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| Wyoming Supreme Court Cases |
KENT ALAN PROFFIT, SR. V. THE STATE OF WYOMING
2008 WY 114
193 P.3d 228
Case Number: S-07-0257
Decided: 09/30/2008
APRIL
TERM, A.D. 2008
KENT
ALAN PROFFIT, SR.,
Appellant
(Defendant),
v.
THE STATE
OF
Appellee
(Plaintiff).
Appeal
from the
The
Honorable Dan R. Price II, Judge
Representing
Appellant:
Diane
M. Lozano, State Public Defender; Tina N. Kerin, Appellate Counsel. Argument by Ms.
Kerin.
Representing
Appellee:
Bruce
A. Salzburg, Wyoming Attorney General; Terry L. Armitage, Deputy Attorney
General; D. Michael Pauling, Senior Assistant Attorney General; Graham M. Smith,
Assistant Attorney General.
Argument by Mr. Smith.
Before
VOIGT, C.J., and GOLDEN, HILL, KITE, and BURKE,
JJ.
VOIGT,
Chief Justice.
[¶1] The appellant
raises five issues in the appeal of his conviction on eight counts of
third-degree sexual assault.1 Finding numerous prejudicial errors in
the proceedings below, we reverse and remand for a new
trial.
ISSUES
[¶2] 1. Did plain error occur when a State
witness testified that the appellant refused to take a polygraph test and
terminated the interview by asking for an attorney?
2. Did plain error
occur when the prosecutor committed misconduct by:
a. Cross-examining the appellant by
asking whether other witnesses were lying?
b. Cross-examining the appellant by
improper use of prior convictions, in violation of W.R.E.
609?
c. Shifting the burden of proof
to the appellant during rebuttal closing argument?
3. Did the appellant’s
trial attorney provide ineffective assistance of counsel
by:
a. Failing to make appropriate
objections?
b. Inviting prejudicial error by
inquiring into the investigators’ opinions as to the appellants’
credibility?
c. Failing to demand notice of
uncharged misconduct evidence, and failing to object to the introduction of
uncharged misconduct evidence?
4. Did plain error
occur in the district court’s response to a jury question?
5. Is the record on
appeal incomplete?
FACTS
[¶3] On July 2, 2005,
a teenaged boy whom we will identify as B.C. reported to the Campbell County
Sheriff’s Office that he had repeatedly been sexually abused by the appellant,
his step-father. During subsequent
questioning by law enforcement officers, the appellant declined an offer to take
a polygraph test and terminated the questioning by invoking his right to
counsel. The appellant later was
arrested and charged with eight counts of third-degree sexual assault. He was released on bond pending
trial.
[¶4] B.C. was murdered
about three weeks before the scheduled trial. Eventually, the appellant and several of
his acquaintances—Jacob Martinez, Christopher Hicks, and Michael Seiser—were
convicted of various homicide crimes as a result of B.C.’s murder. Jacob Martinez admitted shooting B.C. in
the head while B.C. slept. The
appellant was convicted of conspiring to commit first-degree murder. His conviction for that crime was
affirmed by this Court in Proffit v.
State, 2008 WY 102, 191 P.3d 963 (Wyo. 2008).2
[¶5] The case now
before this Court was tried in Hot Springs County, beginning on June 25, 2007,
after the district court granted the appellant’s motion for a change of venue.
The jury found the appellant guilty
of all eight counts. The district
court sentenced the appellant to consecutive terms of imprisonment for ten to
fifteen years on each count, and later denied a motion for a new trial. This appeal
followed.
DISCUSSION
Did
plain error occur when a State witness testified that the appellant refused to
take a polygraph test and terminated the interview by asking for an
attorney?
[¶6] Deputy Sheriff
Tony Seeman interviewed the appellant after he was arrested. At trial, the following series of
questions and answers occurred during the State’s direct examination of Deputy
Seeman:
Q. Did you revisit the subject of the
sexual assault allegations?
A. Yes, I did.
Q. How did those come
up?
A. We just continued. We continued with the interview. Like I said, Kent Proffit, Sr. continued
to deny any of this type of activity.
I asked Mr. Proffit if he would be willing to take a polygraph test, a
lie detector test to broach the subject of the sexual assaults. He thought about
that only momentarily and then stated that he would not take a polygraph
test.
Q. Did he provide an explanation for
you as to why he was reluctant to [do] that?
A. I asked him the question of if he
did take a polygraph test what he thought it would reveal or what he thought it
would say. At that time he told me that he was scared of a polygraph test, that
it may become confused based on Kent Proffit, Sr. being molested as a child by a
neighbor.
He was
concerned that the polygraph exam may confuse some of his homosexual behavior as
he was molested as a child with any questions that he would be asked about the
inappropriate behavior with [B.C.].
Q. After learning that, what
happened?
A. After learning that – it was
shortly after that that Kent Proffit, Sr. looked directly at myself and directly
at Sergeant Leet and asked if we actually believed that he had done these
things.
Q. Do you recall specifically what he
said to you?
A. I may have quoted it in my
report. I can’t remember if I put
it in quotations or not. Actually,
that part is in Sergeant Leet’s report.
Q. Okay. Do you recall?
A. I have that here
also.
Q. Do you recall what it was that Mr.
Proffit asked? Let me back up a
step. Did he ask one question to
the two of you collectively?
A. No. He asked us each separately if
we believed that this happened.
Q. Okay. Did he ask you first or
second?
A. I can’t remember. To be honest, I can’t remember if I was
first or second. He asked both of
us though.
Q. When he asked you that question,
what did you tell him?
A. I told him that, yes, I believe he
had possibly had done this thing.
Q. Then what
happened?
