Opinion
23A-CR-2106
06-06-2024
Matthew Shaffer, Appellant-Defendant v. State of Indiana, Appellee-Plaintiff
Attorney for Appellant Peter Capofari Sorrell & Associates Fortville, Indiana Attorneys for Appellee Theodore E. Rokita Attorney General of Indiana Ian McLean Deputy Attorney General Indianapolis, Indiana
Pursuant to Ind. Appellate Rule 65(D), this Memorandum Decision is not binding precedent for any court and may be cited only for persuasive value or to establish res judicata, collateral estoppel, or law of the case.
Appeal from the Wayne Superior Court The Honorable Gregory A. Horn, Judge Trial Court Cause No. 89D02-2006-F1-4
Attorney for Appellant Peter Capofari Sorrell & Associates Fortville, Indiana
Attorneys for Appellee Theodore E. Rokita Attorney General of Indiana
Ian McLean Deputy Attorney General Indianapolis, Indiana
MEMORANDUM DECISION
RILEY, JUDGE
STATEMENT OF THE CASE
[¶1] Appellant-Defendant, Matthew Shaffer (Shaffer), appeals his conviction for neglect of a dependent resulting in catastrophic injury, a Level 1 felony, Ind. Code § 35-46-1-4(b)(3).
[¶2] We affirm.
ISSUE
[¶3] Shaffer presents this court with one issue on appeal, which we restate as: Whether the State proved beyond a reasonable doubt that he committed neglect of a dependent resulting in catastrophic injury.
FACTS AND PROCEDURAL HISTORY
[¶4] Shaffer and Casey Miller (Miller) are the biological parents of Hunter, born in November 2018, and Ella, born on November 20, 2019. Ella was born six weeks premature and had a number of health concerns at birth. Ella spent forty-five days in the NICU, where most of her health concerns were resolved, and she was a healthy baby when she was discharged from the NICU on January 10, 2020. Ella had four well-child appointments in January 2020 during which her general health was monitored. On March 27, 2020, Ella had her four-month well-child appointment, wherein no injuries or other concerns were noted.
[¶5] At the end of March 2020, Shaffer and Miller were in the process of moving into a home which belonged to Brenda Clark (Clark), Miller's aunt. On March 31, 2020, around 8 a.m., Clark entered the living room where she encountered Shaffer. They conversed for a short while until Clark left fifteen minutes later. Upon her return at 3:00 p.m., Shaffer informed her that Ella had stopped breathing earlier that day. Clark noticed that Ella, who was laying on an ottoman in front of Shaffer's chair, made no noise but was "breathing funny." (Transcript Vol. II, p. 250). Shaffer walked past Ella into the kitchen, while Miller remained near Ella. Clark was on the phone with Miller's mother, who was "screaming over the phone" at Miller. (Tr. Vol. III, p. 4). Suddenly, Miller came "out of the chair at [Clark], [] telling us to mind our own business, that it was their kid, and that they would deal with it when they were ready to." (Tr. Vol. III, p. 4). Shaffer, standing in the kitchen doorway, was also yelling, "No ambulance. No cops. Nothing. We'll deal with it." (Tr. Vol. III, p. 4). Clark spent the rest of the evening monitoring Ella's breathing, while Shaffer continued moving possessions from the old place to the new residence, and Miller spent the evening in her chair texting.
[¶6] The next day, April 1, 2020, Shaffer and Miller did not wake up until the afternoon. Later that same afternoon, they decided to take Ella to the hospital. As Shaffer was carrying Ella to the car, he asked Clark to look at Ella's hand and arm, telling her, "she's having a seizure." (Tr. Vol. III, p. 8). Shaffer put Ella in his car, but then returned to the house, explaining to Clark that Miller had been arguing with him and that he was not going to the hospital. Clark warned Shaffer that if he was not going to take Ella to the hospital, he should call an ambulance. Shaffer called 911 and informed the dispatcher that on March 31, 2020, Ella had been lying on him and was fussing. When he turned her over, she stopped breathing. Shaffer explained that he had performed CPR but that Ella was "out of it[,] she acts confused, she randomly cries and [is] breathing shallow [] today's she's out of it." (State's Exh. 1). Shaffer also informed the dispatcher that on March 31, 2020, and April 1, 2020, Ella made small movements that "look[ed] like she [wa]s having mini seizures." (State's Exh. 1).
