Opinion ID: 1287803
Heading Depth: 1
Heading Rank: 2

Heading: plain error doctrine

Text: ¶ 20 Jorgensen's defense counsel did not object to the circuit court's reading of the November 10 hearing transcript or to the prosecutor's improper remarks during closing argument. As a result, Jorgensen now asserts four theories of relief: plain error, in the interest of justice, ineffective assistance of counsel, and structural error. We conclude that the facts of this case give rise to plain error and thus warrant a new trial. First, the errors were fundamental, obvious, and substantial. In this case, Jorgensen was denied basic constitutional protections. Second, the State has failed to meet its burden of proof that these errors were harmless. Thus, we conclude that the errors constitute plain error. ¶ 21 Wisconsin Stat. § 901.03(4) (2003-04) recognizes the plain error doctrine. [3] The plain error doctrine allows appellate courts to review errors that were otherwise waived by a party's failure to object. State v. Mayo, 2007 WI 78, ¶ 29, 301 Wis.2d 642, 734 N.W.2d 115. See also 7 Daniel D. Blinka, Wisconsin Evidence § 103.7 (2d ed.2001). Plain error is `error so fundamental that a new trial or other relief must be granted even though the action was not objected to at the time.' State v. Sonnenberg, 117 Wis.2d 159, 177, 344 N.W.2d 95 (1984) (citation omitted). The error, however, must be obvious and substantial. Id. Courts should use the plain error doctrine sparingly. Id. For example, `where a basic constitutional right has not been extended to the accused,' the plain error doctrine should be utilized. Id. (citing Virgil v. State, 84 Wis.2d 166, 195, 267 N.W.2d 852 (1978)) (Beilfuss, C.J., concurring); Wisconsin courts have consistently used this constitutional error standard in determining whether to invoke the plain error rule. State v. King, 205 Wis.2d 81, 91, 555 N.W.2d 189 (Ct.App.1996) (citing to a number of Wisconsin cases applying the plain error doctrine). ¶ 22 However, `the existence of plain error will turn on the facts of the particular case.' Mayo, 301 Wis.2d 642, ¶ 29, 734 N.W.2d 115 (citing Virgil, 84 Wis.2d at 190-91, 267 N.W.2d 852). The quantum of evidence properly admitted and the seriousness of the error involved are particularly important. Id. Erroneously admitted evidence may tip the scales in favor of reversal in a close case, even though the same evidence would be harmless in the context of a case demonstrating overwhelming evidence of guilt. Virgil, 84 Wis.2d at 191, 267 N.W.2d 852. Thus, no bright-line rule exists to determine automatically when reversal is warranted. See Mayo, 301 Wis.2d 642, ¶ 29, 734 N.W.2d 115. ¶ 23 If the defendant shows that the unobjected to error is fundamental, obvious, and substantial, the burden then shifts to the State to show the error was harmless. [4] Id. (citing King, 205 Wis.2d at 93, 555 N.W.2d 189). To determine whether an error is harmless, this court inquires whether the State can prove `beyond a reasonable doubt that a rational jury would have found the defendant guilty absent the error[].' [5] Mayo, 301 Wis.2d 642, ¶ 47, 734 N.W.2d 115 (citation omitted). This court has identified several factors to assist in determining whether an error is harmless: (1) the frequency of the error; (2) the importance of the erroneously admitted evidence; (3) the presence or absence of evidence corroborating or contradicting the erroneously admitted evidence; (4) whether the erroneously admitted evidence duplicates untainted evidence; (5) the nature of the defense; (6) the nature of the State's case; and (7) the overall strength of the State's case. Id., ¶ 48. [6] If the State fails to meet its burden of proving that the errors were harmless, then the court may conclude that the errors constitute plain error. ¶ 24 Wisconsin appellate courts have applied the plain error doctrine to evaluate unobjected to error that is fundamental, obvious and substantial. [7] In Mayo, this court analyzed a number of errors. We concluded that even though disparaging remarks by both the prosecutor and the defense counsel were improper, those errors did not require a new trial based on plain error or in the interest of justice. Id., ¶ 42. In Mayo, the prosecutor stated that the role of the defense counsel was to get his client off the hook and not to see justice done but to see his client was acquitted. Id. The defense counsel, on the other hand, analogized the prosecutor to Saddam Hussein. This court concluded that while the statements were improper, they were not prejudicial when viewed in context of the whole trial and thus a due process violation had not occurred. [8] Id., ¶ 43. During her closing argument, the prosecutor also commented on the process she used for reviewing files and making charging