A. He went – both Sergeant Leet and
myself both stated that we believed that he had done this – that he decided to
terminate the interview. He said
that he wanted an attorney so we stopped the interview and Kent Proffit, Sr. was
placed under arrest by Sergeant Leet for breach of peace.[3]
[¶7] Because there was
no trial objection to this testimony, we must review it for plain error. To prove plain error, an appellant must
show (1) that the record is clear as to the incident alleged as error; (2) that
a clear and unequivocal rule of law was violated in a clear and obvious, not
merely arguable, way; and (3) that the error adversely affected a substantial
right resulting in material prejudice to him. Gabbert v. State, 2006 WY 108,
¶ 11, 141 P.3d 690, 695 (Wyo. 2006).
There is no dispute that the first element has been
shown.
[¶8] There also can be
little dispute that
“‘The
impact upon the minds of the jurors of a refusal to submit to something which
they might well assume would effectively determine guilt or innocence, under
these conditions, might well be more devastating than a disclosure of the
results of such test * * *.’”
“All too frequently this court is compelled to reverse judgments of guilt
in important criminal cases because of overzealous prosecution. It is the duty of prosecuting officers
to guard against the introduction of incompetent evidence. Overprosecution of an accused should not
be permitted by the trial court. In
the instant case the district attorney insisted at great length upon
introduction into evidence of testimony [refusal to take a lie detector test]
which is uniformly held to be incompetent, in an unbroken line of authorities
throughout the nation.”
[¶9] In its Brief, the
State contends that this “brief reference” to the polygraph was nothing more
than a “logical, narrative transition offered to give context to Appellant’s
decision to end his interview with the deputies . . . .” That, however, is not the full context in
which this testimony must be evaluated.
The broader context is the multitude of errors that will be discussed in
this opinion. But even the more
narrow context—that of the interrogation, itself—is troubling because it
includes not only this improper discussion, which was much more than a “brief
reference,” but it also includes improper declarations as to the officers’
opinions that the appellant was guilty, plus comment upon the appellant’s
exercise of his right to counsel.
Furthermore, evidence that the appellant was molested as a child could
have suggested to jurors that he, too, became a molester. The prejudicial effect of this exchange
was exacerbated during Deputy Seeman’s cross-examination when, in response to a
question about how the “time lines” of the case were established, he responded
as follows:
Q. What did you decide needed to be
done?
A. We decided that we needed to just
give the best approximations as could be given by [B.C.] who was the one person
who could give us the most information.
The information that we would have liked to get from another person would
have been Kent Proffit, Sr. who was no longer available. So we just had to go with the best
approximations that we had.
This
statement was clearly another comment upon the appellant’s exercise of his right
to silence, and was not invited by defense counsel, because it was not necessary
information for answering the question.
[¶10] Deputy Seeman said enough about
what the appellant would not say to render his testimony an improper comment
upon the appellant’s exercise of his right to silence. And it is significant that much of the
offending testimony was directly elicited by the prosecutor, rather than being
inadvertent. See Hernandez v. State, 2007 WY 105, ¶
38, 162 P.3d 472, 481-82 (Wyo. 2007).
Furthermore, even without the constitutional dimension, Schmunk teaches us that it is improper
to admit evidence of the refusal to take a polygraph as evidence of
consciousness of guilt. Schmunk, 717 P.2d at
732.
[¶11] Often, we find error in a situation
such as this but we do not reverse the conviction because there is little
likelihood that the verdict would have been more favorable to the appellant
absent the error. In this case,
however, the State’s evidence was fairly meager, being limited to three
essentially hearsay witnesses.
Under these circumstances, we cannot say that the above-described
transgressions did not contribute to the verdict. The case was largely a credibility
contest between the appellant and an absent witness. The testimony about the refused
polygraph and the appellant’s exercise of his right to silence and his right to
counsel was simply too fundamental to the central issue to be considered
harmless.
Did
plain error occur when the prosecutor committed misconduct by: (a)
cross-examining the appellant by asking whether other witnesses were lying; (b)
cross-examining the appellant by improper use of prior convictions, in violation
of W.R.E. 609; or (c) shifting the burden of proof to the appellant during
rebuttal closing argument?
Cross-Examination as to
Whether Other Witnesses Lied
[¶12] The appellant raises the issue of
improper questioning techniques in regard to the questioning of his expert
witness and in regard to his own cross-examination. One of the State’s witnesses was Dr.
William Heineke, a licensed psychologist and licensed professional counselor
specializing in the field of child sexual abuse. Dr. Heineke assessed and counseled B.C.,
at the request of B.C.’s mother, between the time B.C. reported the alleged
sexual molestation and the time he was killed. Dr. Heineke testified at some length
about his sessions with, and evaluation of, B.C.
[¶13] The appellant countered Dr.
Heineke’s testimony with the testimony of Dr. Rayna Rogers, a board-certified
general psychiatrist, child adolescent psychiatrist, and forensic psychiatrist.
During cross-examination, the
following exchange took place between the prosecutor and Dr.
Rogers:
Q. Okay. Do you have any – you were in the
courtroom yesterday when Dr. Heineke testified?
A. I was.
Q. Did you see all of his
testimony?
A. Yes, I did.
Q. Okay. Do you have any reason to believe that
he was lying about anything?
A. Can you define what you mean by
lying?
Q. Well, when he took the witness
stand and he testified under oath that when he first had contact with [B.C.] he
made no assumptions. He made no
conclusions about what he was going to find out and he started with a blank
slate. Do you have any reason to
believe that was a lie?
A. I’m afraid it’s worse than
that. I think he simply did not
understand the issue. So whether he
was telling the truth or a lie doesn’t matter, he simply didn’t get
it.
[¶14] The appellant testified in his own
defense. During cross-examination,
the prosecutor asked the appellant about the testimony of several witnesses in
two earlier trials involving the Forquer murder and B.C.’s murder. This exchange followed those
questions:
Q. And in those two trials, just like
this trial, the only person in any of those trials that ever told the truth was
you?
A. I didn’t make any comments,
[Prosecutor].
