PUBLISHED OPINION
Case No.: 95-0583-CR
†Petition for
review filed.
Complete
Title
of
Case:STATE OF
WISCONSIN,
Plaintiff-Respondent,
v.
XIONG YANG,
Defendant-Appellant.†
Submitted
on Briefs: March 11, 1996
COURT COURT OF
APPEALS OF WISCONSIN
Opinion
Released: April 18, 1996
Opinion
Filed: April
18, 1996
Source
of APPEAL Appeal from a judgment and an order
Full
Name JUDGE COURT: Circuit
Lower
Court. COUNTY: La Crosse
(If
"Special" JUDGE: Michael
J. Mulroy
so
indicate)
JUDGES: Dykman,
Sundby and Vergeront, JJ.
Concurred:
Dissented: Sundby,
J.
Appellant
ATTORNEYSFor the defendant-appellant the
cause was submitted on the briefs of Margaret A. Maroney, assistant
state public defender.
Respondent
ATTORNEYSFor the plaintiff-respondent the
cause was submitted on the brief of James E. Doyle, attorney general,
and Sharon Ruhly, assistant attorney general.
COURT OF
APPEALS DECISION DATED AND
RELEASED April
18, 1996 |
NOTICE |
A party may file with the Supreme Court a petition to review an
adverse decision by the Court of Appeals.
See § 808.10 and Rule
809.62, Stats. |
This opinion is subject to further editing. If published, the official version will appear in the bound
volume of the Official Reports. |
No. 95-0583-CR
STATE OF WISCONSIN IN
COURT OF APPEALS
STATE
OF WISCONSIN,
Plaintiff-Respondent,
v.
XIONG
YANG,
Defendant-Appellant.
APPEAL
from a judgment and an order of the circuit court for La Crosse County: MICHAEL J. MULROY, Judge. Affirmed.
Before
Dykman, Sundby and Vergeront, JJ.
VERGERONT,
J. Xiong Yang appeals from a judgment of conviction for sexual
assault of a child contrary to § 948.02(1), Stats., and an order denying his request for a new
trial. Yang contends that the trial
court erred in failing to make a determination under § 885.37(1), Stats., that he had a language
difficulty that interfered with his ability to communicate with his attorney,
understand the proceedings and testify in English, and, therefore, needed an
interpreter. He also contends that his
trial counsel was ineffective for failing to obtain an interpreter for
him. Finally, he asks for a remand for
a determination whether his trial counsel was ineffective for failing to
consult with him about an individual polling of the jury.
We
conclude that the trial court had notice before the trial of a language
difficulty such that the court was required to make a determination under
§ 885.37(1)(b), Stats.,
whether an interpreter was necessary.
However, we also conclude that the court's postconviction determination
that Yang's language difficulty was not sufficient to make an interpreter
necessary is not clearly erroneous. For
that reason, we reject Yang's claim that his trial counsel was ineffective for
failing to obtain an interpreter. We
also decide that Yang is not entitled to a remand on the jury polling
issue. We therefore affirm.
BACKGROUND
Yang
was born in Laos in 1960 and moved to the United States in 1980. After his arrival in the United States, he continued
to speak Hmong at home. He took
beginning-level English courses at a technical college and enrolled in a
welding course designed for Hmong individuals.
With the assistance of the minority coordinator at the technical
college, Yang obtained a welding job in 1988 at the Toro Company and remained
employed there until 1993.
Yang
met Paulette A. in 1986, and they had a relationship lasting until July 1992,
with periods of living together and periods of separation. Paulette does not speak Hmong. Paulette and Yang had three children
together. Paulette had three other
children, one named Adrian. On August
30, 1992, Adrian, then eight years old, told Paulette that Yang had sometime
previously put his penis in or on her buttocks. Yang was charged with the sexual assault of Adrian.
The
court appointed counsel for Yang. Jury
selection was scheduled for January 11, 1993, with the trial to begin on
January 12, 1993. Yang did not appear
on January 11 in court, and the trial court issued a warrant. Yang appeared the next day in court with his
counsel. Counsel explained that he had
found Yang at work. Yang indicated to
counsel that he knew the trial was scheduled for that week but did not realize
he had to be in court on January 11.
Counsel stated that he thought it was a miscommunication and that it was
likely that Yang should have an interpreter for the trial because the language
problems were greater than he had initially perceived.
