Precision in Preservation: Vermont Supreme Court Clarifies Waiver vs. Forfeiture and Reaffirms Limits on Public-Trial, Consequences Instructions, and Interpreter Claims
Case: State v. Aita Gurung, 2025 VT 52 (Vt. Aug. 29, 2025)
Court: Vermont Supreme Court
Author: Waples, J., for a unanimous Court (Reiber, C.J., Eaton, Carroll, Cohen, and Waples, JJ.)
Introduction
In State v. Aita Gurung, the Vermont Supreme Court affirmed convictions for first-degree murder and second-degree attempted murder after a jury rejected the defendant’s insanity defense. This high-profile case involved intensely graphic evidence, contested jury-management procedures, and extensive litigation over language interpretation services for a Nepali-speaking defendant. On appeal, the defendant pressed five principal claims:
- That a prior, dismissed prosecution barred the subsequent prosecution;
- That he and the public were improperly excluded from portions of the trial;
- That the jury instructions were confusing, including the refusal to deliver a “consequences” instruction regarding a not-guilty-by-reason-of-insanity verdict;
- That deliberating jurors were given unfettered, unmonitored access to a graphic cell-phone video;
- That the court failed to ensure competent language interpretation.
The Court’s decision is most notable for a clarifying restatement of Vermont’s preservation doctrine: it distinguishes with precision between true waiver (extinguishing appellate review, including plain error) and forfeiture (allowing plain-error review if argued). This clarification, paired with detailed applications across the defendant’s claims, sets a practical blueprint for litigants and judges on how objections must be raised, preserved, and reviewed.
Summary of the Opinion
The Vermont Supreme Court affirmed all convictions. The Court:
- Preservation: Clarified that “waiver” (voluntary, intentional relinquishment of a known right) extinguishes appellate review entirely, whereas “forfeiture” (failure to timely assert a right) may permit plain-error review if argued.
- Prior prosecution: Held that the Attorney General had authority to refile charges after the State’s Attorney dismissed the first case without prejudice; collateral estoppel did not apply because there was no final judgment on the merits; a new “judicial admissions” theory was unpreserved.
- Public-trial and presence rights: No violation occurred when peremptory and for-cause challenges were exercised in chambers (functionally the equivalent of sidebar), as voir dire remained public; the defendant’s exclusion from legal conferences on Rule 29 and jury instructions was invited (waived) by counsel.
- Jury instructions: The trial court properly refused a “consequences” instruction for an insanity verdict; the supplemental instruction on the temporal focus of insanity (“at the time of the incident”) was accurate and not misleading.
- Graphic video in deliberations: Any error in allowing jurors to view the cell-phone video unsupervised during deliberations was invited by defense counsel; thus, the claim was waived and unreviewable.
- Interpreter issues: The court did not abuse its discretion; the governing standard is fundamental fairness focusing on the defendant’s comprehension and ability to participate. The defense failed to show prejudice or impaired understanding; a formal court recording of the interpretation is not required, though better practice may counsel it.
Analysis
Precedents and Authorities Cited and How They Shaped the Decision
- Preservation and Review
- United States v. Olano, 507 U.S. 725 (1993): Anchors the waiver/forfeiture distinction (“forfeiture is the failure to make the timely assertion of a right”).
- State v. Freeman, 2013 VT 25: Defines waiver as a voluntary and intentional relinquishment of a known right; informs the “invited error” doctrine.
- State v. Alzaga, 2019 VT 75; State v. Spooner, 2010 VT 75; State v. Caron, 2020 VT 96; State v. Morse, 2019 VT 58: Vermont’s invited-error line—true waiver forecloses any review, including plain error.
- United States v. Lewis, 125 F.4th 69 (2d Cir. 2025): A true waiver extinguishes the claim and negates even plain-error review.
- V.R.A.P. 28 (issue statement and preservation) and Vermont cases (Kandzior, Brink, Ben-Mont, Washburn, Rideout) emphasize raising issues with specificity below to allow factual development and a ruling.
- Authority to Refile and Preclusion
- Office of State’s Attorney v. Office of the Attorney General, 138 Vt. 10 (1979): The AG and State’s Attorney share equal authority to initiate criminal prosecutions; one office’s decline does not bind the other.
