2007 WI APP 252
court of appeals of
published opinion
Case No.: |
2005AP1265-CR |
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Complete Title of Case: |
†Petition for Review filed |
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State of Plaintiff-Respondent, v. Roberto Vargas Rodriguez, Defendant-Appellant.† |
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Opinion Filed: |
October 02, 2007 |
Submitted on Briefs: |
August 07, 2007 |
Oral Argument: |
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JUDGES: |
Curley, P.J., Fine and Kessler, JJ. |
Concurred: |
Fine, J. |
Dissented: |
——— |
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Appellant |
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ATTORNEYS: |
On behalf of the defendant-appellant, the cause was
submitted on the brief of Donna L. Hintze, assistant state public defender of |
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Respondent |
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ATTORNEYS: |
On behalf of the plaintiff-respondent, the cause was submitted on the brief of Charlotte Gibson, assistant attorney general and J.B. Van Hollen, attorney general. |
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2007 WI APP 252
COURT OF APPEALS DECISION DATED AND FILED October 02, 2007 David R. Schanker Clerk of Court of Appeals |
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NOTICE |
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This opinion is subject to further editing. If published, the official version will appear in the bound volume of the Official Reports. A party may file with the Supreme Court a petition to review an adverse decision by the Court of Appeals. See Wis. Stat. § 808.10 and Rule 809.62. |
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Appeal No. |
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STATE OF |
IN COURT OF APPEALS |
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State of Plaintiff-Respondent, v. Roberto Vargas Rodriguez, Defendant-Appellant. |
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APPEAL
from judgments and an order of the circuit court for
Before Curley, P.J., Fine and Kessler, JJ.
¶1 KESSLER, J. This case comes before us on
remand from the Wisconsin Supreme Court.
Roberto Vargas Rodriguez previously appealed from judgments of the
circuit court for
¶2 In Rodriguez I, Rodriguez argued that the trial court denied him his right to confrontation of the victim and witness, Jill LaMoore and her daughter Casey, who did not appear at trial and erred in:
(1) permitting the State to ask Rodriguez’s brother about his membership in a street gang; (2) overruling a defense objection to the prosecutor accusing Rodriguez of lying during his testimony; and (3) not recusing itself in connection with Rodriguez’s postconviction motion asserting that he was prejudiced by his trial lawyer’s alleged deficient representation. Rodriguez also argues that he was prejudiced by his trial lawyer’s alleged deficient representation when the trial lawyer: (1) did not object when the prosecutor asked the police-officer witnesses whether there was anything else they wanted to tell the jury, and (2) asked one of the police officers whether he believed that Ms. LaMoore was telling the truth when she told him that Rodriguez had attacked her and Casey.
¶3 We affirmed on all grounds.
¶4 Jensen further explains previous Wisconsin
holdings describing when statements are subject to the United States and
Wisconsin constitutional right of confrontation[2]
because they are testimonial as described in Crawford v. Washington,
541 U.S. 36 (2004).[3] In addition, for the first time in
I. Facts
¶5 The facts underlying the multiple convictions have been described
in detail in Rodriguez I, and will not be repeated here
except as necessary to this opinion. See
id., 295
¶6 On the original trial date, January 14, 2004, after a hearing at which Rodriguez and his counsel were present, the trial court issued an order which suspended all of Rodriguez’s telephone, mail and visitation privileges (except with his attorney) because the court found the restrictions were “necessary to prevent further intimidation of witnesses.” The State supported its request for the order with audiotapes of multiple telephone calls made by Rodriguez from the House of Correction in which Rodriguez urged his brother, Luis, to tell LaMoore not to testify. These conversations were recorded after Rodriguez had received both a written notice that this could occur and after an automated warning of the recording was given to Rodriguez before each of the recorded conversations. The audiotapes of twenty-one conversations demonstrate that Rodriguez repeatedly asked Luis to tell LaMoore “to not come to court and testify” against him. The recordings also establish that Luis indicated that he would “pay her [off].” Rodriguez eventually told Luis that he had “found” LaMoore.
¶7 The State subsequently filed an amended complaint, adding the
additional charges of intimidation of a witness based upon Rodriguez’s attempting
to discourage LaMoore “from attending or giving testimony at trial.” When the trial began on March 17, 2004,
neither LaMoore nor her seven-year-old daughter appeared.
¶8 The House of Correction’s logs of these telephone calls and the audiotapes of the conversations were admitted as evidence at trial, and played for the jury. The jury found Rodriguez guilty of intimidating LaMoore, both as a victim and as a witness.[5]
¶9 In Rodriguez I, Rodriguez argued that the statements by LaMoore and her daughter were testimonial and therefore inadmissible because he was unable to cross-examine the declarants. Not surprisingly, the State argued that the statements were not testimonial, but that if we concluded otherwise, then Rodriguez’s conviction for witness intimidation forfeited his right to object to the same witness’s hearsay testimony. Rodriguez responded that the State had waived that argument because it failed to argue forfeiture by wrongdoing at the trial court, and because application of the doctrine required the trial court to find that Rodriguez caused LaMoore’s absence from trial. These arguments are renewed by the parties on remand.