Yang's
counsel did not mention the issue of an interpreter again to the court, and the
trial took place on May 11, 1993, without an interpreter. The testimony of all the witnesses for the
State was in English. Yang was the only
witness for the defense. He testified
at trial in English and denied having any sexual contact with Adrian. Through cross-examination of the State's
witnesses, defense counsel brought out that Adrian had not mentioned Yang to
professionals who interviewed her before August 30, 1992, about possible sexual
abuse, even though the incident Yang was charged with had already
occurred. The defense also attempted to
show that Paulette was extremely jealous of Yang, and was preoccupied with
child sexual abuse because she had been abused as a child and Adrian knew this.
The
jury found Yang guilty. In his
postconviction motion, Yang alleged that the trial court erred in not
conducting an inquiry to determine if an interpreter was necessary; that
defense counsel was ineffective for failing to obtain an interpreter; and that
the real controversy was not fully and fairly tried because of the lack of an
interpreter. After the evidentiary
hearing, at which a Hmong interpreter translated, the trial court denied the
postconviction motion. The court
concluded that it was not required to make a determination on the necessity of
an interpreter before trial because defense counsel had not requested one. It also determined that Yang had not needed
an interpreter.
OBLIGATION TO DETERMINE NEED FOR
INTERPRETER
Whether the trial court
erred in not conducting an inquiry before trial to determine if an interpreter
was necessary requires a construction of § 885.37(1), Stats.
The interpretation of a statute is a question of law, which we review de
novo. Tahtinen v. MSI Ins. Co.,
122 Wis.2d 158, 166, 361 N.W.2d 673, 677 (1985). Section 885.37(1)(b) provides in part:
If a court has
notice that a person [charged with a crime] has a language difficulty because
of the inability to speak or understand English ... the court shall make a
factual determination of whether the language difficulty ... is sufficient to
prevent the individual from communicating with his or her attorney, reasonably
understanding the English testimony or reasonably being understood in
English. If the court determines that
an interpreter is necessary, the court shall advise the person that he or she has
a right to a qualified interpreter and that, if the person cannot afford one,
an interpreter will be provided for him or her at the public's expense.
Yang
argues that the trial court had notice of his language difficulty because of
the misunderstanding concerning his appearance at jury selection and his
counsel's comments to the court on January 12, 1993. The State responds that the trial court did not have notice
because no evidence was presented to the court giving rise to a reason to doubt
Yang's competence in English. The State
relies on cases concerning a defendant's competency to stand trial, such as State
v. Weber, 146 Wis.2d 817, 433 N.W.2d 583 (Ct. App. 1988), in which we
held that before mental competency proceedings are required, evidence giving
rise to a reason to doubt competency must be presented to the court. Id. at 823, 433 N.W.2d at
585. We agree with Yang that the trial
court had notice of Yang's difficulty with English before trial.
Section
885.37, Stats., codifies the
obligation to provide an interpreter that was established in State v.
Neave, 117 Wis.2d 359, 344 N.W.2d 181 (1984). State Public Defender v. Dane County Cir. Ct., 184
Wis.2d 860, 868, 517 N.W.2d 144, 147 (1994).
We therefore look to Neave for guidance in construing the
phrase "[i]f a court has notice that a person [charged with a crime] has a
language difficulty." In Neave,
the court adopted the rule that a criminal defendant must have the assistance
of an interpreter when needed, at public expense if the person is unable to
pay; and that this right is personal to the defendant and may be waived only by
the defendant personally. Neave,
117 Wis.2d at 366, 375, 344 N.W.2d at 184, 189. The court adopted this rule "as a matter of judicial
administration, and to avoid questions of effective assistance of counsel and
questions of whether inability to reasonably understand testimony resulted in a
loss of an effective right to cross-examination." Id. at 365, 344 N.W.2d at
184.
The
Neave court's language in describing the procedure is essentially
tracked in the statute:[1]
[W]henever a trial court is put on notice that the
accused has a language difficulty, the court must make a factual determination
of whether the language disability is sufficient to prevent the defendant from
communicating with his attorney or reasonably understanding the English
testimony at the preliminary hearing or trial.
Id. at 375, 344 N.W.2d
at 188-89 (footnote omitted). Although
the court in Neave did not expressly define "put on
notice," its discussion indicates what it intended by the term. In describing the trial court proceedings,
the Neave court noted that "the trial judge ... was aware of
the defendant's language disability," because of a statement by the
district attorney at the preliminary hearing that the defendant spoke Spanish
quite exclusively and spoke very little English. Id. at 363, 344 N.W.2d at 183. The court also framed the issue as
"whether the trial court was effectively alerted to the need for an
interpreter." Id. at
368, 344 N.W.2d at 185.