- State v. Forbes, 147 Vt. 612 (1987): Dismissal without prejudice before jeopardy attaches does not preclude further prosecution.
- Hazen v. Lyndonville Nat’l Bank, 70 Vt. 543 (1898): A dismissal without prejudice is akin to a nonsuit—no adjudication on the merits.
- Issue preclusion elements: In re Cent. Vt. Pub. Serv. Corp., 172 Vt. 14 (2001); applied with Pollander and Scott: no final merits judgment here—no preclusion.
- Public Trial and Presence
- Illinois v. Allen, 397 U.S. 337 (1970); V.R.Cr.P. 43; State v. Grace, 2016 VT 113: Presence right attaches at critical stages; presence is not required for purely legal conferences.
- Presley v. Georgia, 558 U.S. 209 (2010): Public trial right includes voir dire. The Court distinguishes between public voir dire and back-room challenges.
- Cohen v. Senkowski, 290 F.3d 485 (2d Cir. 2002): No constitutional right to be present at in-chambers juror challenges if the defendant attends voir dire questioning, can consult counsel, and strikes are announced in open court; aligned decisions include Fontenot, Gayles, Bascaro.
- Morales v. United States, 635 F.3d 39 (2d Cir. 2011); United States v. Lee, 290 F. App’x 977 (9th Cir. 2008); Richmond Newspapers (Brennan, J., concurring): Public-access norms distinguish voir dire from peremptory/for-cause exercise at sidebar/in chambers.
- State v. Cardinal, 162 Vt. 418 (1994): Exercises at the bench do not violate presence rights when the defendant is in court.
- Insanity Instructions and “Consequences”
- State v. Smith, 136 Vt. 520 (1978): Disposition after an NGI verdict is a matter for the court and not to be charged to the jury; juries decide facts, not punishment or post-verdict consequences.
- State v. Percy, 146 Vt. 475 (1986): Affirms curative instruction that consequences are “not [the jury’s] worry” following improper argument; confirms the Smith rule.
- State v. Delisle, 162 Vt. 293 (1994): A narrow exception to avoid misleading jurors—does not alter Smith for insanity consequences; applies when the jury must be told about the effect of a time-barred lesser-included offense.
- Shannon v. United States, 512 U.S. 573 (1994): Consequences of a verdict are irrelevant to the jury’s task.
- Insanity standard: 13 V.S.A. § 4801 (“at the time of such conduct”).
- Graphic Video in Deliberations
- Reaffirmation of invited-error/waiver: defense urged jurors to rewatch the video and agreed to provide it for unsupervised deliberations; under Freeman, Alzaga, Morse, this extinguishes review.
- State v. Koveos, 169 Vt. 62 (1999): Related to defendant presence at video playback; likewise waived here.
- Interpreter Rights
- Federal constitutional baseline: United States ex rel. Negron v. New York, 434 F.2d 386 (2d Cir. 1970); United States v. Henry, 888 F.3d 589 (2d Cir. 2018): Right to competent interpretation to ensure comprehension and ability to consult counsel effectively.
- Fundamental fairness standard: Valladares v. United States, 871 F.2d 1564 (11th Cir. 1989); United States v. Tapia, 631 F.2d 1207 (5th Cir. 1980); focus on whether comprehension and participation were adequate.
- Applied benchmarks: United States v. Da Silva, 725 F.2d 828 (2d Cir. 1983); United States v. Lim, 794 F.2d 469 (9th Cir. 1986) (discretion over interpreter use); Commonwealth v. Lee, 134 N.E.3d 523 (Mass. 2019) (extensive interpreted Q&A as evidence of comprehension).
- Vermont rule: V.R.Cr.P. 28 requires provision of competent services as necessary to ensure meaningful access.
- Recording requests: No constitutional requirement to record interpretations (In re Pheth, 502 P.3d 920 (Wash. Ct. App. 2021); People v. Braley, 879 P.2d 410 (Colo. App. 1993); United States v. Hernandez, 1990 WL 125519).
- Judiciary’s Language Access and Operations Manual: Advises recording interpreted proceedings, but it is policy guidance, not a constitutional or per se legal mandate.
The Court’s Legal Reasoning
1) Preservation: Precise Terminology, Concrete Consequences
The Court foregrounded its opinion by clarifying preservation doctrine, expressly distinguishing:
- Waiver (true waiver/invited error): A voluntary, intentional relinquishment of a known, enforceable right. Once found, it extinguishes the claim and forecloses appellate review, including plain error.