Q. No, but I’m saying today your
comments about those two trials was Mr. Martinez’ and Mr. Seiser’s when they
testified about all those events and your involvement they were
lying?
.
. . .
Q. Based upon your observations about
what happened in the first two trials and the allegations that [B.C.]
communicated to this man right here and to a professional counselor that he went
and saw, the only person who has told the truth in all of these proceedings is
you?
A. Well, [Prosecutor], I wish they
would have tape recorded the conversation because –
Q. Mr. Proffit –
A. – you leave out
–
Q. – can you answer yes or
no?
A. I have not lied to you in this
courtroom.
Q. So the only person in this whole
big mess where two people are dead and there’s a kid that says you molested him
and who is telling the truth is you?
A. Yes,
[Prosecutor].
[¶15] There were no trial objections to
this line of questioning, so we review for plain error under the above-outlined
standard. The first factor is
satisfied because the trial transcript clearly provides a record of what
transpired. As to the second
factor—the violation of a clear and unequivocal rule of law—we quote at length
our holding in Jensen v. State, 2005
WY 85, ¶ 20, 116 P.3d 1088, 1095-96 (Wyo. 2005):
Turning to the prosecutor’s cross-examination of Jensen, we note,
generally, that a defendant who testifies in a criminal case may be
cross-examined regarding his credibility just like any other witness. Gist v. State, 766 P.2d 1149, 1152-53
(
Nonetheless,
it is likewise error and misconduct for the prosecutor to cross-examine a
defendant using the “lying” or “mistaken” technique (i.e., well, then if “so-and-so” said
“such-and-such,” was he “mistaken” or “lying?”). Such questions are improper. If the prosecutor merely asked
Beaugureau about what other witnesses had to say, allowing the jury to draw its
own conclusions, the cross-examination would not have been objectionable. State v. Diggs, 272
Beaugureau,
¶ 17. The reasoning for prohibiting
this type of questioning was succinctly summarized by the Iowa Supreme
Court:
[A]
defendant who is asked whether another person lied is commenting directly on the
other person’s credibility.
The issue then is whether any purpose is served in asking a defendant
whether another witness is lying.
We think the predominate, if not sole, purpose of such questioning is
simply to make the defendant look bad, as implied by the
But, as any trial lawyer knows, there may be many explanations for
differing descriptions of the same event.
People have different perceptions of the same conversation that affect
how and what they remember. Perhaps
there was a misunderstanding of what was said; perhaps one person was distracted
and did not fully or correctly hear the words uttered by the other person. People sometimes hear what they want to
hear. It is unjust to make the
defendant give an opinion as to who is lying when, in fact, it is possible that
neither witness has deliberately misrepresented the truth. It is also unreasonable to expect the
defendant to sift through the variables of human communication to offer an
alternative explanation for contradictions in witnesses
testimony.
We also think the use of this tactic—asking the defendant whether another
witness is lying—is incompatible with the duties of a prosecutor. Unfairly questioning the defendant
simply to make the defendant look bad in front of the jury regardless of the
answer given is not consistent with the prosecutor’s primary obligation to seek
justice, not simply a conviction.
Nor is such questioning consistent with the prosecutor’s duty to the
defendant to ensure a fair trial, including a verdict that rests on the evidence
and not on passion or prejudice.
[State v. Casteneda-Perez, 61
Wash.App. 354, 810 P.2d 74, 79 (Wash.Ct.App. 1991) (holding prosecutor’s
questions asking witnesses whether other witnesses were lying was “contrary to
the duty of prosecutors, which is to seek convictions based only on probative
evidence and sound reason”).
State
v. Graves,
668 N.W.2d 860, 872-73 (Iowa 2003) (emphasis in original) (footnotes
omitted).
[¶16] The admonition against asking the
appellant whether other witnesses lied applies equally to asking any witness
whether another witness has lied.
State v. Manning, 19 P.3d
84, 100-01 (
[¶17] The third step in our plain error
analysis of this issue is to ask whether the appellant was materially
prejudiced. In his Brief, the
appellant identifies the resultant prejudice as violation of the prosecutor’s
duty to ensure a fair trial by attempting to inflame the jury, and by putting
the appellant and the jury in the position of having to decide who was lying.
The State counters with the
argument that, by taking the stand and purporting to give the jury the full
truth, as opposed to what the earlier juries in the related cases had heard, the
appellant invited this line of questioning.
[¶18] We previously have held that an
appellant “cannot ‘open the door’ to the type of improper questioning used by
the prosecutor,” but that an appellant’s “invitation or instigation is a
relevant consideration in assessing the prejudice element.” Talley v. State, 2007 WY 37, ¶ 15, 153
P.3d 256, 261 (Wyo. 2007). We went
on in Talley, 2007 WY 37, ¶ 16, 153
P.3d at 262, to describe the factors to be weighed in evaluating the prejudice
caused by the “were-they-lying” technique:
1)
the severity and pervasiveness of the misconduct; 2) the significance of the
misconduct to the central issues in the case; 3) the strength of the State’s evidence;
4) the use of cautionary instructions or other curative measures; and 5) the
extent to which the defense invited the misconduct.
[¶19] On their face, especially in light
of defense counsel’s apparent trial strategy—which was to convince the jury that
(1) the witnesses in the two murder trials all lied and (2) the appellant would
clear it all up by testifying as to the truth in this case—these instances of
the “lying” cross-examination technique would not, standing alone, constitute
reversible error. This case is, in
fact, quite similar to Talley, where
we found that prejudice sufficient to require reversal had not been shown.
[¶20] Because these errors did not occur
in a vacuum, we must consider them together with all of the other errors that
occurred in the trial of this case, and in doing so, we cannot say that they did
not contribute to the verdict. In
short, we are not convinced that, absent these errors, the verdict might not
have been more favorable to the appellant.
More will be said about this in our discussion of trial counsel’s
ineffectiveness.