II. Waiver
¶10 Rodriguez argues that forfeiture by wrongdoing was not argued by the State at the trial court level, and is therefore waived. We disagree.
¶11 The State did not name the doctrine during the January 2004
hearing, but it advised the trial court of Rodriguez’s efforts to intimidate
LaMoore as evidenced by the recorded telephone conversations. It also advised the trial court it would
likely be charging Rodriguez with intimidation of a witness based upon those
calls. The issue of Rodriguez’s
misconduct was before the trial court.
At the time of that hearing, neither Davis v. Washington,
126 S. Ct. 2266 (2006), on a federal level, nor Jensen in
¶12 Generally, we do not apply waiver against a respondent who is
seeking to uphold a trial court ruling.
III. Admissibility
of absent witness statements
A. Impact of Jensen
¶13 The majority originally concluded in Rodriguez I that
the statements were not testimonial and, therefore, were admissible under the
third Crawford formulation[6]
because they were excited utterances. Rodriguez I,
295
¶14 Jensen explains that the trial court is to
determine before trial whether the defendant caused the unavailability of the
witness.
¶15 Under the doctrine of forfeiture by wrongdoing announced in Jensen,
the statement of an absent witness is admissible against a defendant who the
trial court determines by a preponderance of the evidence caused the witness’s
absence.
¶16 If the statements of the absent witness were not
testimonial, and were otherwise admissible (here, as an exception to the
hearsay rule), the statements can be used at trial regardless of the conduct of
the defendant in causing the absence of the witness. See Jensen, 299
B. Forfeiture by wrongdoing
¶17 It is undisputed that LaMoore and her daughter did not appear
at trial, either when trial was originally scheduled or when it actually
commenced. This record contains abundant
facts[11]
from which the trial court could be, and apparently was, satisfied “by the
greater weight of the credible evidence”[12]
that Rodriguez either independently (e.g., his recorded statement while
incarcerated that he “found” LaMoore), or Luis at Rodriguez’s request (e.g.,
Luis’s recorded statement that he would “pay her off”) were a cause of
LaMoore’s failure to appear. The trial
court’s order, entered before the final trial date, terminated Rodriguez’s
telephone, mail and visitation privileges based upon a finding that the action
was “necessary to prevent the further intimidation of witnesses.” This is, in essence, a finding by the trial
court by a preponderance of the credible evidence that Rodriguez had taken
steps while being held at the House of Correction to intimidate LaMoore, who he
knew to be a witness against him, that intimidation has already occurred (e.g.,
LaMoore did not appear at the trial date), and that the restrictions announced
were necessary to attempt to prevent future intimidation. The finding of misconduct, coupled with
LaMoore’s failure to appear at the original or adjourned trial date, and the
court’s finding that the “State has made a due and diligent effort to get the
victim here to court,” satisfy the substantive requirements announced in Jensen.
¶18 Rodriguez argues that there is no proof of intimidation of a witness because Luis denies having passed on the message to LaMoore and because the State did not prove that Luis actually delivered the message. Such proof would compel the State either to find the missing witness and persuade her to testify about whether she was intimidated (which would remove Crawford confrontation issues because she would no longer be unavailable) or to persuade Luis to incriminate himself by admitting that he took action to intimidate the witness. We do not believe that Jensen imposes such impossible alternatives on the State, and that the impossibility of such alternatives may have also been a reason that Jensen requires proof only by a preponderance of credible evidence, i.e., that defendant’s misconduct was a cause of the witness’s absence is more likely than not. See, e.g., United States v. Saulter, 60 F.3d 270, 280 (7th Cir. 1995) (to prove by a preponderance of the evidence means that it is “more likely than not” that the examined action occurred).
¶19 What the jury found beyond a reasonable doubt, the trial court, as we have explained, earlier found by a preponderance of the evidence. The jury found that Rodriguez intimidated LaMoore as a victim and intimidated LaMoore as a witness. Those jury findings confirm the sufficiency of the evidence to support the trial court’s earlier conclusion by a preponderance of the evidence that Rodriguez had intimidated LaMoore. We hold that where the jury finds beyond a reasonable doubt that the defendant intimidated the person who was a witness, the defendant has forfeited, by his own misconduct, his right to confront that witness.
¶20 Because we conclude that Rodriguez forfeited, by his wrongful
conduct, his right to confront LaMoore and her daughter, we do not decide
whether the statements by LaMoore or her daughter were testimonial. See Blalock, 150
By
the Court.—Judgments and order affirmed.
No. |
2005AP1265-CR(C) |
¶21 FINE,
J. (concurring). Although
I agree with the Majority’s decision to affirm, I would not reach the
forfeiture issue because, as explained in State v. Rodriguez, 2006 WI App 163,
295 Wis. 2d 801, 722 N.W.2d 136, none of the statements were “testimonial” as
that word of art is used in Crawford v. Washington, 541 U.S. 36
(2004).