[¶7] Shortly after 5:30 p.m. on April 1, 2020, an ambulance arrived at the residence. Miller and Ella were inside the car. Miller had locked the doors and refused emergency personnel to attend to Ella. After police arrived, Miller unlocked the door and allowed Ella to receive medical assistance. Ambulance personnel noticed Ella's pale color and unresponsiveness. Ella was making rhythmic movements with her tongue, which in an infant is indicative of a seizure. Ella would become responsive, but then her gaze would fix and her responsiveness would decrease, both of which were markers of a seizure occurrence. Emergency personnel administered anti-seizure medicines and transported her to Reid Hospital. The attending physician spoke with Shaffer and Miller, who admitted that Ella had been displaying seizures and irregular breathing since the day before, that they had tried to administer CPR, but that they had not summoned medical assistance until late in the afternoon the following day. These admissions raised the attending physician's "suspicion for non-accidental trauma or abuse and really heightened [his] awareness of what was needed to look at for" Ella. (Tr. Vol. II, p. 215).
[¶8] A CT scan established that Ella had suffered "potentially prior damage" to her brain, with ongoing bleeding which could result in organ damage and seizures. (Tr. Vol. II, p. 216). An X-ray reflected a posterior rib fracture, which, in conjunction with her brain damage, further increased suspicions of abuse. Ella's breathing was "dysregulated," meaning that at times her breathing was rapid while at other times it was too slow. (Tr. Vol. II, p. 218). Ella did not display normal mental activity, did not respond to IV pokes, and did not look around the room like a normal four-month-old would have done. Due to the severity of her condition, Ella was transported by helicopter to Riley hospital (Riley) in Indianapolis.
[¶9] Detective Mark Sutton with the Richmond Police Department (Detective Sutton) met with Shaffer and Miller at their residence. While Sutton expected them to be upset about Ella, Detective Sutton found them to be "very relaxed . . . Very calm about things." (Tr. Vol. II, p. 171). The detective transported Shaffer and Miller to the station for an interview, where they were read their Miranda rights.
[¶10] During his interview with Detective Sutton, Shaffer explained that on the morning of March 31, 2020, after Clark had left the house, Ella became fussy so Miller gave her a bottle, but Ella passed out. After she woke up a short time later and refused her bottle, Shaffer bounced her and patted her on the back, at which point she stopped breathing. When Shaffer, who was playing a game on his phone, noticed that Ella had stopped breathing, he leaned forward and Ella's head "flopped down." (State's Exh. 12). Listening at her chest, he could detect a faint heartbeat. Shaffer performed the "CPR thing they teach you when the baby's born." (State's Exh. 12). Despite taking several breaths, each time, Ella stopped breathing. Shaffer claimed that Miller "freaked out," and that they kept administering CPR until Ella began breathing slowly. (State's Exh. 12). Ella was "kind of space[d] out" and "convulsing." (State's Exh. 12). Doing research on her phone into the symptoms Ella was displaying, Miller was convinced that Ella was having mini seizures. Shaffer thought Ella's condition was slowly improving but she was still not acting normal on March 31, 2020. Shaffer informed Detective Sutton that he and Miller slept until noon on April 1, 2020. When they woke up, they noticed that Ella's condition had remained unchanged. She was still making odd body movements and refused food. They decided to take Ella to the hospital, but before departing Shaffer took a shower. Shaffer and Miller then started the argument that resulted in Shaffer calling 911 at Clark's urging.