decisions. However, the court found that these comments did not provide the jury with information that would unfairly influence the jury's decision and infect the trial with unfairness. Id., ¶ 45. ¶ 25 On the other hand, the prosecutor's statements in Mayo, which she made during her opening statement and examination of State's witnesses, violated the defendant's constitutional right to remain silent because the statements referenced the defendant's pre- Miranda silence. However, the court concluded that the error of commenting on pre- Miranda silence was harmless because the errors were infrequent and not prejudicial. Id., ¶¶ 49-52. ¶ 26 In State v. Davidson, 2000 WI 91, ¶¶ 81-89, 236 Wis.2d 537, 613 N.W.2d 606, this court analyzed whether a prosecutor's statements during closing arguments required reversal under the plain error doctrine. The prosecutor commented on the credibility of a witness and asked the jury, do you believe Tina as I do. Id., ¶ 82. Thus, the prosecutor inappropriately vouched for a witness. ¶ 27 The second comment by the prosecutor in Davidson resulted in the jury hearing insignificant, unsworn testimony. [9] Id., ¶ 83. This court concluded that the prosecutor's statements were limited in scope and not so egregious as to constitute plain error. Id., ¶ 88. The improper statements did not infect the trial with unfairness so as to render the resulting conviction a denial of due process. Id. ¶ 28 In the case at issue, the judge and the prosecutor made several errors during trial, and defense counsel did not object. For example, the following errors occurred as a result of the court reading the transcript: (1) The admission of other acts such as prior convictions and pending charges for operating while intoxicated. See State v. Alexander, 214 Wis.2d 628, 644-51, 571 N.W.2d 662 (1997) (criticizing the admission of prior convictions when the defendant stipulates to those convictions and the only purpose of admission is to prove a status element); see also Wis. Stat. § 904.04(2) (precluding the admission of other crimes generally unless an exception applies). (2) The admission of the fact that a preliminary breath test was conducted and the results of that test. See Wis. Stat. § 343.303 (rendering a preliminary breath test inadmissible unless certain exceptions apply). (3) The admission of inadmissible hearsay including testimony from the judge and the prosecutor. See Wis. Stat. § 908.02. (4) The admission of information before the jury that was not subject to confrontation, such as the judge's remarks and the prosecutor's commentary regarding the preliminary breath test, their personal observations of Jorgensen on November 10, and their conclusions about Jorgensen's guilt. See Article I, Section 7 of the Wisconsin Constitution and the Sixth Amendment of the United States Constitution. (5) The prosecutor's assertion of personal knowledge of the facts. See SCR 20:3.4(e) (2004) (stating a lawyer shall not assert personal knowledge of facts in issue except when testifying as a witness); State v. Jackson, 2007 WI App 145, ¶ 22, 302 Wis.2d 766, 735 N.W.2d 178. (6) The admission of information regarding the judge's participation, including his perceptions and conclusions, at the prior proceeding. See generally Withrow v. Larkin, 421 U.S. 35, 56, 95 S.Ct. 1456, 43 L.Ed.2d 712 (1975) (concluding that a judge's pretrial involvement does not raise any constitutional barrier against the judge's presiding over the criminal trial). However, the jury should not have learned of highly prejudicial, inadmissible evidence that included the judge's involvement and conclusions as well as the prosecutor's involvement and conclusions. ¶ 29 Unobjected to errors also occurred during the prosecutor's closing argument. The prosecutor's closing remarks highlighted the highly prejudicial, inadmissible information. Like the judge's testimony, the prosecutor's testimony was not subject to confrontation. ¶ 30 The prosecutor, during closing argument, identified the defendant as a chronic alcoholic: This is a trial that is a search for truth. The truth of the matter is that Mr. Jorgensen is a chronic alcoholic. I don't know if we're ever going to get him to believe that, but that's the truth. The truth of the matter is Mr. Jorgensen drove to court that day and he was drunk, and it was very foolish thing for him to do. . . . ¶ 31 This commentary was improper. First, it is inappropriate for an attorney to allude to a matter not supported by admissible evidence. See SCR 20:3.4(e); State v. Freiberg, 35 Wis.2d 480, 484, 151 N.W.2d 1 (1967) (stating that alcoholism is a disease that should be proven by expert medical opinion). Second, it is improper for a prosecutor to provide the jury with information, which allows the jury to consider facts not in evidence when