Opinion · Washington Supreme Court
State v. Easter
130 Wash. 2d 228
- Type
- Opinion
- Court
- Washington Supreme Court
- Jurisdiction
- Washington
- Date
- 1996-09-19
- Topic
- bankruptcy
holding that a comment on a defendant’s silence was not harmless when the State emphasized the silence “many times in closing argument.” | holding that where defendant moved for a mistrial following closing argument by prosecution alleged to have violated his constitutional rights, the state bore the burden of proving that any constitutional error was harmless | holding that where defendant moved for a mistrial following closing argument by prosecution alleged to have violated his constitutional rights, the state bore the burden of proving that any constitutional error was harmless | observing that a defendant's right against self-incrimination includes the right not to testify at trial | observing that a defendant’s right against self-incrimination includes the right not to testify at trial | noting that “the State may not elicit comments from witnesses or make closing arguments relating to a defendant’s silence to infer guilt from such silence” | requiring the state to prove “beyond a reasonable doubt any reasonable jury would reach the same result absent the error” | reasoning defendant’s “right to silence was violated by testimony he did not answer and looked away without speaking” to testifying officer | applying the constitutional harmless error analysis where the defendant’s right to silence had been violated by testimony and closing argument regarding defendant’s prearrest silence | stating defendant’s “right to silence was violated by testimony he did not answer and looked away without speaking” when questioned by officer | reasoning defendant’s right to silence “was also violated by testimony and argument he was evasive” | testifying about his conversation with defendant near scene of accident, officer called defendant a "smart drunk," and characterized his silence as evasive and evidence of guilt; and prosecutor repeated "smart drunk" several times during closing | constitutional error is harmless when it is certain that any reasonable jury would reach the same verdict absent the error | court finds constitutional error harmless only if convinced beyond a reasonable doubt that any reasonable jury would reach the same result without the error | constitutional error harmless if reviewing court concludes beyond a reasonable doubt that any reasonable jury would reach the same result absent the error | “An accused’s right to silence derives, not from Miranda, but from the Fifth Amendment itself.” | Fifth Amendment does not “prevent! ] the State from introducing pre-arrest evidence of a non-testimonial nature about the accused, such as physical evidence, demeanor, conduct, or the like” | officer’s testimony defining “ ‘smart drunk’ as meaning evasive behavior and silence” in response to police questioning violated defendant’s right against self-incrimination | constitutional error is harmless when it is certain that any reasonable jury would reach the same verdict absent the error | “The Fifth Amendment right to silence extends to situations prior to the arrest of the accused.” | “An accused’s right to silence derives, not from Miranda, but from the Fifth Amendment itself.” | “The Fifth Amendment applies before the defendant is in custody or is the subject of suspicion or investigation.” | “The Fifth Amendment applies before the defendant is in custody or is the subject of suspicion or investigation.” | “The Fifth Amendment right to silence extends to situations prior to the arrest of the accused.” | officer's opinion testimony regarding defendant's guilt was not harmless where the prosecutor emphasized the evidence during closing | constitutional error harmless if reviewing court concludes beyond a reasonable doubt that any reasonable jury would reach the same result absent the error | court finds constitutional error harmless only if convinced beyond a reasonable doubt that any reasonable jury would reach the same result without the error | officer testified defendant “totally ignored” him when questioned after making c
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— Patrick Easter was involved in a serious automobile accident in which he and four others were injured. Prior to his arrest, Easter chose not to answer a police officer’s questions as to what happened and whether he had been drinking. At trial, despite a pretrial order preventing any questions by the State on Easter’s alleged evasiveness in response to the officer’s questions, the officer was permitted to testify as to Easter’s pre-arrest silence in the State’s case in chief. In closing argument, the prosecution repeatedly characterized Easter’s silence as that of a "smart drunk” and made it the central theme of the State’s case.