- Forfeiture: A failure to timely assert a right. Forfeited claims may receive plain-error review, but only if the appellant argues plain error.
The Court emphasized it will use these terms accurately going forward and will examine the record for affirmative agreement, deliberate choice, or circumstances suggesting potential sandbagging to determine waiver. This framework then permeated the analysis of each claim—several were found waived by counsel’s express agreement or invited error; others were forfeited by non-objection and not argued as plain error on appeal.
2) Effect of the Prior Dismissed Prosecution
The Attorney General’s re-prosecution was permissible. The State’s Attorney’s dismissal had been explicitly “without prejudice.” Under Vermont law, a dismissal without prejudice (before jeopardy) is not a merits adjudication, functions like a nonsuit, and does not bar re-prosecution. The AG and State’s Attorney share equal prosecutorial authority; one’s decision not to proceed does not bind the other. Collateral estoppel failed because there was no final judgment on the merits; a separate “judicial admissions” theory was unpreserved and not argued as plain error.
3) Public-Trial Right and the Defendant’s Presence
The Court drew a careful line: voir dire must be public, but the exercise of peremptory and for-cause challenges may be conducted outside public earshot (as at sidebar or in chambers) without violating the Sixth Amendment, provided the critical features remain public—the questioning of jurors and the announcement of who is struck and who is seated. Here, the defendant was present for voir dire, could consult with counsel, and the strikes were announced in open court. On separate proceedings (Rule 29 motion and charge conference), defense counsel expressly agreed the defendant need not be present; the Court treated this as invited error (true waiver), precluding appellate review.
4) Jury Instructions: No “Consequences” Instruction; Accurate Supplemental Clarification
Reaffirming longstanding Vermont and federal doctrine, the Court held that juries should not be instructed on the post-verdict consequences of a not-guilty-by-reason-of-insanity verdict. That subject belongs to the court and is irrelevant to the jury’s fact-finding duty. Neither the ABA Standards nor juror post-verdict correspondence altered this analysis. The Court also approved the trial court’s supplemental instruction that framed the insanity inquiry at the “time of the incident,” which was consistent with the statute’s “time of such conduct” language. The instructions, taken as a whole, were neither misleading nor inadequate.
5) Juror Access to Graphic Video During Deliberations: Invited Error
Although the trial court initially limited juror access to the graphic cell-phone video, defense counsel later urged close review and agreed that the jury should receive the video on a thumb drive for unsupervised access in deliberations. Any alleged error was therefore invited—true waiver that extinguishes appellate review—including any claim about the defendant’s presence at playback.
6) Language Interpretation: Fundamental Fairness and No Requirement to Record
The governing constitutional standard asks whether any interpretation deficiencies rendered the trial fundamentally unfair by undermining the defendant’s understanding and ability to participate and consult with counsel. The Court found no abuse of discretion: the trial judge provided two interpreters for simultaneous interpretation, allowed a defense interpreter to monitor and flag issues, promptly addressed a specific concern by striking testimony, convened a hearing to investigate general concerns, reaffirmed processes for contemporaneous objections, and permitted defense counsel to record the interpretation (while declining to make it part of the official court record).
Importantly, the defense did not demonstrate that the defendant’s comprehension or participation was impaired—either during trial or in the post-trial motion seeking an evidentiary hearing. The Court recognized the Judiciary Manual’s recommendation to record interpreted proceedings as a “better practice,” but not a constitutional or per se requirement. Denying an evidentiary hearing was within the trial court’s discretion because the motion did not present a genuine factual dispute about prejudice or fundamental unfairness.
Impact and Practical Implications
- Preservation doctrine sharpened:
- Appellate advocates must identify whether a claim was waived (extinguished) or merely forfeited (eligible for plain-error review) and must argue plain error if appropriate.
- Trial counsel should expect courts to scrutinize the record for affirmative consent or strategic silence amounting to waiver; explicit agreements can foreclose any later review.
- Charging decisions and dismissed prosecutions:
- Dismissal without prejudice is not a merits adjudication and does not trigger issue preclusion.
- The AG retains equal authority with State’s Attorneys to prosecute, including refiling charges previously dismissed without prejudice by a State’s Attorney.