determining guilt. See State v. Smith, 2003 WI App 234, ¶ 23, 268 Wis.2d 138, 671 N.W.2d 854. Third, while the statement is not evidence because it was stated during closing arguments, it is still useful to assert that labeling Jorgensen a chronic alcoholic is not relevant, and it is highly prejudicial. See Wis. Stat. §§ 904.01 and 904.03. Fourth, the context in which the chronic alcoholic comment arose comes dangerously close to asking the jury to convict Jorgensen of OWI because he is an alcoholic who may not acknowledge that he has a problem. See generally Robinson v. California, 370 U.S. 660, 666, 82 S.Ct. 1417, 8 L.Ed.2d 758 (1962) (rendering a statute unconstitutional because it punished the status of having a narcotics addiction rather than the act of manufacturing, selling, purchasing, or possessing narcotics). ¶ 32 This commentary was not heard by the jury in a vacuum. The chronic alcoholic statement occurred in a trial where the jury was informed of: (1) the defendant's previous OWI convictions; (2) the defendant's pending OWI charges; (3) the judge ordering a preliminary breath test; (4) the trial judge and the trial prosecutor witnessing the November 10 events; (5) the judge's determination that Jorgensen needed to be sent to the hospital for evaluation; and (6) the trial judge and prosecutor's conclusions about Jorgensen's intoxication and his guilt.
¶ 33 Relevant to a plain error analysis in this case are the unobjected to errors that occurred by the judge and the prosecutor. In this case, Jorgensen was denied his right to confrontation and due process because of the transcript being read by the trial judge, who also presided over the November 10 hearing, and the prosecutor's inappropriate statement during closing argument.
¶ 34 `The Confrontation Clause of the United States and Wisconsin Constitutions guarantee criminal defendants the right to confront witnesses against them.' State v. Jensen, 2007 WI 26, ¶ 13, 299 Wis.2d 267, 727 N.W.2d 518 (citation omitted); see also Crawford v. Washington, 541 U.S. 36, 42, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004), U.S. Const. amend. VI; [10] Wis. Const. art. I, § 7. [11] By reading the November 10 hearing transcript at Jorgensen's criminal trial, which essentially provided the jury with the judge's and the prosecutor's conclusions about Jorgensen's guilt, the circuit court itself seemingly testified against the defendant, and the prosecutor essentially testified against the defendant by virtue of the judge reading the transcript from the November 10 hearing. This highly prejudicial and largely inadmissible evidence was not subject to cross-examination. ¶ 35 Here, the circuit court seemed to testify against the defendant when it stated the following: (1) Jorgensen was having difficulty following simple instructions due to intoxication; and (2) Jorgensen violated the no alcohol provision of his bond. These statements directly related to Jorgensen's alleged intoxication and the elements of the offenses charged for which Jorgensen was to be presumed innocent. It remains the State's burden to prove those elements beyond a reasonable doubt. Under Wis. Stat. § 946.49(1), the State must prove that the defendant violated a provision of his or her bond. In this case, the terms of the bond and the defendant's knowing conduct, consuming alcohol, in violation of those terms are elements that the State must prove in order to convict the defendant of bail jumping. See Wis JICriminal 1795. Under Wis. Stat. § 346.63(1)(a), the State must prove the defendant was under the influence of an intoxicant at the time the defendant drove on a highway. See Wis JICriminal 2663. The State's burden was decreased because of the errors made at trial. ¶ 36 The circuit court's commentary essentially constituted unsworn testimony against the defendant, and it reached legal conclusions that should otherwise rest solely within the province of the jury. Jorgensen never had the opportunity to question the circuit court's observations. The opportunity to question one's accusers is central to our adversarial system. Without confrontation, potential errors, mistakes of fact, and ambiguities are neither examined nor tested by opposing counsel. Since these observations likely helped to establish elements of the crimes charged, these were not trivial comments by the circuit court. Moreover, the circuit court's observations informed the jury that the court believed Jorgensen was intoxicated, violated his bond, and was guilty. ¶ 37 Also, by virtue of the circuit court reading the November 10 hearing transcript, the prosecutor essentially testified against the defendant without being subject to confrontation. The prosecutor's remarks at the hearing forwarded the following assertions: (1) Jorgensen was having