We hold the State’s conduct here violated Easter’s Fifth Amendment right to silence. We reverse Easter’s four convictions for vehicular assault and remand the case to the King County Superior Court for a new trial.
ISSUES
1. Was Easter’s constitutional right to silence violated when the State’s witness testified as to Easter’s pre-arrest silence and the State referred to such pre-arrest silence in closing arguments to the jury?
2. Was the error harmless beyond a reasonable doubt?
FACTS
At 2:30 a.m. on October 31, 1991, at the intersection of
The two vehicles collided at a right angle, with Easter’s Isuzu striking the driver’s side of the cab. At the accident location, Westlake and Mercer intersect at right angles and both contain several lanes of traffic. Westlake runs one-way northbound, and Mercer runs one-way eastbound. At the time of the accident, the police did not know whether Easter had been improperly going southbound on Westlake and the cab eastbound on Mercer, or, alternatively, whether Easter was properly going eastbound on Mercer and the cab northbound on Westlake. A test administered shortly after the accident showed Easter’s blood alcohol content was approximately 0.11. Several days later, Easter was arrested and charged with four counts of vehicular assault, after a police accident reconstructionist concluded Easter caused the accident by going the wrong way on Westlake.
Before the trial, Easter moved to exclude reference to his silence when questioned by Officer Fitzgerald of the Seattle Police Department at the accident scene. The trial court ruled Fitzgerald could not testify as to what he asked Easter, that Easter stood mute when questioned, or characterize Easter as evasive, but could only testify as to what Easter did "without characterizing it.” Report of Proceedings at 123-27, 144.
Easter did not testify at trial. The State and the defense presented evidence supporting two different versions of how the accident happened. Easter contended he had been eastbound on Mercer, with the cab northbound on West-lake; and he unavoidably struck the cab when it improperly entered the intersection on a red light, turned left onto Mercer, and came to a stop in his path. His theory
The State and the defense presented the testimony of accident reconstructionists. The experts’ conclusions were contradictory. Detective Chapman testified Easter’s Isuzu was moving southbound and the cab eastbound, based on his analysis of skid marks, scuff marks, roadway gouges, and auto body damage. The defense expert concluded Easter was going the right way on Mercer. He testified the configuration of skid marks was inconsistent with the State’s theory. Because there was no secondary damage on the vehicles and the imprint of the Isuzu on the side of the cab was not smeared, he believed the cab had stopped when the vehicles collided, consistent with the defense theory of the facts.
Officer Fitzgerald’s testimony occupied much of the trial, although he did not observe the accident or take a statement from a witness. He testified he arrived within minutes of the accident, and found Easter in the bathroom of a gas station at the intersection, with torn clothes, a cut forehead, and blood on his elbows and knees. He testified Easter "totally ignored” him when he asked what happened. Report of Proceedings at 206-09. He also testified when he continued to ask questions, Easter looked down, "once again ignoring me, ignoring my questions.” Id. at 210. The court overruled an objection to this testimony.
Fitzgerald testified he took Easter back to the intersection and told him he would be placed under arrest or he could submit to a voluntary blood alcohol test at a hospital. Although Officer Fitzgerald said he had probable
On redirect, Fitzgerald contrasted Easter’s earlier evasiveness with his willingness to communicate after learning he would be taken to give blood. Officer Fitzgerald also testified, over objection, he "felt at the time that the defendant was being smart drunk.” The officer explained, "After you’ve arrested enough people for DWI, you will notice that there are basically two classes when you stop a car.” The court sustained an objection. The officer then testified by the use of the term "smart drunk,” he meant to say Easter "was evasive, wouldn’t talk to me, wouldn’t look at me, wouldn’t get close enough for me to get good observations of his breath and eyes, I felt that he was trying to hide or cloak.” The defense objected on the grounds this was improper conclusion testimony, but the court overruled the objection. The officer stated, "I felt he was trying to hide these observations.” Id. at 243-45.
