Opinion ID: 1188889
Heading Depth: 2
Heading Rank: 5

Heading: Defendant's allegations of prosecutorial misconduct

Text: Defendant alleges next that the prosecutor's conduct deprived him of a fair trial, complaining of two infractions. 1. Prosecutor's remarks that Defendant would be set free if acquitted by reason of temporary insanity In the first incident, the prosecutor asked Defendant's expert witness questions designed to convey to the jury that a verdict of not guilty by reason of insanity would result in Defendant's immediate release: Q. [K.C. Scull, Deputy County Attorney]: So, in other words, even though you assumed that he shot Daphne Dad, shot her father and did whatever else he did by way of aiming the gun around, he should walk out of the courtroom today a free man? A. [Dr. McMahon, psychologist]: That's not my decision to make, Mr. Scull. That's the jury's. Q. That's the ultimate result if we follow your conclusion, is it not? A. If the jury so decides that, then  Q. The answer is yes or no, isn't it? A. Well, no, because the court may very well commit him to the State Hospital for treatment. Q. Excuse me. Your opinion is that he is sane as he sits here today? A. Yes. Q. Your opinion then is that he would walk out the back door of the courtroom because he is sane. Mr. Cornell: Objection, your honor. The question already been asked and answered numerous times. The Court: He has not answered that. Mr. Cornell: Your honor, he has said that  The Court: Let me see counsel please, and we'll make a record in a minute. Reporter's Transcript (R.T.) Nov. 15, 1990 at 83-84 (emphasis added). The trial court then sustained the objection after an unreported bench conference. Defendant argues that these and other remarks [3] were improper because they diverted the jurors' attention from the issue of insanity and focused it instead on the results of an acquittal. A long line of our cases has held that this type of statement is improper. See State v. Purcell, 117 Ariz. 305, 308, 572 P.2d 439, 442 (1977); State v. Wilcynski, 111 Ariz. 533, 535, 534 P.2d 738, 740 (1975); State v. Makal, 104 Ariz. 476, 477, 455 P.2d 450, 451 (1969); State v. Jordan, 80 Ariz. 193, 198, 294 P.2d 677, 681 (1956); see also State v. Clark, 110 Ariz. 242, 244, 517 P.2d 1238, 1240 (1974); State v. Karstetter, 110 Ariz. 539, 521 P.2d 626 (1974); State v. Puffer, 110 Ariz. 180, 181, 516 P.2d 316, 317 (1973). This view has long prevailed in virtually all jurisdictions. Annotation, Prejudicial Effect of Argument or Comment that Accused, if Acquitted on Ground of Insanity, Would be Released from Institution to Which Committed, 44 A.L.R.2D 978, 979-81 (1955). The rhetorical questions propounded by the prosecutor suggested that if the jury accepted the defense of temporary insanity Defendant would have immediately been released. This was, of course, not entirely correct. Under Arizona law, a defendant found to have been insane at the time of a homicide would first be committed for evaluation and could be held for long-term treatment, if necessary. See A.R.S. § 13-3994. [4] It is also true, however, that under the facts of this case, the prosecutor's suggestion was largely correct. Defendant contended, and his expert witness testified, that the trigger reaction producing Defendant's temporary insanity was brief and episodical in nature and that Defendant was sane at the time of trial. Thus, upon commitment, Defendant presumably could have proven that he was no longer mentally ill or dangerous and would have been entitled to release within a short period of time. The prosecutor's suggestion that Defendant would be released immediately was thus essentially true under the facts of this case. Cf. Jordan, 80 Ariz. at 197, 294 P.2d at 680 (statements unfairly implied that there was no possibility of detaining defendant after an acquittal). The vice in the present case was that the questions called the jurors' attention to the issue of disposition, a matter with which they were not to be concerned. The principle that juries are not to consider the consequences of their verdicts is a reflection of the basic division of labor ... between judge and jury. The jury's function is to find the facts and to decide whether, on those facts, the defendant is guilty of the crime charged. The judge, by contrast, imposes sentence.... Information regarding the consequences of a verdict is therefore irrelevant to the jury's task. Moreover, providing jurors sentencing information invites them to ponder matters that are not within their province, distracts them from their factfinding responsibilities, and creates a strong possibility of confusion. Shannon v. United States, ___ U.S. ___, ___-___, 114 S.Ct. 2419, 2421, 129 L.Ed.2d 459 (1994); see also Makal, 104 Ariz. at 477, 455 P.2d at 451 (jury is neither concerned with nor responsible for defendant's disposition). The present state of the law is set forth in State v. McLoughlin, 