trouble communicating with his lawyer; (2) he emitted a strong odor of intoxicants; (3) Jorgensen was convicted of another OWI in Calumet County while out on a Shawano County bond; (4) he had a pending OWI in Outagamie County; and (5) Jorgensen violated his bond. ¶ 38 Despite the evidentiary and procedural errors associated with this testimony, Jorgensen never had the opportunity to confront his accuser. Thus, the defendant was deprived of the opportunity to test the prosecutor's statements. In addition, the uncontroverted, highly prejudicial, and largely inadmissible evidence appeared to be cloaked with the judge's approval. Without the State introducing the requisite evidence, the jury was informed that the prosecutor believed Jorgensen was intoxicated on November 10, he had violated his bond, and that he was guilty of OWI in the past, had pending OWI charges in another county, and was now guilty of the crimes charged in this case. Testimony from a prosecutor is difficult enough to overcome, but it is impossible for a defendant to test or counter a prosecutor's testimony when the defendant is denied his right to confront the prosecutor as a witness. It is even more insurmountable when it appears that the judge is approving of the prosecutor's version of the evidence because the judge is reading the observations to the jury and states, [t]hat's what happened in court here last November 10. ¶ 39 Jorgensen's right to confrontation was also violated during the prosecutor's closing argument. The prosecutor took what the jury had improperly heard during the trial a step further. She testified that Jorgensen was a chronic alcoholic who did not acknowledge his problem, that on November 10 she smelled a strong odor of intoxicants from him, and that she knew Jorgensen was drunk that day in court. While the State did produce testimony regarding Jorgensen's level of intoxication on the date in question through the toxicologist, Jorgensen was still denied his right to confrontation and the right to have the State prove its case beyond a reasonable doubt. However, the presence of potentially duplicative evidence is only relevant to whether or not the error was harmless and is but one factor in that analysis. Moreover, this is not the only constitutional error that occurred during the course of the trial.
¶ 40 The due process clause of both the United States and Wisconsin Constitution prohibits the government from depriving a person of due process of law. [12] By virtue of the prosecutor's improper comments, Jorgensen was denied his right to due process. We recognize that the line between permissible and impermissible statements is not easy to discern. However, `where the prosecutor goes beyond reasoning from the evidence to a conclusion of guilt and instead suggests that the jury arrive at a verdict by considering factors other than the evidence,' the statements are impermissible. Smith, 268 Wis.2d 138, ¶ 23, 671 N.W.2d 854 (quoting State v. Draize, 88 Wis.2d 445, 454, 276 N.W.2d 784 (1979)). Improper comments, however, do not necessarily give rise to a due process violation. To determine whether a prosecutor's comments constitute a due process violation, the court must ask whether the statements `so infected the trial with unfairness as to make the resulting conviction a denial of due process.' Mayo, 301 Wis.2d 642, ¶ 43, 734 N.W.2d 115 (citation omitted). ¶ 41 Accordingly, not all inappropriate statements by a prosecutor result in a due process violation that gives rise to plain error. For example, in Mayo, King, Gustafson, and some statements analyzed in Virgil, [13] the improper statements were about the role of an attorney, charging decisions by prosecutors, a co-defendant's guilty plea, or the improper statements were irrelevant to the issues. None of the errors infected those trials with unfairness so as to create a due process violation. ¶ 42 In this case, however, improper statements denied Jorgensen his right to due process because they infected the trial with unfairness. The errors occurred repeatedly and in different forms at several junctures of the trial; the statements were related to elements of the offenses charged, highly prejudicial, largely inadmissible, and cloaked with judicial approval. This is not merely a slip of the tongue during closing argument or in questioning a witness. Improper evidence was magnified by virtue of the circuit court reading the November 10 hearing transcript and the prosecutor using the transcript to make improper comments during closing argument. In this case, the jury improperly learned that the prosecutor had personal knowledge of facts at issue, of the prosecutor's actions at the November 10 hearing, of her conclusions about Jorgensen's intoxication, and her opinion that Jorgensen was guilty