After the jury retired, defense counsel moved for a mistrial based upon improper closing argument; the trial court denied the motion. The jury found Easter guilty on all four counts. Easter appealed. The Court of Appeals, Division I, affirmed in an unpublished opinion and we granted review.
ANALYSIS
A. Pre-Arrest Right to Silence
Easter’s principal claim in this case is that his right against self-incrimination under the Fifth Amendment was violated by testimony and argument regarding his silence at the accident scene. Additionally, the testimony and emphasis in the State’s closing argument on Easter as a smart drunk constituted a comment on Easter’s silence; Officer Fitzgerald testified the term meant Easter was evasive, "wouldn’t talk” and was hiding something, all judgmental assertions.
The Fifth Amendment to the United States Constitution states, in part, no person "shall ... be compelled in any criminal case to be a witness against himself.” This provision applies to states through the Fourteenth Amendment. Malloy v. Hogan, 378 U.S. 1, 84 S. Ct. 1489, 12 L. Ed. 2d 653 (1964). Wash. Const, art. I, § 9 states: "[n]o person shall be compelled in any criminal case to give evidence against himself.” We interpret the two provisions equivalently. State v. Earls, 116 Wn.2d 364, 375-76, 805 P.2d 211 (1991); State v. Foster, 91 Wn.2d 466, 473, 589 P.2d 789 (1979); State v. Mecca Twin Theater & Film Exch., Inc., 82 Wn.2d 87, 507 P.2d 1165 (1973).
At trial, the right against self-incrimination prohibits the State from forcing the defendant to testify. State v. Foster, 91 Wn.2d 466, 473, 589 P.2d 789 (1979); Miranda, 384 U.S. at 461. Moreover, the State may not elicit comments from witnesses or make closing arguments relating to a defendant’s silence to infer guilt from such silence. As the United States Supreme Court said in Miranda, "[t]he prosecution may not. . . use at trial the fact [the defendant] stood mute or claimed his privilege in the face of accusation.” Miranda, 384 U.S. at 468 n.37. The purpose of this rule is plain. An accused’s Fifth Amendment right to silence can be circumvented by the State "just as effectively by questioning the arresting officer or commenting in closing argument as by questioning defendant himself.” State v. Fricks, 91 Wn.2d 391, 396, 588 P.2d 1328 (1979).
Courts have generally treated comments on post-arrest silence as a violation of a defendant’s right to due process because the warnings under Miranda constitute an "implicit assurance” to the defendant that silence in the face of the State’s accusations carries no penalty. The use of silence at the time of arrest and after the Miranda warnings is fundamentally unfair and violates due process. Brecht v. Abrahamson, 507 U.S. 619, 628, 113 S. Ct. 1710, 123 L. Ed. 2d 353 (1993); Doyle v. Ohio, 426 U.S. 610, 617, 96 S. Ct. 2240, 49 L. Ed. 2d 91 (1976). Pre-arrest silence, which lacks such "implicit assurance” from the State about its punitive effect in future proceedings, does not
The cases that have permitted testimony about the defendant’s silence have done so only for the limited purpose of impeachment after the defendant has taken the stand, and not as substantive evidence of guilt when the defendant has not testified. Fletcher v. Weir, 455 U.S. 603, 606-07, 102 S. Ct. 1309, 71 L. Ed. 2d 490 (1982) (post-arrest silence could be used for impeachment when no Miranda warnings given);6 Jenkins v. Anderson, 447 U.S. 231, 239, 100 S. Ct. 2124, 65 L. Ed. 2d 86 (1980) (pre-arrest silence can be used to impeach defendant’s exculpatory testimony); Raffel v. United States, 271 U.S. 494, 46 S. Ct. 566, 70 L. Ed. 1054 (1926) (silence at first trial permissible to impeach defendant’s testimony at second trial). See also State v. Watkins, 53 Wn. App. 264, 273, 766 P.2d 484 (1989); State v. Hamilton, 47 Wn. App. 15, 20-21, 733 P.2d 580 (1987). See generally Barbara Rook Snyder, A Due Process Analysis of the Impeachment Use of Silence in Criminal Trials, 29 Wm. & Mary L. Rev. 285 (1988).