Cross-Examination as to Prior
Convictions
[¶21] W.R.E. 609(a)(1) provides as
follows:
(a) General rule. – For the purpose of
attacking the credibility of a witness,
(1) evidence that a witness other
than an accused has been convicted of a crime shall be admitted, subject to Rule
403, if the crime was punishable by death or imprisonment in excess of one (1)
year under the law under which the witness was convicted, and evidence that an
accused has been convicted of such a crime shall be admitted if the court
determines that the probative value of admitting this evidence outweighs its
prejudicial effect to the accused; . . . .
[¶22] This rule is patterned after
Fed.R.Evid. 609(a)(1), which has been interpreted as follows by a leading
commentator:
Where
the witness is the accused in a criminal case, the Rule itself sets out a
special discretionary standard weighted in favor of exclusion, calling for the
court to admit felony convictions only if it determines that probative value
outweighs prejudicial effect. For
all other witnesses, the Rule incorporates the discretionary standard of Fed. R.
Evid. 403, which is weighted in favor of admissibility, allowing evidence to
come in unless prejudicial effect substantially outweighs probative
worth.
Christopher
B. Mueller & Laird C. Kirkpatrick, 3 Federal Evidence § 6:42 (3d ed.
2007). In Wyoming, we have given
effect to that “presumption” in favor of exclusion where the witness is the
accused by holding that “a testifying defendant is required to give answers only
as to whether he had been previously convicted of a felony, as to what the
felony was, and as to when the conviction was had.” Ramirez v. State, 994 P.2d 970, 973
(Wyo. 2000). Given that limitation,
it is error for a prosecutor to ask questions of the defendant seeking details
about the prior conviction.
[¶23] With that law in mind, the
appellant now objects to the following colloquy that occurred during his
cross-examination by the State prosecutor:
Q. In late October, probably around
Halloween, there was another young man that was living in the trailer Jeremy
Forquer?
A. That is
correct.
Q. And you were sitting in a room at
that trailer and according to some witnesses participated in a discussion with
Christopher Hicks where you guys decided you were going to kill
him?
A. That is incorrect. I offered a polygraph. You still don’t care but that’s what the
testimony is, yes.
Q. The testimony at the trial from Mr.
Martinez –
A. That is
correct.
Q. – was there was a discussion that
took place in that trailer that you participated in where plans
–
A. I did not participate in the crime
until after the fact.
Q. If I can –
A. Sorry.
Q. – finish my question. The testimony in your trial from Mr.
Martinez was there was a discussion that you participated in that night where
plans were made to kill Jeremy Forquer.
That was the testimony, wasn’t it?
A. That was the
testimony.
Q. And the testimony at your trial
was, in fact, Mr. Martinez and Mr. Hicks killed Mr. Forquer, strangled him to
death in that living room right in front of you, that was the
testimony?
A. Mr. Martinez strangled and killed
Jeremy, yes.
Q. Okay. And you agree that those events
happened? He was killed in that
trailer?
A. Yes, that’s what happened, but not
the way he’s explaining it.
Q. Okay.
A. The truth never came out in that
courtroom.
Q. The body of Jeremy Forquer was
loaded into a vehicle?
A. That is
correct.
Q. And you traveled with Jacob
Martinez and Christopher Hicks and Michael Seiser about 35 miles west of
Gillette and at a location selected by you?
A. That is
correct.
Q. That body was placed under a tree
beside the interstate?
A. That is
correct.
Q. – and went back to that trailer and
for the next month you didn’t tell anybody what happened?
A. He threatened to kill my son. No, I did not tell
anyone.
Q. Okay. Late November of 2005 – pardon me, mid
November 2005 the testimony in the next trial was that you had numerous
discussions with your roommates about killing [B.C.] before your trial, before
this trial could take place. That
was the testimony, wasn’t it?
A. That was the testimony of Mr.
Martinez per his agreement with you.
Q. All right. Now, the testimony was that you helped
them take out some powder of some bullets so that it wasn’t so loud. That was the testimony,
right?
A. That was the
testimony.
Q. The testimony was that they went,
they, Mr. Martinez and Mr. Hicks, went up to this trailer that we’ve all been
talking about and Mr. Martinez went in and shot [B.C.] because you told them
to. That was the
testimony?
A. Testimony only,
yes.
Q. Okay. The testimony was that there was a
discussion about what to do with the gun and you, in fact, directed them to put
the gun in Doug – pardon me, to put the bullet casing in the garage that
belonged to [B.C.’s mother’s] current boyfriend [D.H.], that was the
testimony?
A. That’s not the current boyfriend
but that was the testimony.
Q. Okay. And it was a previous boyfriend of
[B.C.’s mother]?
A. The baby’s
father.
Q. There we go. The testimony was that you had
participated in the discussion that the fact that the gun needed to be submerged
and that it actually got thrown into a septic tank by Mr. Hicks and Mr. Martinez
where it was later found by law enforcement?
A. That is correct.
[¶24] This testimony was followed by the
above-discussed “lying” technique cross-examination questions. In addition, the prosecutor based part
of his closing argument on the prior convictions:
[The
appellant] described for you when I was asking him questions on
cross-examination about the allegations in those other trials that you guys
didn’t get to hear about, and it’s interesting, ladies and gentlemen. It’s not
just Deputy Mooney, it’s not just Bill Heineke, it’s the people that he was
associated with like Jacob Martinez and Michael [Seiser] and law enforcement
officers and it’s other witnesses who all had it all
wrong.
Notwithstanding the fact a jury sat right where you are and listened to
all of that evidence and found Mr. Proffit guilty of being involved in two
murders, guilty of conspiring to commit those two murders, and most importantly
his participation in the murder of [B.C.] was because he was the witness. The witness, ladies and gentlemen, whose
voice you don’t get to hear.