We
also find instructive the Neave court's explanation of the nature
of the determination the trial court must make once it has notice of a language
difficulty:
A hearing to
determine the defendant's ability to understand English need not be
elaborate. Normally the court should be
able to decide whether an interpreter is necessary by simply asking a few
questions. If the court suspects fraud,
other testimony may be necessary to establish the extent of defendant's ability
to speak English.
Neave, 117 Wis.2d at 375 n.6, 344 N.W.2d at 189 (citation omitted).
There
is nothing in Neave or § 885.37, Stats., to suggest that a court has an obligation to
determine the need for an interpreter only if defense counsel makes a request
or presents evidence of the need. The
inquiry envisioned by the Neave court to determine the need for
an interpreter is significantly different from the more elaborate hearing
prescribed by statute "whenever there is reason to doubt a defendant's
competency to proceed." Section
971.14(1)(a), Stats. That hearing involves, among other
requirements, a mandatory examination by one or more persons having specialized
knowledge and a detailed written report.
Section 971.14(2) and (3). The
threshold showing required to obtain such an examination and hearing is not a
useful analogy to this situation.
We
conclude that a court has notice of a language difficulty within the meaning of
§ 885.37(1)(b), Stats., when
it becomes aware that a criminal defendant's difficulty with English may impair
his or her ability to communicate with counsel, to understand testimony in
English, or to make himself or herself understood in English. At that point, the court has an obligation
to make the factual determination on the need for an interpreter required under
§ 885.37(1)(b).
We
appreciate the trial court's concern with minimizing unnecessary and premature
determinations on the need for an interpreter.
However, since the determination does not require an elaborate
proceeding, we believe our interpretation of § 885.37(1), Stats., will aid judicial
administration by establishing the need for an interpreter, if there is one,
earlier rather than later in the criminal process. Because the trial court's obligation does not hinge on a request by counsel, questions of effective
assistance of counsel in this area will be minimized.
We also conclude that the trial court had
notice on January 12, 1993, that Yang had a difficulty with English that might
impair his ability to communicate with counsel, understand English or be
understood in English. Counsel's
statements on that date were notice to the court of a language difficulty
sufficient to trigger a determination of whether Yang needed an interpreter.
NEED FOR
INTERPRETER
Yang
implicitly concedes that even if the court erred in not determining the need
for an interpreter, he is not entitled to a new trial unless he did need an
interpreter. Yang argues that the trial
court's postconviction determination that he did not need an interpreter is
based on clearly erroneous findings of fact.
As Yang recognizes, the standard of our review of a trial court's
findings of fact places a heavy burden on the challenger. We do not set aside a trial court's finding
unless it is clearly erroneous, and we must give due regard to the trial
court's opportunity to judge the credibility of the witnesses. Section 805.17(2), Stats.
The
court found that Yang did not have a language difficulty that prevented him
from communicating with his attorney or from reasonably understanding the
questions asked of him at trial.
Implicit in the trial court's determination are also findings that Yang
reasonably understood the English testimony at trial and that he was able to
make himself reasonably understood in English.
See Schneller v. St. Mary's Hospital Medical Ctr.,
162 Wis.2d 296, 311-12, 470 N.W.2d 873, 879 (1991) (a trial court's finding of
fact may be implicit from its ruling).
The court also found that Yang had "faked" the results of
tests administered by a psychologist for purposes of creating grounds for the postconviction
motion.[2]
The trial court therefore did not credit the test results--which showed a high
score on a non-language intelligence test but low scores on tests requiring a
knowledge of English--or the opinion of the psychologist based on the test
results.[3] The psychologist's opinion was that Yang did
not have sufficient comprehension of English or receptive and expressive
vocabulary to adequately communicate with his attorney or reasonably understand
English testimony.
The
court based its findings on Yang's actual testimony at trial; on Paulette's
testimony at the postconviction hearing that Yang communicated exclusively in
English with her and her family, friends and members of a soccer team during
the six years of their relationship; and on trial counsel's testimony.
The
court properly emphasized in its analysis the transcript of Yang's testimony at
trial.[4] There are, as Yang points out, occasions on
which he said he did not understand a question or a term. But with an explanation he was able to
answer the question. There are also
frequent mistakes in grammar, but his answers are understandable. It is not apparent from reading his
testimony that there is any significant point on which he did not understand a
question or could not make himself understood.
Of course, there may have been misunderstandings not evident from Yang's
trial testimony, or it may be that Yang was unable to explain things he wanted
to say. We therefore have reviewed
carefully Yang's postconviction testimony, given through an interpreter, as
well as his trial counsel's testimony.