The Court of Appeals stated the admission of testimony and argument as to Easter’s silence was not error because it "went to Easter’s credibility as to why he was acting the way he was.” State v. Easter, No. 31561-7-1, slip op. at 11 (Wash. Ct. App. May 15, 1995). This is wrong. As the State correctly observed, because Easter did not testify at trial, his credibility was never an issue. The use of silence as impeachment is not an issue in this case.
The State argues pre-arrest silence may be used to support the State’s case in chief because the Fifth Amendment is designed to deal only with "compelled” testimony, and Easter was under no compulsion to speak at the ac
We decline to read the Fifth Amendment so narrowly as the State urges. An accused’s right to silence derives, not from Miranda, but from the Fifth Amendment itself.8 The Fifth Amendment applies before the defendant is in custody or is the subject of suspicion or investigation. The right can be asserted in any investigatory or adjudicatory proceeding. Kastigar v. United States, 406 U.S. 441, 444, 92 S. Ct. 1653, 32 L. Ed. 2d 212 (1972). Indeed, the Miranda warning states the accused is entitled by the Fifth Amendment to remain silent; Miranda indicates the right to silence exists prior to the time the government must advise the person of such right when taking the person into custody for interrogation. Miranda, 384 U.S. at 444. When the State may later comment an accused did not speak up prior to an arrest, the accused effectively has lost the right to silence. A "bell once rung cannot be un
The State’s belief that the Fifth Amendment applies only to "compelled testimony” also implies that an accused acquires the right to silence only when advised of such right at the time of arrest. This is not so. No special set of words is necessary to invoke the right. Quinn v. United States, 349 U.S. 155, 162, 75 S. Ct. 668, 99 L. Ed. 2d 964 (1955) (no "magic language” or "ritualistic formula”). In fact, an accused’s silence in the face of police questioning is quite expressive as to the person’s intent to invoke the right regardless of whether it is pre-arrest or post-arrest. If silence after arrest is "insolubly ambiguous” according to the Doyle court, it is equally so before an arrest.
The majority of federal courts considering the issue have ruled pre-arrest silence cannot be used in the state’s case in chief. In United States v. Burson, 952 F.2d 1196, 1200-01 (10th Cir. 1991), cert. denied, 503 U.S. 997, 112 S. Ct. 1702, 118 L. Ed. 2d 441 (1992), the Court of Appeals for the Tenth Circuit found it was error to admit testimony of pre-arrest silence, noting "whether Mr. Burson was advised of his privilege against self-incrimination is immaterial.” In Burson, the right extended to a noncustodial interrogation of the defendant by two criminal investigators. See also Coppola v. Powell, 878 F.2d 1562, 1568 (1st Cir.), cert. denied, 493 U.S. 969, 110 S. Ct. 418, 107 L. Ed. 2d 383 (1989); United States v. Caro, 637 F.2d 869, 876 (2d Cir. 1981). In United States ex rel. Savory v. Lane, 832 F.2d 1011, 1017-18 (7th Cir. 1987), the court explained the right to remain silent applies equally before arrest or trial, for one has "a constitutional right to say nothing at all” to police before the giving of any Miranda warnings.9
Courts in Utah, Nebraska, Wyoming, and Wisconsin
The Fifth Amendment protects a person from compelled self-incrimination at all times, not just upon arrest or during a custodial interrogation. Any time an individual is questioned by the police, that individual is compelled to do one of two things — either speak or remain silent. If both a person’s prearrest speech and silence may be used against that person, as the state suggests, that person has no choice that will prevent self-incrimination. This is a veritable "Catch-22.”