- Public-trial and presence management:
- Courts may conduct peremptory/for-cause challenges at sidebar or in chambers so long as voir dire itself remains public and seating/strikes are announced openly.
- Presence is not required for purely legal conferences; counsel can waive the defendant’s presence—but counsel should build a clear record when making such waivers.
- Insanity “consequences” instructions:
- Smith and Shannon remain controlling: do not instruct on the post-verdict disposition of an NGI verdict absent a targeted curative need to dispel jury confusion caused during trial.
- Graphic exhibits in deliberations:
- Early limits can be revisited. If defense strategy involves urging close review in deliberations, consenting to unfettered access may foreclose appellate complaints; counsel should balance strategic benefits against preservation costs.
- Interpreter practices:
- The legal touchstone is fundamental fairness centered on the defendant’s comprehension and participation, not perfection of translation.
- Contemporaneous, specific objections are essential. Post-trial challenges must show actual impact on understanding and ability to assist counsel.
- While the Judiciary Manual recommends recording interpretations, failure to create an official recording is not itself a constitutional violation; however, courts and counsel should anticipate more trial-level requests to implement the Manual’s “better practice.”
Complex Concepts Simplified
- Waiver vs. Forfeiture vs. Invited Error
- Waiver (invited error): You knowingly give up a right (often by affirmatively agreeing). The issue is gone—no appellate review, not even plain error.
- Forfeiture: You fail to object in time. The appellate court may review for plain error (if argued), which is a high bar requiring prejudice and serious effect on fairness.
- Plain Error
- An obvious error that affects substantial rights and results in prejudice. Rarely granted; not available if the error was invited (true waiver).
- Collateral Estoppel (Issue Preclusion)
- Blocks re-litigation of an issue only if it was actually decided in a prior case with a final judgment on the merits and a full and fair opportunity to litigate. A dismissal without prejudice is not a merits adjudication; no preclusion.
- Public Trial Right in Jury Selection
- Voir dire must be open to the public. But the back-and-forth exercise of peremptory and for-cause strikes can occur at sidebar or in chambers if the key parts (questioning and announcement of seated/struck jurors) remain public.
- Presence Right (V.R.Cr.P. 43)
- The defendant has a right to be present at critical, fact-focused stages (e.g., voir dire questioning). But presence is not required for purely legal discussions; counsel may waive the defendant’s presence for such conferences.
- Insanity vs. Competency
- Competency concerns whether the defendant can stand trial now (understands proceedings and can assist counsel).
- Insanity concerns the defendant’s mental state at the time of the criminal conduct, under 13 V.S.A. § 4801.
- “Consequences” Instruction
- Asking the jury to consider what happens if it returns an NGI verdict is improper; juries decide facts. Courts handle post-verdict disposition.
- Interpreter Standard
- The question is whether interpretation allowed the defendant to understand the proceedings and work with counsel—fundamental fairness—not whether every word was perfect. Timely objections and proof of impact are crucial.
Conclusion
State v. Gurung is an affirmance with outsized doctrinal significance. The Vermont Supreme Court brings welcomed precision to preservation vocabulary and consequences: true waiver (including invited error) ends the matter; forfeiture invites only plain-error review if argued. That analytical discipline then drives the outcome across all issues in the case.
On the merits, the Court reaffirms the Attorney General’s equal charging authority and the non-preclusive effect of dismissals without prejudice; maintains the established boundary between public voir dire and off-the-record juror-challenge logistics; refuses to blur the line between fact-finding and punishment through “consequences” instructions; and underscores that interpreter claims rise or fall on demonstrated impact on the defendant’s comprehension and participation, not on translation perfection or policy preferences about recording.
For trial lawyers and judges, the opinion is a practical roadmap: preserve with specificity, avoid invited error, separate public voir dire from back-room challenges, keep juries focused on facts not penalties, manage graphic exhibits deliberately and on the record, and address interpreter issues contemporaneously with proof of actual impact. For appellate practitioners, the clarified waiver/forfeiture framework will shape how issues must be framed—and, at times, whether they can be raised at all.
Bottom line: Convictions affirmed; preservation standards clarified; longstanding Vermont doctrines on public-trial scope, consequences instructions, and interpreter fairness reaffirmed and sharpened for future cases.
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