[¶25] The astounding fact that a
prosecutor would engage in a cross-examination and would make a closing argument
of this nature is exceeded only by the more astounding fact that defense counsel
did not object. In effect, the
prosecutor “hearsayed in” the testimony from two murder trials, told the jury
that the other juries had convicted the appellant of those crimes, and then told
the jury that [B.C.] was murdered because he was going to be the witness in the
present trial. It is hard to
conceive of a more unfairly prejudicial presentation. This scenario is exactly what W.R.E.
609(a)(1), Ramirez, and Taylor are meant to
prevent.
[¶26] The only possible justification for
these questions and the State’s closing argument would be the statement in Ramirez that a witness who explains a
prior conviction is subject to cross-examination about “those details.” Ramirez, 994 P.2d at 973. The question then becomes whether the
appellant’s direct examination opened the door to the prosecutor’s
questions. This is what the
appellant said during his direct examination:
Q. Did you have anything to do with
the death of death of [sic] [B.C.]?
A. No, I did
not.
Q. Did you know the people that were
ultimately convicted of actually killing him?
A. Yes, I do.
Q. Did you have any contact with them
–
A. Yes.
Q. – after the
death?
A. Yes. As a matter of fact when I found out,
I’m like – one of my son’s friends called and she told me what had happened and
I didn’t believe it and I had her to [sic] call to verify it and then she called
me back. I’d talked to other people
after that. I don’t recall actually
speaking to them.
I called to
make sure. I called Chris Hicks and
told him to watch out, watch my son JR and make sure he doesn’t get hurt. I did not know that Jacob was going to
kill [B.C.]. I did ask – that’s the
big thing about the caliber of the gun because Chris Hicks allegedly had a .45
and I specifically asked if the, what the caliber was and that’s when [B.C.’s
mother] told my family what it was.
Q. And what was
it?
A. 9-millimeter.
Q. Did you have any other
conversations with Mr. Martinez and Mr. Hicks about that?
A. I asked them specifically if they
had anything to do with it. If I
asked them once, I asked them 100 times, and every time I asked they said, no,
because I wouldn’t be here being prosecuted if I had known that Mr. Martinez
killed my son.
Q. Why is that?
A. Because I would have killed him, as
a parent, and that’s God as my witness I would.
[¶27] We are of the opinion that this
exchange, which actually revealed few details about the facts of the murder
conspiracy conviction, did not give the State free rein to repeat before this
jury the testimony presented during the murder trials. In particular, we note that the
appellant made no comment about the Forquer murder. It is true that Ramirez recognizes that it may be fair
to allow the State to cross-examine a witness on the details of a prior
conviction, where the witness first brought up those details. But we went on in Ramirez, 994 P.2d at 974, to limit that
exception as follows:
“In
such cases the defendant may be cross-examined on any facts which are relevant
to the direct examination,” [
[¶28] This is precisely what happened in
this case. The jury’s focus was
shifted from the facts of the present case to the facts of the two prior
murders. The dictates of W.R.E. 609
were not applied in that the district court never made a determination that the
probative value of the evidence of the prior convictions outweighed its
prejudicial effect. In addition,
the prosecutor’s questioning went far beyond the details of the conviction
involving B.C.’s murder. This was
plain error requiring reversal.
Shifting the Burden of Proof
to the Appellant
[¶29] The appellant contends that the
prosecutor committed misconduct during rebuttal closing argument by shifting the
burden of proof to the appellant by way of the following
argument:
The defense would like you to make some assumptions in order to justify
acquitting Mr. Proffit. [Defense
counsel] gets up here and makes a note of this bracelet and he says it was right
next to [B.C.] on November 26th when his body was discovered. Well, what’s interesting, ladies and
gentlemen, is you’ve got a picture of a bracelet and you’ve got testimony by the
defendant the last time he saw it was in 2003.
He has no idea how [B.C.] got it, and you have no information as to where
it was on the nightstand. Would it
be helpful to know if it was on the top or if it was the only thing on the
nightstand? That it was sitting in
some pristine place like it was a valued treasured item or at the bottom of a
heap of garbage that you heard a number of people described as the 15-year-old’s
bedroom? And when officers are
executing a search in that room when, they find his dead body, it’s one of the
many things that’s photographed. It
would be helpful to know the circumstances of on the nightstand and what that
means.
It would be helpful to know what information, work records would provide
about where Mr. Proffit was. He
tells you that there’s information in those records. He tells you about doctors’ visits that
are going to back him up and verify his story and you don’t see any of that, but
what you can see and what you do see, ladies and gentlemen, is that the
defendant will tell the same story about how he came to have power and control
over [B.C.] and it was [B.C.] who had the courage to step up and explain what
happened when the defendant got that power and control.
[¶30] There was no trial objection to
this argument, so we now analyze it for plain error. The appellant’s present argument is that
the prosecutor improperly attempted to shift the burden to the appellant to
explain the presence of his bracelet in B.C.’s room, and to produce employment
and medical records to substantiate parts of his testimony. The first element of the plain error
test is met in that the record is clear as to the prosecutor’s argument. As to the second element of plain error,
the appellant relies upon Lane v.
State, 12 P.3d 1057, 1066 (Wyo. 2000), for the proposition that the burden
of proof rests with the State and never shifts to a defendant. Further, the appellant quotes People v. Green, 345 N.W.2d 676, 679
(Mich. Ct. App. 1983), for the holding that “a prosecutor may not imply in
closing argument that defendant must prove something or present a reasonable
explanation for damaging evidence because such an argument tends to shift the
burden of proof.” Finally, the
appellant cites State v. Tosh, 91
P.3d 1204, 1212 (
[¶31] This Court has previously held,
however, that the State is within its proper bounds when a prosecutor comments
in argument upon the state of the evidence, including a defendant’s failure to
introduce material evidence or to call logical witnesses. Fortner v. State, 843 P.2d 1139, 1147
(
[¶32] We cannot say in this case that the
prosecutor’s argument was so far outside the realm of appropriate argument as to
be misconduct. The appellant
testified, and the prosecutor’s statements were merely comments upon that
testimony. It does not violate an
appellant’s right to silence, or shift the burden of proof to him, merely to
point out the holes or deficiencies contained in his testimony. Consequently, we cannot say that the
prosecutor clearly violated an unequivocal rule of law, and we, therefore,
cannot say that plain error has been shown.