of violating his bond and thus guilty of bail jumping. In addition, the jury improperly learned that Jorgensen had prior OWI convictions and a pending OWI case. Presumably, Jorgensen stipulated to these prior convictions in an effort to keep this information from the jury. During the closing argument, the jury was urged to reach certain conclusions when it was told that the prosecutor knew Jorgensen was intoxicated on November 10 and Jorgensen was an alcoholic who did not acknowledge his problem. ¶ 43 All of these improper comments invited the jury to consider that Jorgensen had a significant problem with alcohol and to convict him based on inflammatory and inadmissible evidence. Moreover, when considering the context in which the chronic alcoholic statement was used, the prosecutor highlighted the inadmissible information read from the transcript and likely infected the trial with unfairness. Information such as this is ordinarily excluded from the jury out of concern for how the jury will use the information. Providing this information allows the jury to conclude that because Jorgensen has an alcohol problem and has driven while intoxicated in the past, he likely drove while intoxicated on this occasion. ¶ 44 Because of the significance, timing, repetition, and manner in which the improper statements were presented to the jury, they infected the trial with unfairness. These highly prejudicial errors occurred at critical junctures of the trial. Their use at trial denied Jorgensen his right to due process.
¶ 45 Once the defendant establishes that unobjected to errors are fundamental, obvious, and substantial, the State bears the burden of proving that the errors are harmless. Here, the defendant has established that the errors are fundamental, obvious, and substantial; and thus, we turn to the State's argument that the errors are harmless. The State argues that any errorsthe denial of confrontation and due processwere harmless because Jorgensen did not contest that he was intoxicated, and the evidence of intoxication was overwhelming. However, to conclude the errors are harmless solely because the State showed intoxication through other means would render the rest of the harmless error factors worthless. Instead, the court considers the following factors to determine whether an error was harmless: (1) the frequency of the error; (2) the importance of the erroneously admitted evidence; (3) the presence or absence of evidence corroborating or contradicting the erroneously admitted evidence; (4) whether the erroneously admitted evidence duplicates untainted evidence; (5) the nature of the defense; (6) the nature of the State's case; and (7) the overall strength of the State's case. Mayo, 301 Wis.2d 642, ¶ 48, 734 N.W.2d 115. Under the facts of this case, we are compelled to conclude that the errors were not harmless. ¶ 46 Factor one, the frequency of the error: It is significant that the constitutional errors served as bookends to this short trial. The very first evidence presented in this trial was the circuit court reading the November 10 hearing transcript. During closing argument, the prosecutor bolstered that evidence by testifying about her personal knowledge of the November 10 events and that Jorgensen was a chronic alcoholic. If the errors were grouped together, they only occurred twice, but when the trial is less than one day in length and the constitutional errors occurred at the beginning of the State's case and then again during the State's closing argument, the frequency and timing is troubling, even if not dispositive. ¶ 47 Factor two, the importance of the erroneously admitted evidence: The erroneously admitted evidence directly pertained to elements of the crimes charged. The inappropriate testimony in this case was not like the more benign comments of past cases, which included statements about the role of attorneys or how prosecutors charge cases. The evidence does not occur in a brief moment and is then glossed over as seemingly irrelevant. Rather, the evidence in this case directly addressed elements of the crimes charged, and it was presented by the judge and highlighted by the prosecutor. The State bore the burden of proving each and every element of the crimes charged beyond a reasonable doubt. Therefore, these were far from incidental statements before the jury. Here, not only was the improper information admitted before the jury, it was directly pertinent to the State's case. Thus, the erroneously admitted evidence was crucial. ¶ 48 Factor three, the presence or absence of corroborating or contradicting evidence: The evidence was not overwhelming with respect to the timing of the alleged intoxication, and without the judge reading the transcript, the State's presentation of evidence of bail jumping was lean. Thus, the