133 Ariz. 458, 461-62, 652 P.2d 531, 534-35 (1982) (defendant not entitled to instruction on disposition where an outside party told juror that defendant would be set free if acquitted by reason of temporary insanity and defendant requested disposition instruction; disposition of a defendant ... should never be considered by the jury in its deliberations); State v. Jensen, 111 Ariz. 408, 410, 531 P.2d 531, 533 (1975) (defendant not entitled to instruction on disposition even if requested); State v. Peats, 106 Ariz. 254, 256, 475 P.2d 238, 240 (1970) (same). The jury was to decide the question of sanity, not the propriety of the law governing disposition after a finding of insanity. The prosecutor's questions, therefore, raised an issue that was at once irrelevant and, as noted by many of the cases cited above, prejudicial. We must say that this experienced prosecutor should have known better than to make such remarks, and his actions seem almost calculated to bring prejudicial and irrelevant matters before the jury. His conduct jeopardized the proceedings. We do not, however, reverse convictions merely to punish a prosecutor's misdeeds nor to deter future misconduct. State v. Valdez, 160 Ariz. 9, 14, 770 P.2d 313, 318 (1989); State v. Skinner, 110 Ariz. 135, 149, 515 P.2d 880, 894 (1973). Rather, although the conduct was undeniably improper, we look first to determine whether counsel's actions were reasonably likely to have affected the jury's verdict, thereby denying the defendant a fair trial. State v. Atwood, 171 Ariz. 576, 606, 832 P.2d 593, 623 (1992); State v. Dumaine, 162 Ariz. 392, 400, 783 P.2d 1184, 1192 (1989). We note first that Defendant did not object to the colloquy between the prosecutor and the expert witness when the matter was first raised. This differs from several of the cases cited above, such as Wilcynski, Makal, and Purcell, in which the suggestion was either invited error or was introduced over objection. Even in Jordan it appears that an objection may have been made to the comments regarding disposition because, although the opinion does not state whether the defendant objected to the prosecutor's questions, the court discussed the prosecutorial misconduct issue but refused to consider another issue due to defendant's failure to object at trial. 80 Ariz. at 199, 294 P.2d at 681. In the present case, Defendant made no objection until after several questions and answers, and then he objected on the ground of asked and answered. This objection was eventually sustained. Whether represented or pro se, a defendant's failure to object constitutes a waiver of error. Cook, 170 Ariz. at 50, 821 P.2d at 741; State v. Scott, 108 Ariz. 202, 203, 495 P.2d 133, 134 (1972). We must turn, then, to the questions of prejudice and fundamental error. Given our previous cases, holding that bringing the issue of disposition to the attention of the jury is both error and prejudicial, we will assume prejudice. See Makal, 104 Ariz. at 478, 455 P.2d at 452; Jordan, 80 Ariz. at 198, 294 P.2d at 681; see also Evalt v. United States, 359 F.2d 534 (9th Cir.1966) (similar argument was improper and prejudicial); People v. Modesto, 66 Cal.2d 695, 59 Cal. Rptr. 124, 427 P.2d 788 (1967) (same) cert. denied, 389 U.S. 1009, 88 S.Ct. 574, 19 L.Ed.2d 608 (1967). Thus, we turn now to the question of whether the error, and resulting prejudice, was so serious as to rise to the level of fundamental error. The state argues that any prejudice engendered by the prosecutor raising the subject was mitigated by the court's standard instruction to the jurors that they were not to consider punishment when deciding Defendant's guilt or innocence. We also note that the court instructed the jury that statements of counsel are not part of the evidence and to disregard questions and answers when an objection is sustained. We believe this argument rests on sheer speculation. The court's stock instructions were delivered some days before and after the prosecutor's prejudicial questions occurred. It is possible, of course, that some jurors were able to connect the stock instructions to the incident under examination, but it is, in our view, just as possible that they did not make that connection. It would have been much different, of course, if the court had given a specific instruction at the time the issue came up. See, e.g., United States v. Greiser, 502 F.2d 1295, 1298 (9th Cir.1974) (error cured in part by immediate instruction not to consider punishment); Clark, 110 Ariz. at 244, 517 P.2d at 1240 (error cured in part by immediate instruction to ignore improper question because objection was sustained, and it had no basis in the evidence). [5] In this case, however, we simply cannot agree that these stock instructions, unconnected in any way by chronology or reference to the incident, had any mitigating effect. There are several other factors, however, that did tend to diminish the