The State offers United States v. Zanabria, 74 F.3d 590 (5th Cir. 1996), and United States v. Rivera, 944 F.2d 1563, 1568 (11th Cir. 1991), in support of its position. However, the Zanabria court provided no analysis and cited no authority for its holding. The only authorities the Rivera
The State also relies on State v. Helgeson, 303 N.W.2d 342 (N.D. 1981), but there the silence was in the face of an accusation by a citizen, rather than a law enforcement officer or other representative of the State.
The purpose of the right against self-incrimination supports the conclusion a right to silence exists prior to arrest. The purpose of the right is to make the government obtain evidence on its own, and "to spare the accused from having to reveal, directly or indirectly, his knowledge of facts relating him to the offense or from having to share his thoughts and beliefs with the Government.” Doe, 487 U.S. at 213. The right exists to put the entire load of producing incriminating evidence on the State "by its own independent labors.” Miranda, 384 U.S. at 460. Applying the right more generally supports this policy.
Accordingly, Easter’s right to silence was violated by testimony he did not answer and looked away without speaking when Officer Fitzgerald first questioned him. It was also violated by testimony and argument he was evasive, or was communicative only when asking about papers or his friend. Moreover, since the officer defined the term "smart drunk” as meaning evasive behavior and silence when interrogated, the testimony Easter was a smart drunk also violated Easter’s right to silence.10
The State argues any error in its use of Easter’s pre-arrest silence was harmless. The State bears the burden of showing a constitutional error was harmless. We find a constitutional error harmless only if convinced beyond a reasonable doubt any reasonable jury would reach the same result absent the error, State v. Aumick, 126 Wn.2d 422, 430, 894 P.2d 1325 (1995), and where the untainted evidence is so overwhelming it necessarily leads to a finding of guilt. State v. Whelchel, 115 Wn.2d 708, 728, 801 P.2d 948 (1990). Where the error was not harmless, the defendant must have a new trial. Fricks, 91 Wn.2d at 397.
Here, the State theorized Easter was driving the wrong way on Westlake. The evidence on this issue, including eyewitness and expert opinion testimony, did not overwhelmingly establish the State’s theory. The State’s emphasis on Easter’s silence to argue his guilt may well have swayed the jury.
Officer Fitzgerald’s testimony that Easter was evasive in response to pre-arrest questioning and was a "smart drunk” was elicited to insinuate Easter’s guilt, and was in violation of the trial court’s pretrial order excluding such commentary.11 This testimony embodied Officer’s Fitzgerald’s opinion Easter was hiding his guilt. As such, it was impermissible. State v. Black, 109 Wn.2d 336, 348-49, 745 P.2d 12 (1987) ("No witness, lay or expert, may testify to his opinion as to the guilt of a defendant, whether by direct statement or inference.”); State v. Alexander, 64 Wn. App. 147, 154, 822 P.2d 1250 (1992) ("An expert’s opinion as to the defendant’s guilt invades the jury’s exclusive function to weigh the evidence and determine credibility.”). Further, the State compounded the error by
For the foregoing reasons, we hold the trial court’s error in admitting evidence of pre-arrest silence was prejudicial, necessitating a new trial for Easter.12
CONCLUSION
The Fifth Amendment right to silence extends to situations prior to the arrest of the accused. An accused’s right to remain silent and to decline to assist the State in the preparation of its criminal case may not be eroded by permitting the State in its case in chief to call to the attention of the trier of fact the accused’s pre-arrest silence to imply guilt.
Nothing in our conclusion, however, prevents the State from introducing pre-arrest evidence of a non-testimonial nature about the accused, such as physical evidence, demeanor, conduct, or the like. Our opinion does not address the right of the State under state and federal due process principles to impeach the accused’s testimony where the accused testifies and puts his or her credibility before the trier of fact.