State's case was significantly enriched by the information the jury gleaned from the improperly admitted transcript. ¶ 49 Factor four, duplicative evidence: Absent the improper evidence before the jury, the record contains competing evidence about Jorgensen's intoxication at the time of driving. Deputy Miller testified that Jorgensen struggled with opening the courtroom door on November 10 and that he had a strong odor of intoxicants emanating from his person. The toxicologist testified that Jorgensen's blood ethanol concentration [was] 0.174 grams per 100 milliliters. However, the toxicologist did not explain or elaborate on the significance of that number as it pertained to legal limits of alcohol in the body while driving. Faehling's testimony contradicted the statement she gave to Sergeant Lenzner. Neither Jorgensen's personal testimony nor Faehling's personal testimony at trial necessarily established that Jorgensen was intoxicated at the time of driving. A significant amount of testimony attributable to Jorgensen's intoxication comes from either the circuit court or the prosecutor through the transcript reading. While arguing that duplicative evidence exists is likely the State's strongest argument, it alone does not necessarily carry the day. ¶ 50 Factor five, the nature of the defense: The State argues that the erroneously admitted evidence goes only to intoxication, which was not really contested. Thus, the State argues that the erroneously admitted evidence was not crucial. However, Jorgensen never conceded that he was intoxicated prior to driving. In fact, Jorgensen testified at trial that he had nothing to drink prior to leaving his house that day. [14] He conceded at trial that he drank alcohol at a local bar prior to coming to the courthouse and that he had consumed NyQuil that day. While part of the defense's theory was that he did not drive, the other part was that he did not drink prior to driving but rather only drank after he arrived downtown. Thus, the nature of the defense does not render the potentially duplicative evidence of intoxication dispositive. ¶ 51 Factors six and seven, nature of and strength of the State's case: A significant issue at a trial of this sort is whether Jorgensen was under the influence of an intoxicant at the time of driving. As stated when discussing factor three of the harmless error test, the State's proof that Jorgensen was intoxicated at the time he drove his car and the evidence of each element of bail jumping was lean, absent the court reading the transcript. There is significant question as to whether the jury held the State to its burden of proof or whether it cast aside any weaknesses in the State's case when it learned from the judge and the prosecutor that Jorgensen came to court intoxicated, had prior convictions for OWI, a pending OWI charge, a bond violation as a result of consuming alcohol, was ordered by the presiding judge to take a preliminary breath test, the results of the preliminary breath test, and that the judge sent him to the hospital out of concern for his intoxication. The jury should not have heard this inflammatory information through the judge and the prosecutor, if at all. The State's case was certainly bolstered from the information the jury gleaned from the improperly admitted transcript. In effect, the State's high burden of proof was reduced because the repeated, highly prejudicial, inadmissible evidence invited the jury to convict Jorgensen without the requisite properly admitted evidence. ¶ 52 By applying the harmless error factors, we conclude the errors here were not harmless and that the State has not met its burden of proof in that regard. Under the facts presented, we simply cannot say that it is clear beyond a reasonable doubt that a rational jury would have found Jorgensen guilty absent the errors. The errors were so fundamental, obvious and substantial that we cannot discern whether absent these errors, the State would still have successfully convicted Jorgensen. These errors likely affected the jury's verdict. The judge, by reading the transcript, may have appeared to be vouching for the State's case and testifying against the defendant without being subject to cross-examination. The jury learned from both the prosecutor and the circuit court that Jorgensen was intoxicated on November 10, 2004, and the jury learned from the prosecutor that Jorgensen drove while under the influence in the past and was a chronic alcoholicat least in the eyes of the prosecutor. ¶ 53 As a result, Jorgensen was convicted without the constitutional guarantees due to him. The jury heard inadmissible, prejudicial evidence that violated Jorgensen's right to confrontation and due process, and it likely affected the jury's verdict and willingness to convict.