Did
the appellant’s trial attorney provide ineffective assistance of counsel by: (a)
failing to make appropriate objections; (b) inviting prejudicial error by
inquiring into the investigators’ opinions as to the appellant’s credibility; or
(c) by failing to demand notice of uncharged misconduct evidence, and failing to
object to the introduction of uncharged misconduct
evidence?
[¶33] We have adopted the following
standard for determining whether a criminal defendant has received effective
assistance of counsel, a right guaranteed by the Sixth Amendment to the United
States Constitution and Article 1, Section 10 of the Wyoming
Constitution:
First,
the defendant must show that counsel’s performance was deficient. This requires showing that counsel made
errors so serious that counsel was not functioning as the “counsel” guaranteed
the defendant by the Sixth Amendment.
Second, the defendant must show that the deficient performance prejudiced
the defense. This requires showing
that counsel’s errors were so serious as to deprive the defendant of a fair
trial, a trial whose result is reliable.
Unless a defendant makes both showings, it cannot be said that the
conviction or death sentence resulted from a breakdown in the adversary process
that renders the result unreliable.
Dickeson
v. State,
843 P.2d 606, 609 (
Failing to Make Appropriate Objections
[¶34]
Although we reviewed the record in this case observing the tenet that
trial counsel is to be given the benefit of the doubt when considering whether a
“failure” to object is actually a strategic “decision” not to object, we simply
cannot accept counsel’s performance as adequate under the above-stated test for
effective assistance. The district
court granted a change of venue for the clear purpose of allowing the
appellant’s case to be presented to a jury panel that was unaware of, or at
least not prejudiced by, his prior convictions in the Forquer and B.C. murder
cases. In voir dire, opening statement, cross
examination, direct examination, and closing argument, however, defense counsel
canceled whatever advantage had been gained by the venue change. In particular, defense counsel’s failure
to object to clearly objectionable testimony and evidence, patently prejudiced
the appellant. Examples of those
failures include the failure to object to testimony that the appellant had
refused to take a polygraph test, the failure to object to testimony presenting
the two officers’ opinions that the appellant was guilty, the failure to object
to testimony that the appellant was a victim of molestation as a child (possibly
leading to the assumption that, as a result, he had become an offender), the
failure to object to the prosecutor’s “lying” technique during
cross-examination, the failure to object to the court’s response to the jury
question as to use of the prior conviction evidence (as is further discussed
hereinbelow), and perhaps the most egregious failure, the failure to object to
the prosecutor “hearsaying in” the extremely damaging testimony from the Forquer
and B.C. murder cases.
[¶35] We have no confidence that the
guilty verdicts in this case were based upon the admissible evidence, and we
cannot countenance defense counsel’s failure to object or decision not to object
to the stream of highly prejudicial and objectionable testimony that was
admitted. The underlying structure
of defense counsel’s apparent theory of the case makes no sense. His premise was that, because the
earlier juries had not heard the appellant’s testimony, the convictions in the
earlier cases were unreliable. It
supposedly followed that, upon hearing the “truth” from the appellant in the
present case, this jury would acquit.
What is wrong with that construct is that the appellant could have
testified in this case without opening the door to all the damaging testimony
from the earlier cases. A bit of it
may have come in as impeachment via W.R.E. 609, but the vast majority of it was
objectionable. Defense counsel
filed, and lost, a pretrial hearsay motion directed at B.C.’s statements. For that, counsel cannot be
faulted. But the adverse ruling on
that pretrial motion did not preclude him from objecting to the deluge of
improper testimony about the murder trials, or about his police
interrogation.
[¶36] It is true that this Court has
almost invariably excused questionable decisions and actions of defense counsel
on the ground that such may have been part of a “sound trial strategy.” See, e.g., Magallanes v. State, 2006 WY 119, ¶ 21,
142 P.3d 1147, 1153 (Wyo. 2006) (failure to subject evidence to forensic
testing); Sanchez v. State, 2002 WY
31, ¶ 16, 41 P.3d 531, 535 (Wyo. 2002) (stipulation as to cause of victim’s
death); Cureton v. State, 950 P.2d
544, 547 (Wyo. 1997) (adequacy of pretrial investigation); Beintema v. State, 936 P.2d 1221, 1228
(Wyo. 1997) (no limiting instruction requested as to uncharged misconduct
evidence); McCoy v. State, 886 P.2d
252, 257 (Wyo. 1994) (decision not to call certain witnesses). On the other hand, we have reversed
where the “trial strategy” did not rest upon a sound legal basis. Keats v. State, 2005 WY 81, ¶¶ 22-23,
115 P.3d 1110, 1119 (Wyo. 2005) (trial strategy based upon defendant’s
diminished capacity, an unavailable defense); Deshazer v. State, 2003 WY 98, ¶ 31, 74
P.3d 1240, 1252-53 (Wyo. 2003) (counsel admitted lack of basic knowledge
essential to formulate trial strategy based upon defendant’s lack of
competency).
[¶37] In the instant case, it is
difficult even to identify what may have been defense counsel’s trial
strategy. Apparently, that strategy
largely consisted of the hope that the jury would believe the appellant. Unfortunately, nearly everything defense
counsel did, with the exception of winning the motion for a change of venue,
appeared to be designed to thwart that end. Garnering trust for one’s client rarely
begins by allowing the jury to hear the detailed testimony from two murder
trials in which that client was convicted.
Neither is the client’s veracity enhanced by allowing law enforcement
officers to testify that they believe he is guilty. This is not trial strategy that any
reasonable attorney would follow.
