Opinion ID: 2216780
Heading Depth: 1
Heading Rank: 8

Heading: Did trial court's causation instruction constitute error?

Text: Defendant challenges the causation instruction submitted to the jury on two basic grounds. First, he asserts that it inappropriately adopted the standards of proximate cause applied in civil cases. Secondly, he argues that the instruction was unwarranted by the facts of the case. Turning to the first grounds, we observe that the instructions bear a close resemblance to I Iowa Uniform Jury Instructions Nos. 2.6, 2.7B, 2.8 (1970), explaining proximate cause and concurring proximate cause, and an excerpt from the recent products liability case of Haumersen v. Ford Motor Co., 257 N.W.2d 7, 15 (Iowa 1977), defining intervening, superseding cause. We are unwilling to hold as a blanket rule of law that instructions used in civil trials regarding proximate cause are inappropriate for criminal trials. One reason for this is the similar functions that the requirement of proximate cause plays in both sorts of trials. The element of proximate cause in criminal prosecutions serves as a requirement that there be a sufficient causal relationship between the defendant's conduct and a proscribed harm to hold him criminally responsible. See J. Hall, General Principles of Criminal Law 247 (2d ed. 1960); W. LaFave & A. Scott, Handbook on Criminal Law § 35, at 248 (1972). Similarly, in the law of torts it is the element that requires there to be a sufficient causal relationship between the defendant's conduct and the plaintiff's damage to hold the defendant civilly liable. See W. Prosser, Handbook of the Law of Torts § 41, at 236 (4th ed. 1971). The basic perspectives of proximate cause that must be examined to determine whether it exists in a given case are also the same in both civil and criminal cases. The first perspective is cause in fact. Factual causation is often expressed in terms of the sine qua non test: but for the defendant's conduct, the harm or damage would not have occurred. W. LaFave & A. Scott, supra § 35, at 249; W. Prosser, supra § 41, at 237-39; see, e. g., Cronk v. Iowa Power & Light Co., 258 Iowa 603, 613, 138 N.W.2d 843, 848-49 (1965); Christianson v. Kramer, 255 Iowa 239, 249-50, 122 N.W.2d 283, 289 (1963). That the sine qua non test, employed by trial court, is equally applicable to criminal and civil trials is beyond question. W. LaFave & A. Scott, supra § 35, at 251 n.22; see State v. Shimon, 182 N.W.2d 113, 115 (Iowa 1970) (concluding application of sine qua non test of causation found in I Iowa Uniform Jury Instructions No. 2.6 (1970) not prejudicial in manslaughter case). The second perspective of causation that must be examined in both tort and criminal trials is legal causation. Dean Prosser remarked that this becomes essentially a question of whether the policy of the law will extend the responsibility for the conduct to the consequences which have in fact occurred. W. Prosser, supra § 42, at 244. Because it is based upon such a nebulous, undefined consideration as policy, a universal formula for legal causation is untenable. Rather, it is most fruitfully approached by using criteria adapted to a particular problem area, such as intervening causes. Id. § 42, at 249-50; see Restatement (Second) of Torts § 431 (1965) (establishing test for legal cause that refers to rules governing various situations) (applied by this court in Frederick v. Goff, 251 Iowa 290, 298, 100 N.W.2d 624, 629 (1960)). We recognize that different policy considerations may come into play in criminal prosecutions than in civil trials. See, e. g., W. LaFave & A. Scott, supra § 35, at 251-52; Comment, The Use of the Tort Liability Concept of Proximate Cause in Cases of Criminal Homicide, 56 Nw.U.L.Rev. 791, 791-92 (1962). An argument could be made that these differences should be reflected in the proximate cause instructions used in the different kinds of trials. Yet defendant has failed to indicate any differences in policy considerations relevant to his case, much less how such differences might have prejudicially affected any particular instruction given here. For a party to preserve for appeal his objections to a trial court's instructions on this amorphous and multifaceted matter of legal causation, he or she must specify the deficiency in narrower terms than a mere assertion that they copy civil instructions. See, e. g., State v. Brandt, 182 N.W.2d 916, 917-18 (Iowa 1971); Noble v. Edberg, 250 Iowa 1331, 1336-37, 98 N.W.2d 741, 744-45 (1959); Newman v. Blom, 249 Iowa 836, 845-46, 89 N.W.2d 349, 356 (1958); Iowa R.Civ.P. 196 (requiring that objections to instructions specify the matter objected to and on what grounds) (made applicable to criminal trials by Iowa R.Crim.P. 18(7)(f)). See also Olson v. Des Moines City Railway, 186 Iowa 384, 397-402, 170 N.W. 466, 470-72 (1919) (applying predecessor to Iowa R.Civ.P. 196). Consequently, we are not here justified in examining the adequacy of the criteria for determining legal cause in these instructions. Defendant's second ground for his objection to the causation instruction, that it was unjustified by the evidence, was based on his misconception that, once defendant laid the gun down, his participation in causing Gloria's death ended as a matter of law. Accordingly, he requested that trial court give no causation instruction, or, if such an instruction were given, that it include a statement requiring the jury to acquit defendant if it felt the sole proximate cause of Gloria's death was her own act. We conclude the evidence presented at trial supported the instructions given. Defendant was shown to have provided Gloria with the means to shoot herself by loading the gun and setting it beside her. Thus, the instructions relating to cause in fact were appropriate. The evidence also showed that, after defendant performed these acts, Gloria picked up the gun and shot herself. Hence, the instructions relating to intervening, superseding causes were also appropriate. An intervening cause is an independent force which actively operates in producing harm to another after the actor's negligent act or omission has been committed. Sayre v. Andrews, 259 Iowa 930, 942, 146 N.W.2d 336, 343 (1966) (quoting Restatement (Second) of Torts § 441(1) (1965)); see W. LaFave & A. Scott, supra § 35, at 257; W. Prosser, supra § 44, at 271. Only intervening causes which are also superseding relieve the defendant of liability. Haumersen v. Ford Motor Co., 257 N.W.2d 7, 15 (Iowa 1977). Thus, it was necessary for trial court to instruct the jury as to criteria for determining whether the intervening act of Gloria's shooting herself was also a superseding act. Trial court would not have been justified in determining, as a matter of law, that her act was a superseding cause. See id. (question is for jury when reasonable minds may differ as to outcome of application of test for intervening, superseding cause). See also State v. Bier, 591 P.2d 1115, 1118 (Mont.1979); Commonwealth v. Feinberg, 433 Pa. 558, 568-69, 253 A.2d 636, 642 (1969) (recognizing that providing means to inflict self-injury may show a sufficient causal connection to sustain a homicide conviction if the self-injury was a foreseeable result). The instruction on intervening, superseding causes made unnecessary the statement that defendant requested to be instructed. If the jury had found Gloria's act in shooting herself to have been an intervening, superseding cause, it would have, in effect, also found it to have been the sole proximate cause of her death. Defendant's requested instruction would have added nothing and might have confused the jury. See W. Prosser, supra § 42, at 244 (word proximate is an unfortunate word, which places an entirely wrong emphasis upon the factor of physical or mechanical closeness). Other objections to the instructions by defendant were waived for their untimely assertion. These objections were raised after the jury returned its verdict, as part of his motion for judgment of acquittal. To be preserved, objections to instructions must be raised prior to jury arguments. Iowa R.Civ.P. 196 (made applicable to criminal trials by Iowa R.Crim.P. 18(7)(f)).