prejudice. First, the witness' answers were favorable to Defendant because the witness refuted the prosecutor's statements. The witness continued to maintain his denial even in the face of the prosecutor's repeated assertions. Cf. People v. Ferguson, 191 A.D.2d 809, 594 N.Y.S.2d 860, 862 (1993) (finding it a significant reason for reversal that prosecutor's suggestion was never specifically refuted). Here, it was the prosecutor's questions, not the witness' answers, that were truly prejudicial. The most precise answer the witness gave informed the jury that Defendant would not necessarily go free on a not guilty verdict because the court may very well commit him to the State Hospital for treatment. Second, although it is quite true that under the facts of this case the jurors might have been concerned that Defendant would have been found sane at the time of such commitment and set free, it is also true that even had the subject not been raised, this concern would probably have been on the jurors' minds. It is, simply put, a problem for defense lawyers in most temporary insanity cases. It is an even larger problem where, as in the case at bench, the defendant represents himself at trial, demonstrating to jurors his very rational thought processes, and the likelihood that he will later convince others that he should no longer be locked up. Given all this, we must concede that the prosecutor's questions raised a subject that, although technically irrelevant, would probably have been an issue in the jury room even if never mentioned at trial. [6] Nevertheless, we are concerned that the prosecutor's questions may have caused prejudice to Defendant beyond that which would have otherwise been present. After all, the state claims in most cases that the issue of sentencing is both irrelevant and prejudicial to its interests. It can hardly take the opposite position in cases of alleged temporary insanity. However, if a defendant fails to object and then objects on inappropriate grounds, the issue is waived and does not require or permit reversal absent fundamental error. State v. Vickers, 129 Ariz. 506, 510, 633 P.2d 315, 319 (1981) (raising one objection at trial does not preserve another objection on appeal unless fundamental error) (quoting State v. Long, 119 Ariz. 327, 328, 580 P.2d 1181, 1182 (1978)). In this case, a timely and proper objection would have allowed the judge to prevent some of the remarks, to put an end to the line of questioning, and to promptly and cogently instruct the jury to ignore the issue of disposition. See generally 1 Wigmore, EVIDENCE § 18, at 793 (Tiller's rev. 1983) (errors should be corrected at the earliest practicable time) (citing Tuttle v. Dodge, 80 N.H. 304, 116 A. 627, 632 (1922)). Better yet, the judge could have informed the jury of the provisions of A.R.S. § 13-3994. Our search is thus for fundamental error. Error is considered to be fundamental when it goes to the foundation of the case, takes from a defendant a right essential to the defense, or is of such magnitude that it cannot be said it is possible for the defendant to have had a fair trial. Bible, 175 Ariz. at 572, 858 P.2d at 1175. In this case, although the question is a close one, we hold that the prosecutor's conduct did not rise to the level of fundamental error. Whatever prejudice this line of questioning produced was mitigated by its brevity, by the witness' protective answers, and by the fact that the issue injected was one that undoubtedly would have been on the jurors' minds because of the nature of the defense. Moreover, we are convinced that the erroneous injection of the issue of disposition did not cause serious harm to Defendant's case. There was no dispute that Defendant killed the victim. The only issue was his sanity, and Defendant's evidence of insanity was not persuasive. Defendant's expert witness based his insanity diagnosis primarily on a novel theory developed by a single psychologist in an article [7] published in a small journal, which was supported by relatively few case studies, most of which differed fundamentally from Defendant's case. The state effectively demonstrated these weaknesses and presented the testimony of two experts that Defendant was not insane at the time of the crimes and was probably malingering. These experts also testified that the psychotic trigger syndrome theory was not generally accepted, and that even if it were, Defendant did not fit the theory. [8] During the sentencing process the trial judge, who saw and heard the actual testimony, specifically stated that this court views [the insanity] defense as not credible. Thus, this case contrasts sharply with other cases in which reviewing courts found strong evidence of a defendant's temporary insanity, requiring reversal on the basis of remarks similar to those made by the prosecutor in the present case. See, e.g., Makal, 104 Ariz. at 478, 455 P.2d at 452. This was not a close