R.S. § 255-A(1) (2015) has
further evolved into twenty-nine separate crimes, each with its own
sentencing classification ranging from Class A to Class D. With the offense so
defined, many prohibited acts may be subject to separate prosecutions for
violation of the separately defined crimes, and confusion by the prosecution,
the defense, and the courts as to how to address and instruct juries on
prosecution for any particular offense is understandable.
19
[¶30] Because the jury was not adequately advised of the necessity of
finding that the crimes were committed before the victim’s twelfth birthday,
and we cannot know whether a properly-instructed jury would have
convicted Westgate of the offenses charged—or of any lesser offenses had it
been given the opportunity—we have no choice but to vacate the conviction
and remand the case for further proceedings.7 See Bollenbach v. United States,
326 U.S. 607, 615 (1946) (“In view of the place of importance that trial by jury
has in our Bill of Rights, . . . the belief of appellate judges in the guilt of an
accused, however justifiably engendered by the dead record, [should not be
substituted] for ascertainment of guilt by a jury under appropriate judicial
guidance . . . .”).
The entry is:
Judgment of conviction vacated. Remanded for
a new trial.
7 Because we vacate Westgate’s conviction, we do not consider his contentions that the court
abused its discretion in setting his sentence.
20
On the briefs:
Jamesa J. Drake, Esq., Drake Law, LLC, Auburn, for appellant
Nicholas E. Westgate
Kathryn Loftus Slattery, District Attorney, Prosecutorial
District 1, Alfred, and Anne Marie Pazar, Esq., Alfred, for
appellee State of Maine
At oral argument:
Jamesa J. Drake, Esq., for appellant Nicholas E. Westgate
Anne Marie Pazar, Esq., for appellee State of Maine
York County Superior Court docket number CR-2012-1285
FOR CLERK REFERENCE ONLY