[¶11] Examination of Ella at Riley established that Ella had a history of bruising and had suffered a fracture to her fifth right rib toward the spine, which had been produced by trauma, "a front to back squeezing of the chest." (Tr. Vol. III, p. 48). This type of injury is not self-inflicted and could not have been caused by the administration of CPR. The fracture would have been painful to Ella and the evidence of partial healing indicated that this fracture had been inflicted seven to ten days prior to Ella's admittance at Riley. In addition, Ella had also suffered a metaphyseal lesion, or "bucket handle fracture," to the end of her upper right humerus. (Tr. Vol. III, p. 46). This break would have been inflicted by a "forceful, significant force pulling or yanking of a limb" such that "the end of the bone separates from the rest of the bone, so it's like ripping the end of the bone off." (Tr. Vol. III, p. 46). Ella was also diagnosed with bleeding on her brain and spine, and retinal hemorrhages in both of her eyes, all of which had been caused by a violent acceleration/deceleration similar to shaking and by a forceful rotating action on the brain. None of these injuries could have been the result of Ella's premature birth, self-inflicted, or inflicted by a toddler.
[¶12] Dr. Shannon Thompson (Dr. Thompson), a child abuse pediatrician at Riley, testified that the acceleration/deceleration trauma that caused Ella's brain to bleed would have resulted in noticeable signs that additional injuries were occurring. The bleeding caused a "cascade of events" as Ella's brain tried to cope with the trauma, releasing chemicals to maintain her blood pressure, which in turn brought more blood to her brain resulting in continued bleeding, swelling, inflammation, and an ongoing loss of oxygen from the poor blood flow through Ella's brain. (Tr. Vol. III, p. 52). These new injuries would have produced symptoms such as somnolence, lack of appetite, stopped or poor breathing, paleness, and seizure activity. Seizures would present themselves in the form of limb twitching or moving, causing further damage to Ella's brain. Dr. Thompson detailed that eventually, prolonged and untreated bleeding in Ella's brain would produce "significant hypoxic ischemic injury" as her brain cells died from oxygen starvation. (Tr. Vol. III, p. 50). Dr. Thompson explained that it would have been "[e]xtremely important" to obtain immediate medical care for Ella once she began displaying these symptoms. (Tr. Vol. III, p. 66). The administration of oxygen would have prevented further injury to Ella's brain by the continued seizures and oxygen deprivation, while antiseizure medication could have protected Ella from the seizures. The delay of approximately thirty hours in the administration of these medical remedies was "significant" for Ella's worsening condition. (Tr. Vol. III, p. 67). Dr. Thompson concluded that "any reasonable caregiver [] would've sought care immediately" and not waited thirty hours when confronted with Ella's symptoms. (Tr. Vol. III, p. 71). As a result of her injuries, Ella suffered irreversible death of two parts of her brain, developed cerebral palsy, and is subjected to constant contractions of her muscles. Ella requires around the clock care in her foster home, she cannot roll over, crawl, or walk, nor is she expected to develop those abilities.
[¶13] On June 18, 2020, the State filed an Information, charging Shaffer with Level 1 felony neglect of a dependent resulting in catastrophic injury (brain injury), three Counts of Level 3 neglect of a dependent resulting in serious bodily injury (fractured rib, retinal hemorrhage, metaphyseal lesion), and Level 6 felony neglect of a dependent (deprivation of medical care). On June 26, 2023, the trial court convened Shaffer's four-day jury trial. The jury found Shaffer guilty of Level 1 felony neglect and Level 6 felony neglect but found him not guilty of the remaining charges. On August 11, 2023, the trial court ordered Shaffer to serve thirty years for his Level 1 felony neglect conviction and to serve one year for his Level 6 felony neglect conviction at the Department of Correction. The trial court ordered Shaffer to serve his sentences concurrently, for an aggregate sentence of thirty years.
[¶14] Shaffer now appeals. Additional facts will be provided as necessary.