case in which the improper questions might have tipped the scales and deprived Defendant of a fair trial. From our review of the record it is evident that the weight of the evidence against Defendant would have resulted in his conviction with or without these remarks. Cf. Mott v. State, 94 Okl.Crim. 145, 232 P.2d 166, 179 (App. 1951) (finding similar remarks to be harmless error); State v. McDonald, 184 S.C. 290, 192 S.E. 365, 370-71 (1937) (same), overruled on other grounds by State v. Torrence, 305 S.C. 45, 406 S.E.2d 315, 328 n. 5 (1991); State v. Estes, 655 S.W.2d 179, 185 (Tenn.Cr.App. 1983) (same). We conclude therefore that this brief event, which occurred during a trial in which there was little persuasive evidence of insanity and which was mitigated by favorable witness testimony, did not amount to fundamental error. 2. Prosecutor's insinuation of coaching During the same cross-examination of Dr. McMahon, the prosecutor asked questions implying that advisory counsel coached Defendant to feign symptoms of epilepsy: [9] Q. Now lets talk about temporal lobe epilepsy. A. Yes. Q. What evidence do you have of that existing in this case? A. The burning sickening smell [an olfactory hallucination allegedly perceived by defendant] is a classic sort of a sign of seizure. Q. Okay. He could have told you that and made that up, couldn't he? A. That's a possibility. Q. Thank you. He has, he has advisory counsel in this case, doesn't he? A. Yes. Q. As far as you know  I mean you know Mr. Avilla [advisory counsel], do you not? A. Yes. Q. Have you worked with him before? A. We did one other case before. Q. Okay. As far as you know, Mr. Avilla has been consulting with Mr. Cornell since December something of 1989, correct? A. Sometime, yeah, before I was involved in the case.       Q. Is Mr. Avilla somewhat familiar with psychological principles? Mr. Cornell: Objection, Your Honor. It calls for hearsay. The Court: Well, it can be answered yes or no. And then lay some more foundation. So you can answer it yes or no. A. No. Q. He is not familiar with psychological principles at this level, is that what you are telling us? A. Not at this level. No further objection was made. After a weekend trial break, however, advisory counsel asked the court for permission to withdraw so he could testify to rebut the insinuation that he had coached Defendant to feign having had an olfactory hallucination after the killing. The court agreed that this was the prosecutor's intended insinuation, and the prosecutor did not deny this. However, the court refused to allow advisory counsel to withdraw, ruling that the prosecutor would instead be precluded from making the coaching argument to the jury. The court also denied Defendant's request for a mistrial. Defendant now argues that these events denied him a fair trial and due process of law as guaranteed by the United States and Arizona Constitutions. We agree with the trial court that the prosecutor undoubtedly intended these questions to place in the jurors' mind the idea that advisory counsel coached Defendant on how to feign this symptom of temporal lobe epilepsy. We have repeatedly held that a prosecutor must not make prejudicial insinuations without being prepared to prove them. State v. Holsinger, 124 Ariz. 18, 21, 601 P.2d 1054, 1057 (1979); State v. Williams, 111 Ariz. 511, 515, 533 P.2d 1146, 1150 (1975); State v. Van Winkle, 106 Ariz. 481, 483, 478 P.2d 105, 107 (1970); State v. Stago, 82 Ariz. 285, 287, 312 P.2d 160, 161 (1957); see also State v. Ballantyne, 128 Ariz. 68, 71, 623 P.2d 857, 860 (Ct.App. 1981); State v. Zappia, 8 Ariz. App. 549, 553, 448 P.2d 119, 123 (1968), cert denied, 396 U.S. 861, 90 S.Ct. 132, 24 L.Ed.2d 113 (1969). We find no indication in the record that this prosecutor had any evidence to back up his accusation. In addition, the comments unfairly cast aspersions on advisory counsel's integrity. We strongly disapprove of such conduct by an experienced prosecutor, and we remind the bar that this kind of misconduct can result not only in reversal, see, e.g., Holsinger, 124 Ariz. at 21, 601 P.2d at 1057, but can also have serious personal consequences. [10] Moreover, we are concerned that this conduct, and the conduct discussed in the previous section, evinced an attitude by the prosecutor that he could take advantage of the fact that Defendant was representing himself. It is true that a defendant acting in propria persona is subject to the same rules as an attorney. Faretta, 422 U.S. at 834 n. 46, 95 S.Ct. at 2541, n. 46; United States v. Merrill, 746 F.2d 458, 465 (9th Cir.1984), cert. denied, 469 U.S. 1165, 105 S.Ct. 926, 83 L.Ed.2d 938 (1985). It is also true, however, that a defendant's invocation of the right to self-representation does not signal playtime for prosecutors. Prosecutors have a duty to do more than convict defendants. They have a duty to see that defendants get a fair trial. See, e.g., State ex