“The proper inquiry, then, is whether the declarant intends to bear testimony against the accused. That intent, in turn, may be determined by querying whether a reasonable person in the declarant’s position would anticipate his statement being used against the accused in investigating and prosecuting the crime.”
Thus, we believe a broad definition of testimonial is required to guarantee that the right to confrontation is preserved. That is, we do not agree with the State’s position that the government needs to be involved in the creation of the statement. We believe such a narrow definition of testimonial could create situations where a declarant could nefariously incriminate a defendant.
Jensen, 2007 WI
26, ¶24, 299 Wis. 2d at 284, 727 N.W.2d at 526–527 (footnote overruling State
v. Hemphill, 2005 WI App 248, 287 Wis. 2d 600, 707 N.W.2d 313, omitted)
(quoting United States v. Cromer, 389 F.3d 662, 675 (6th Cir. 2004))
(internal citation omitted). This is
fully consistent with what we wrote in
A similar analysis applies
when police talk to an attack-victim when the stress and cognitive disruption
caused by the attack is still dominant, because the key consideration in
connection with both the third Crawford/Manuel formulation and Davis’s
rubric, focuses on an objective analysis of the out-of-court declarant’s
expectation as to how what he or she tells law enforcement will be used. See
There is nothing in the Record
here that indicates that what
Rodriguez, 2006 WI App
163, ¶¶26–27, 295
¶22 As we have seen, a focus of the inquiry of whether an
out-of-court declaration is “testimonial” is “‘whether the declarant intends to
bear testimony against the accused.’” Jensen,
2007 WI 26, ¶24, 299
the out-of-court declaration must be evaluated to determine whether it is, on one hand, overtly or covertly intended by the speaker to implicate an accused at a later judicial proceeding, or, on the other hand, is a burst of stress-generated words whose main function is to get help and succor, or to secure safety, and is thus devoid of the “possibility of fabrication, coaching, or confabulation.”
¶23 Based on the foregoing, I would affirm but not on the ground chosen by the Majority. Accordingly, I respectfully concur.
[1] All references to the Wisconsin Statutes are to the 2005-06 version unless otherwise noted.
[2] See U.S. Const. amend. VI; Wis. Const. art. I, § 7.
[3] After deciding Crawford v. Washington, 541 U.S. 36 (2004), in Davis v. Washington, 126 S. Ct. 2266 (2006), the United States Supreme Court first endorsed the doctrine of forfeiture by wrongdoing as applied to prior witness testimony.
[4] We
do not consider whether, under State v. Jensen, 2007
WI 26, 299
[5] Rodriguez
was also found guilty of battery and disorderly conduct, all as a habitual
criminal. State v. Rodriguez,
2006 WI App 163, ¶1, 295
[6] The three formulations of testimonial statements under Crawford, adopted in State v. Manuel, 2005 WI 75, 281 Wis. 2d 554, 697 N.W.2d 811, are:
(1) “[E]x parte in-court testimony or its functional equivalent—that is, material such as affidavits, custodial examinations, prior testimony that the defendant was unable to cross-examine, or similar pretrial statements that declarants would reasonably expect to be used prosecutorially.”
(2) “[E]xtrajudicial statements … contained in formalized testimonial materials, such as affidavits, depositions, prior testimony, or confessions.”
(3) “[S]tatements that were made under circumstances which would lead an objective witness reasonably to believe that the statement would be available for use at a later trial.”
[7] Our
supreme court, in Jensen, overruled State v. Hemphill,
2005 WI App 248, 287 Wis. 2d 600, 707 N.W.2d 313. Jensen, 299
[8]
….
[There may be more than one cause of [the harm or consequence]. The act of one person alone might produce it, or the acts of two more persons might jointly produce it.]”
[9]
[10]
Attempt prosecuted as completed act. Whoever attempts the commission of any act prohibited under ss. 940.42 to 940.45 is guilty of the offense attempted without regard to the success or failure of the attempt. The fact that no person was injured physically or in fact intimidated is not a defense against any prosecution under ss. 940.42 to 940.45.
[11] Davidson v. Davidson, 169 Wis. 2d 546, 558, 485 N.W.2d 450 (Ct. App. 1992) (In the absence of specific findings, this court may search the record to determine whether the evidence supports the trial court’s decision.); see Dodge v. Carauna, 127 Wis. 2d 62, 67, 377 N.W.2d 208 (Ct. App. 1985) (appellate court may search record for evidence sustaining trial court’s decision).
[12]
The greater weight of the credible evidence means that the evidence in favor of a “yes” answer has more convincing power than the evidence opposed to it. Credible evidence means evidence you believe in light of reason and common sense.
“Reasonable certainty” means that you are persuaded based upon a rational consideration of the evidence. Absolute certainty is not required, but a guess is not enough to meet the burden of proof.
COMMENT
….
Case
Law.