DISCUSSION AND DECISION
[¶15] Shaffer contends that the state failed to present sufficient evidence beyond a reasonable doubt to support his conviction for Level 1 felony neglect of a dependent. Our standard of review with regard to sufficiency claims is well-settled. In reviewing a sufficiency of the evidence claim, this court does not reweigh the evidence or judge the credibility of the witnesses. Clemons v. State, 987 N.E.2d 92, 95 (Ind.Ct.App. 2013). We consider only the evidence most favorable to the judgment and the reasonable inferences drawn therefrom and will affirm if the evidence and those inferences constitute substantial evidence of probative value to support the judgment. Id. Reversal is appropriate only when reasonable persons would not be able to form inferences as to each material element of the offense. Id.
[¶16] The State charged Shaffer with Level 1 felony neglect of a dependent in relevant part as follows:
[O]n or before April 1, 2020, [] Shaffer, being at least 18 years of age and having the care of [Ella], a dependent less than 14 years of age, did knowingly place said dependent in a situation that endangered the dependent's life or health, to-wit: failed to
protect [Ella] from being injured and which resulted in catastrophic injury to [Ella], to-wit: brain injury[.](Appellant's App. Vol. II, p. 55). In a neglect case, the mens rea is the defendant's subjective awareness of a high probability that he placed the dependent in a dangerous situation. Perryman v. State, 80 N.E.3d 234, 250 (Ind.Ct.App. 2017). This awareness is a mental function. Lush v. State, 783 N.E.2d 1191, 1196 (Ind.Ct.App. 2003). Absent an admission by the defendant, intent must be determined from a consideration of the defendant's conduct and the natural and usual consequences thereof. Id. "The trier of fact must resort to reasonable inferences based upon an examination of the surrounding circumstances to determine whether, from the person's conduct and the natural consequences of what might be expected from that conduct, a showing or inference of the intent to commit that conduct exists." Id.
Prior to trial, the State attempted to amend the charging Information twice by inserting the more explicit language that Shaffer "did knowingly place said dependent in a situation that endangered the dependent's life or health, to wit: failed to provide timely medical care, which resulted in catastrophic injury[.]" (Appellant's App. Vol. II, pp. 6-11; 25-32)(emphasis added). The trial court denied both amendments on the ground that the change was substantive in nature.
[¶17] Focusing on the elements of the charge, Shaffer contends that the State failed to prove that he knowingly or intentionally placed Ella in a situation that endangered her health. More specifically, Shaffer notes that the "State's theory seemed to be that the lack of immediate medical care resulted in Ella's catastrophic injuries, but the record does not directly support this theory." (Appellant's Br. p. 17). We disagree.
[¶18] Medical testimony by Dr. Thompson reflects that on March 31, 2020, Ella was subjected to forceful trauma that tore the blood vessels in her brain and sheared the end of her right humerus. Symptoms of follow-on injuries resulting from the accumulation of blood on Ella's brain appeared almost immediately on March 31, 2020, such as listlessness, lack of appetite, seizing, and stopped and irregular breathing. Shaffer admitted that he observed all these symptoms and claimed to have administered CPR, yet Ella was "kind of space[d] out" and "convulsing. (State's Exh. 12). A parent is charged with an affirmative duty to care for his or her child. Mallory v. State, 563 N.E.2d 640, 644 (Ind.Ct.App. 1990). "Neglect is the want of reasonable care-that is, the omission of such steps as a reasonable parent would take, such as are usually taken in the ordinary experience of mankind...." White v. State, 547 N.E.2d 831, 836 (Ind. 1989) (quoting Eaglen v. State, 231 N.E.2d 147, 150 (1967)). Yet, despite being aware of and observing Ella's worsening symptoms, Shaffer did not seek help but instead continued to place Ella in danger and failed to protect her from being further injured as he spent the rest of March 31, 2020 moving his belongings into the new residence and slept until the afternoon on April 1, 2020.