rel. Romley v. Superior Court, 172 Ariz. 232, 241, 836 P.2d 445, 454 (Ct.App. 1992) (Lankford, J., concurring); State v. Steen, 623 A.2d 146, 148 (Me. 1993); State v. Gaudette, 431 A.2d 31, 34 (Me. 1981); see also Ariz.R.Sup.Ct. 42, ER 3.8, comment (a prosecutor has the responsibility of a minister of justice and not simply that of an advocate). However, we are again faced with the fact that Defendant failed to object in a proper and timely manner. Had he done so, the court could have sustained the objection, admonished the jurors to ignore the matter, and instructed them that the inference of coaching had no factual basis. Failure to object and request remediation precludes Defendant from arguing the point on appeal, unless the error was fundamental. We find that the misconduct in this instance did not rise to the level of fundamental error. The coaching charge was only made by implication, there was no evidence of it, and the witness repeatedly refuted the possibility. When the matter was brought to the judge's attention a few days later, he directed the prosecutor not to argue the point again, and the prosecutor obeyed this instruction. Finally, we note that the prosecutor's improper questions did not tend to undermine Defendant's primary defense based on the psychotic trigger reaction theory. Rather, they only tended to discredit the theory that the killing occurred because Defendant had an epileptic seizure. Yet Defendant never presented evidence to explain to the jury how he could have committed a series of complicated, coordinated actions during an epileptic seizure. [11] Although we express no opinion on that question, we conclude that the lack of evidence on whether epilepsy occurred and how it might have exonerated Defendant weighs against this misconduct amounting to fundamental error. We hold, therefore, that these comments did not constitute fundamental error or violate Defendant's rights to due process. Defendant also argues that the trial court erred by not allowing his advisory counsel to withdraw and testify to rebut the coaching allegations. In response to advisory counsel's request to withdraw, the court stated: As I said, in light of my admonition to Mr. Scull [that he may not argue coaching in his closing argument], I don't see a problem. There is no evidence in the record which suggests at all that that's what you did, that is, again, provide Mr. Cornell with the information that he could use ... to promote his insanity defense. If you want me to admonish the jury in some respect, as far as I am concerned there is no evidence to strike. There is a question that was posed, but I think the answer given by the doctor was favorable to you. I'm not going to let you be called as a witness. In addition to the reasons the judge gave, it appears from the record that he was concerned with delay throughout this trial and was worried that a change of counsel would result in further delay. A trial court has broad discretion in managing the conduct of a trial, and has a duty to properly exercise that discretion. United States v. Johnson, 618 F.2d 60, 62 (9th Cir.1980); Pool v. Superior Court, 139 Ariz. 98, 103-04, 677 P.2d 261, 266-67 (1984). Although we agree that it is important to conduct trials expeditiously, the trial judge's decision on this point would be debatable if the issue had gone to the heart of the defense. A defendant's attorney is not automatically precluded from serving as a witness, especially if the attorney seeks to withdraw and the client consents, as was the case here. See State v. Caldwell, 117 Ariz. 464, 471-72, 573 P.2d 864, 871-72 (1977); see also, generally, Erwin S. Barbre, Annotation, Defense Attorney as Witness for his Client in State Criminal Case, 52 A.L.R.3D 887, 889 (1973). A court's refusal to allow an attorney to withdraw and testify on a defendant's behalf may be considered error of constitutional dimensions. People v. Goldstein, 130 Cal. App.3d 1024, 182 Cal. Rptr. 207, 211 (1982). Moreover, in this case, Defendant attempted to call only advisory counsel, not an attorney who was actively defending the case. Under these circumstances, it might have been preferable for the court to have allowed counsel to testify. However, as discussed above, Defendant ultimately failed to present enough evidence to support an epilepsy defense. The inference of coaching went only to the alleged epilepsy. Rebuttal testimony was therefore not crucial because the jury surely would not have acquitted Defendant on that basis, regardless of whether Defendant had been coached. Moreover, Defendant later reopened the matter on redirect examination and elicited testimony that advisory counsel did not know enough about psychology to coach Defendant on this point. Thus, the proffered testimony could not have affected the jury's verdict, and its exclusion was harmless beyond a reasonable doubt. State v. McVay, 127 Ariz. 450, 453, 622 P.2d 9, 12 (1980).