As Mark Twain observed in evaluating the writings of James Fenimore
Cooper, “crass stupidities [should] not be played upon the reader as ‘the craft
of the woodsman, the delicate art of the forest[.]’” Mark Twain, Fenimore Cooper’s Literary Offenses, The
Portable Mark Twain 543 (Viking Press, 1968). Trial counsel’s performance was
ineffective.
Inquiring Into the
Investigators’ Opinions as to Appellant’s
Credibility
[¶38] The appellant argues separately on
appeal that, not only did defense counsel fail to object when the prosecutor
elicited the investigators’ opinions that the appellant was guilty, but that he
emphasized those opinions by inquiring further about them during
cross-examination. For instance,
during the cross-examination of Deputy Seeman, the following exchange
occurred:
Q.
And
why did you chose [sic] in this instance to say that you believed that he had
done this?
A.
At
the point we were at in the interview, I felt no need to continue to strengthen
his denials. I believed if Mr.
Proffit was, who was already denying the allegations that if he was given some
type of support in those denials that it would only make the denials
stronger. My tactic had switched to
attempting to get [B.C.] the help that we both agreed that he needed and that to
properly get [B.C.] the help that he needed that we needed to come to the truth
and that I did not believe Mr. Proffit was being
honest and truthful.
I
started to actually ask Mr. Proffit if he was ready to tell the truth and Mr.
Proffit said, quote, not yet, which again strengthened our ideas that Mr.
Proffit was not being fully honest with us with the reply of not yet when he was
asked to tell the truth.
(Emphasis
added.) The deputy’s response was
not at that point objectionable because it was responsive to the question. Thus, it was invited error. And the error cannot be defended as
being part of some logical defense strategy because counsel never utilized it
strategically, such as in an attempt to show that the deputy’s belief in the
appellant’s guilt had caused him to fail to follow other leads in the sexual
assault investigation.
[¶39] While this issue differs somewhat,
we conclude that it is simply part of the cumulative ineffectiveness set forth
above. Basically, it represents an
exacerbation of the prejudice caused by defense counsel’s failure to object when
the opinions of guilt were first elicited.
There are few rules of cross-examination that could be said to be set in
stone, but it is hard to conceive of a situation where sound trial strategy
would include asking a law enforcement officer why he believed your client was
guilty. One reason might be where
counsel could then go on to prove that the officer’s opinion was based on
incorrect information. That did not
happen here, and there is no indication that counsel’s strategy was to go in
that direction.
Failure to Demand Notice of or
Object to Uncharged Misconduct Evidence
[¶40] W.R.E. 404(b) forbids the admission
of uncharged misconduct evidence to prove the character of a person to show that
he or she acted in conformity with that character. For example, the State may not introduce
evidence that an accused earlier committed a burglary, for the purpose of
proving that he is, by character, a burglar, and that, therefore, he committed
the burglary at issue. Such
evidence may, however, be admitted for other purposes, such as to prove motive,
intent, or identity.
[¶41] We have stated that the
admissibility of uncharged misconduct evidence should be tested before trial,
preferably via a defendant’s demand for notice of the State’s intent to
introduce such evidence, the State’s identification of any such evidence, and a
pretrial hearing. Gleason v. State, 2002 WY 161, ¶¶ 27-32,
57 P.3d 332, 342-44 (Wyo. 2002); Howard
v. State, 2002 WY 40, ¶¶ 15-23, 42 P.3d 483, 487-91 (Wyo. 2002). In the instant case, the State produced
uncharged misconduct evidence at trial, without defense counsel having filed a
pretrial demand for notice of such evidence, without defense counsel objecting
contemporaneously with the introduction of the evidence, and without the
evidence being scrutinized by the district court prior to its admission. The uncharged misconduct evidence
included (1) evidence of a sexual assault by the appellant upon B.C. outside
[¶42] We must look at defense counsel’s
failure to object, or decision not to object, not through hindsight, but with
the presumption that defense counsel had a strategic purpose for acceding to the
introduction of this evidence. Page v. State, 2003 WY 23, ¶ 8, 63 P.3d
904, 908 (Wyo. 2003). On the other
hand, we have recognized that defense counsel’s failure to pursue discovery or
to demand notice of uncharged misconduct evidence, given “the clarity with which
the ‘problem’ has been articulated by this Court,” may constitute ineffective
assistance of counsel. Williams v. State, 2004 WY 117, ¶ 12
n.9, 99 P.3d 432, 440 n.9 (Wyo. 2004).
The first question, as with other allegations of ineffective assistance
of counsel, is whether, “in light of all the circumstances, trial counsel’s acts
or omissions were outside the wide range of professionally competent
assistance.” Keats, 2005 WY 81, ¶ 10, 115 P.3d at
1115. We must answer that question
affirmatively in this case, for the reasons already set forth herein. It is our perception that no reasonable
attorney in this situation would forfeit the opportunity to prevent the jury
from learning about the different instances of uncharged misconduct noted
above. While the appellant may have
been subject to an attack upon his credibility through introduction of evidence
under W.R.E. 609 of the fact of the two murder convictions,
there was a solid legal basis for defense counsel to attempt to prevent the jury
from hearing the details of those crimes, or from
hearing about the other alleged misconduct.
Did
plain error occur in the district court’s response to a jury
question?
[¶43] During its deliberations, the jury
sent the judge a note asking, “do we use the evidence of State Exhibit 2, quote,
verdict of conviction, unquote, in determining the verdict[?]”4 State’s Exhibit 2 was the Judgment Upon
Jury Verdict holding the appellant guilty of conspiracy to commit the
first-degree murder of B.C. After
an informal off-the-record discussion with counsel, and with the agreement of
counsel, the district court sent the following responsive note to the jury room,
without bringing the jury into open court:
“State’s Exhibit 2 is a piece of evidence which should be given as much
weight as you deem appropriate.” As
will be further discussed below, the appellant contends that this response
misstated the law.