The trial court’s decision to allow introduction of Easter’s pre-arrest silence into evidence, compounded by comments in closing argument, was prejudicial error. Easter’s convictions for vehicular assault are reversed and the case is remanded to the King County Superior Court for a new trial.
Miranda v. Arizona, 384 U.S. 436, 86 S. Ct. 1602, 16 L. Ed. 2d 694, 10 A.L.R.3d 974 (1966).
Fitzgerald drove Easter to Virginia Mason Hospital where blood was drawn. At no time during that morning was Easter placed under arrest. Not until the State’s accident reconstructionist gave his opinion about the accident was Easter arrested.
An emergency medical technician detected no odor of alcohol on Easter’s breath. The trial court did not admit her opinion that Easter was not intoxicated. Acquaintances of Easter also testified he did not appear intoxicated after the reception.
In closing, counsel for the State also asserted defense counsel deliberately misrepresented the facts and law in the case, erroneously described the trial court’s instruction on proximate cause for the crime of vehicular assault, and commented on Easter’s hiring of counsel. While we do not specifically address the issue of prosecutorial misconduct in our disposition of this case, we note such comments by counsel in closing argument are inappropriate.
Courts have ruled on evidentiary grounds pre-arrest silence is not admissible because of its low probative value and high potential for undue prejudice. Silvernail v. State, 777 P.2d 1169, 1175 (Alaska Ct. App. 1989) (collecting cases; noting "distrust of silence as probative evidence of guilt”); People v. Fondron, 157 Cal. App. 3d 390, 204 Cal. Rptr. 457 (1984); People v. Quintana, 665 P.2d 605 (Colo. 1983); Commonwealth v. Nickerson, 386 Mass. 54, 434 N.E.2d 992, 35 A.L.R.4th 722 (1982); People v. Conyers, 52 N.Y.2d 454, 438 N.Y.S.2d 741, 420 N.E.2d 933 (1981).
But see State v. Davis, 38 Wn. App. 600, 605, 686 P.2d 1143 (1984) (use of post-arrest silence by the State to impeach or as substantive evidence violated a defendant’s state constitutional right to due process regardless of whether Miranda warnings were given).
Counsel for the State conceded in oral argument Easter was in custody when the officer decided Easter would have to submit to a blood test. Easter was not given Miranda warnings at that time. However, Easter did not claim error based on Miranda as to the testimony concerning his statements made following that point in time. Our resolution of this case does not require us to reach this issue.
"[T]he right to silence described in those [Miranda] warnings derives from the Fifth Amendment and adds nothing to it.” Roberts v. United States, 445 U.S. 552, 560, 100 S. Ct. 1358, 63 L. Ed. 2d 622 (1980). "The furnishing of the Miranda warnings does not create the right to remain silent; that right is conferred by the Constitution.” Jenkins, 447 U.S. at 247 n.1 (Marshall, J., dissenting).
The Court of Appeals for the Ninth Circuit has not yet ruled on whether pre-arrest silence is protected. United States v. Calise, 996 F.2d 1019, 1022 (9th
Easter does not claim error in the officer’s testimony as to Easter’s appearance, conduct, blood alcohol level, slurred speech, bloodshot eyes, and odor of alcohol. See Schmerber v. California, 384 U.S. 757, 761-64, 86 S. Ct. 1826, 16 L. Ed. 2d 908 (1966) (privilege against self-incrimination only protects testimonial communication, not observations of conduct or real evidence).
We do not condone cavalier violation of trial court pretrial rulings as in this case. Such violations may be so flagrantly prejudicial as to he incurable by instruction. State v. Stith, 71 Wn. App. 14, 22-23, 856 P.2d 415 (1993). Here, however, Easter has not argued that the violation of the pretrial order alone justifies reversal of the judgment and granting of a new trial.
In light of our disposition of this case, we do not address other errors including juror misconduct, prosecutorial misconduct, improper comments by the trial judge, or cumulative error.