[¶19] Clark's testimony clarified that Shaffer failed to seek medical treatment for Ella's worsening symptoms during a thirty-hour period from the onset of these symptoms because Shaffer was afraid of law enforcement involvement. Although Miller was prepared to deal with Ella "when they were ready," Shaffer was more explicit by adamantly shouting, "No ambulance. No cops. Nothing. We'll deal with it." (Tr. Vol. III, pp. 4,6). On April 1, 2020, more than an entire day after the commencement of Ella's symptoms, Shaffer realized that her situation could no longer be ignored and, after first taking a shower, agreed to take Ella to the hospital. Even then, Shaffer's and Miller's personal squabble, which caused Shaffer to refuse to drive to the hospital, took precedence over Ella's safety and wellbeing. When the ambulance was called and the first responders arrived, Clark and law enforcement had to prevail on Miller and Shaffer to allow Ella to be treated.
[¶20] "When there are symptoms from which the average layperson would have detected a serious problem necessitating medical attention, it is reasonable for the jury to infer that the defendant knowingly neglected the dependent." Mitchell v. State, 726 N.E.2d 1228, 1240 (Ind. 2000); see also Lush, 783 N.E.2d 1191, 1197-98 (Ind.Ct.App. 2003) (finding sufficient evidence of neglect through deprivation of medical care where Lush inflicted the victim's injuries and care was delayed by fifteen minutes as Lush went to the victim's mother's workplace prior to taking the victim to the hospital). Any reasonable person confronted with Ella's symptoms would have realized that medical care was required to protect Ella from the cascading injuries caused by the original trauma to her brain.
[¶21] In support of his argument that he did not fail to protect Ella, Shaffer claims that there is not enough evidence that he personally inflicted Ella's original injuries, i.e., her broken rib, the bruising, or the trauma to her brain and arm. We agree with the State that Shaffer's argument is unavailing. The charging Information did not require the jury to find that Shaffer personally harmed Ella, but merely that he placed Ella in a situation that endangered her life and failed to protect her from being further harmed, with brain injury as a result. Here, it was clear that Shaffer's deliberate inaction to procure medical attention for Ella contributed to Ella's cascading injuries. Shaffer also argues that the State failed to establish when exactly Ella's further injuries occurred during the thirty hours Shaffer delayed medical treatment, and did not prove which of Ella's resulting injuries could have been prevented by more immediate treatment. However, that degree of precision is not statutorily required as it is sufficient that the evidence shows that "the sooner treatment is sought for patients suffering from these kinds of injuries, the better the outcome." Lush, 783 N.E.2d at 1198. The State satisfied this burden through the testimony of Dr. Thompson who explained that it would have been "[e]xtremely important" to obtain immediate medical care for Ella once she began displaying a worsening in symptoms. (Tr. Vol. III, p. 67). Dr. Thompson clarified that the administration of oxygen would have prevented further injury to Ella's brain by the continued seizures and oxygen deprivation, while anti-seizure medication could have protected Ella from the seizures. The delay of approximately thirty hours in the administration of these medical remedies was "significant" for Ella's worsening condition. (Tr. Vol. III, p. 67).
[¶22] Whatever the cause of Ella's original trauma, Shaffer was aware that immediate medical help was required to protect her from cascading additional injuries. He refused to summon that help for thirty hours because he was frightened that police might become involved in examining Ella's injuries. As Shaffer's inaction and delay in seeking medical attention after the original injury resulted in a cascade of worsening injuries, we conclude that the State presented sufficient evidence from which the jury could find that Shaffer's failure to protect Ella caused Ella's severe brain injury.
CONCLUSION
[¶23] Based on the foregoing, we hold that the State presented sufficient evidence beyond a reasonable doubt to establish Shaffer's conviction for neglect of a dependent, as a Level 1 felony.
[¶24] Affirmed.
Felix, J. and Kenworthy, J. concur.