[¶44] We apply the following standard
when reviewing jury instructions:
A trial court is given wide latitude in instructing the jury and, as long
as the instructions correctly state the law and the entire charge covers the
relevant issue, reversible error will not be found. Instructions must be considered as a
whole, and individual instructions, or parts of them, should not be singled out
and considered in isolation.
Prejudice will be determined to exist only where an appellant
demonstrates that the instruction given confused or misled the jury with respect
to the proper principles of law.
Luedtke
v. State,
2005 WY 98, ¶ 28, 117 P.3d 1227, 1232 (Wyo. 2005) (citations omitted). Where there has been no trial objection,
however, we review for plain error.
Leyva v. State, 2005 WY 22, ¶
9, 106 P.3d 873, 876 (Wyo. 2005).
In particular regard to jury questions evidencing confusion or
uncertainty as to applicable law, we have said that it is the trial court’s duty
to answer such questions. Heywood v. State, 2007 WY 149,
¶ 28, 170 P.3d 1227, 1235 (Wyo. 2007). See also United States v. Duran, 133
F.3d 1324, 1334 (10th Cir 1998) (plain error where trial court fails to clarify
law in answer to jury question, and possibility exists that the conviction is
based on an incorrect legal basis).
[¶45] This issue is linked by the
appellant to two issues already discussed herein. The appellant contends that the district
court’s response to the jury note was legally incorrect because it allowed the
jury to use the prior conviction evidence in violation of both W.R.E. 404 and
W.R.E. 609. W.R.E. 404, as noted
previously herein, limits the use of uncharged misconduct evidence to proof of
specific facts such as motive, intent, and identity, which facts should be
identified pre-trial by the State, and should be analyzed pre-trial by the court
in balancing probative value against unfairly prejudicial effect. In turn, prior conviction evidence is
governed by W.R.E. 609(a) when offered to impeach the credibility of a witness,
including the defendant. Clearly,
the district court’s response to the jury note, indicating that the jury could
give the prior conviction evidence whatever weight it deemed appropriate, was
not consonant with these rules. The
State takes the position that it was not error for the district court to reply
to the jury note as it did because defense counsel had made neither a W.R.E. 404
nor a W.R.E. 609 objection to admission of State’s Exhibit 2 when it was offered
and admitted.
[¶46] This issue properly is addressed
under W.R.E. 609, and not under W.R.E. 404, because the appellant testified, and
impeaching his credibility was the only justifiable purpose for admission of the
exhibit. “Once appellant became a
witness, the admissibility of his prior convictions was governed by Rule 609(a),
W.R.E., rather than Rule 404(b).”
Robinson v. State, 716 P.2d
364, 368 (
[¶47] We will not further pursue this
issue as presented, for two reasons. First, neither the State nor the
appellant has cited a single case directed toward the specific issue engendered
by this situation: whether defense
counsel’s failure or decision not to ask for a limiting instruction at the time
State’s Exhibit 2 was introduced forecloses a subsequent objection to the jury’s
use of the exhibit as evidence of guilt in the instant case, and concomitantly,
whether it was error for the district court to respond to the jury question as
it did. Second, the original
failure to object or decision not to object, or to ask for a limiting
instruction, along with the later failure to object or decision not to object to
the district court’s response to the jury note, is so clearly part of the
pattern of ineffective assistance of counsel shown throughout these proceedings,
that there is no need for this Court on its own to conduct the necessary
research on the jury note issue.6
Is
the record on appeal incomplete?
[¶48] This issue is moot, given our
disposition of the other issues.
CONCLUSION
[¶49] Plain error occurred when a State
witness testified that the appellant had refused to take a polygraph
examination, when the State questioned the appellant and one of appellant’s
witnesses as to whether other witnesses were lying, and when the State
improperly used prior conviction evidence in the cross-examination of the
appellant. Plain error did not
occur when the State, during rebuttal closing argument, pointed out the lack of
evidence supporting the appellant’s theory of the case. The appellant received ineffective
assistance of counsel when defense counsel failed to make numerous meritorious
objections to evidence, when defense counsel invited prejudicial error by
inquiring into the investigators’ opinions as to the appellant’s credibility and
guilt, by failing to demand notice of uncharged misconduct evidence and failing
to object to the introduction of such evidence, and by failing to obtain a
limiting instruction that would have prevented the jury from using prior
conviction evidence as substantive evidence of guilt.
[¶50] Some trial errors are not of such
magnitude as to require reversal.
But where trial errors, especially when viewed collectively, “would cause
a miscarriage of justice or result in damage to the integrity, reputation, and
fairness of the judicial process,” or “possess[] a clear capacity to bring about
an unjust result,” reversal is the necessary appellate response. Heywood, 2007 WY 149, ¶ 29, 170 P.3d at
1235 (citations omitted).
[¶51] We reverse and remand to the
district court for a new trial.
FOOTNOTES
1See
2The
appellant’s convictions for first-degree murder and conspiracy to commit
first-degree murder in a tangentially related second murder—that of Jeremy
Forquer—also were affirmed by this Court in Proffit v. State, 2008 WY 103, 191 P.3d.
974 (Wyo. 2008).
3The
appellant had been contacted at a convenience store because of an incident
occurring there. It was that
incident that led to the arrest for breach of peace.
4The
actual note from the jury is not contained in the record on appeal. The quoted sentence recites the district
court’s reading of the note in chambers.
Where the court used the words “quote” and “unquote,” it may be logical
to assume that quotation marks appeared in the actual
note.
5That is
not to say that prior conviction evidence may not be analyzed under W.R.E.
404(b) when offered to prove some fact governed by that rule. 3 Federal Evidence §§ 6:42,
6:57.
6See, however, Lyons v. McCotter, 770 F.2d 529, 533-35 (5th Cir. 1985) (failure to ask for limiting instruction, thereby allowing the State full use of the prior conviction in closing, may be ineffective assistance of counsel, even if part of an “inane” trial strategy).
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