Yang
testified at the postconviction hearing that he brought his brother with him to
meet with his attorney on two occasions to help him communicate with his
attorney. He also brought his
uncle. He asked his brother to
translate at the trial for him, but his brother could not because of his
classes. Yang testified that he did not
say much at the trial because he did not feel he would be understood; he did
not understand many questions; he did not understand the questions his attorney
asked at times; and there was no time to ask his attorney to explain. Had he known he had the right to an
interpreter, he would have asked for one.
Yang
provided no details at the postconviction hearing of what he misunderstood at
trial. The details he provided of his
inability to communicate in English are few.
He testified that he wanted to tell his attorney that a note he wrote
referencing sex with females other than Paulette was written when he and
Paulette were separated. This note was
introduced at trial by the district attorney to show that Paulette had reason
to be jealous of Yang. Yang had not
known it was going to be introduced, and he did not know how to explain the
note to his attorney during the trial.
Yang
also testified that he wanted to explain more details at trial about an
incident that took place at a motel in Rochester, Minnesota, while he and
Paulette were there for medical treatment for one of their children. Adrian testified at trial that she was
staying at the motel and asked Yang to rub her back. She stated that Yang then touched her buttocks with his hand
under her clothes.[5] Yang testified at trial that he remembered
Adrian asking him to rub her back when they were at the motel. He stated that he did rub her back, but he
did not touch her buttocks. Yang did
not explain, even with an interpreter, what else he wanted to say at trial
about the Rochester incident.
Yang's
trial counsel testified that prior to trial, he did at times feel that Yang did
not understand him and that they would have to go over issues more than
once. There were also some
misunderstandings with Yang about court proceedings, which counsel
described. Counsel thought about
obtaining an interpreter, but he felt the problem was more one of communication
skills than language ability on Yang's part.
Counsel was very frustrated at trial because Yang's explanations at
trial were inadequate and just did not "flow"; Yang did not include
things that counsel thought Yang understood were important. Counsel could not remember details about
what Yang did not say, although he did recall Yang had more fully explained the
Rochester incident to him before trial--something to do with the timing of the
trip to Rochester. If counsel had felt
an interpreter was necessary for the trial, he would have demanded one and he
knew one would have to be made available.
He now thinks that it would have been better tactically to have an
interpreter at the trial because Yang came across flat in his non-verbal
communication; with an interpreter, the jury might have understood there was a
reason for that other than lack of concern by Yang. Yang did say to him that he had not been able to tell the whole
story at trial, but the examples counsel could remember had to do with evidence
the court ruled inadmissible.
Neither
Yang's postconviction testimony nor that of trial counsel persuades us that the
trial court's implicit finding that Yang could reasonably make himself
understood in English is clearly erroneous.
As for Yang's ability to understand the English testimony, Yang's argument
focuses on his inability to understand questions asked of him. Yang does not point to the testimony of
other witnesses that he was unable to understand. The trial court found, and the record supports, that Yang
reasonably understood what was being asked of him, judging by the
appropriateness of his responses. There
were, as we have said above, instances when Yang said he did not understand a
question or term. But, as the trial
court noted, that is not unusual for a witness. There are also a few instances when Yang's answer is not
responsive or shows he may not have understood the question even though he did
not say so. However, the number and
nature of these in the context of all of Yang's testimony does not show that he
did not reasonably understand the questions asked of him.
With
respect to Yang's ability to communicate with trial counsel, the court
considered trial counsel's testimony as evidence that Yang was able to
generally communicate with him, in spite of some misunderstandings. The court noted that trial counsel's
frustration over Yang's testimony at trial was not unusual because clients
sometimes testify differently than how they have indicated to counsel they
will. The court placed significance on
counsel's testimony that he knew if an interpreter were needed, one would have
been provided. Although there are
portions of trial counsel's testimony that might support a contrary finding,
his testimony supports the court's implicit finding that Yang's difficulty with
English did not prevent him from communicating with his attorney. Yang's testimony on his difficulty in
communicating with his attorney is general, with only the few details we have
already mentioned. Some instances of
misunderstanding or lack of communication do not require a finding that Yang
was prevented by a language disability from communicating with his attorney.
We
have also considered the other testimony Yang presented at the postconviction
hearing, not mentioned by the court.
The testimony of Yang's English instructor and the minority affairs
coordinator at the technical college concerned the time period before and
during Yang's first year of employment at Toro, which was 1988. The testimony of Yang's supervisor and co-worker
at Toro shows that Yang had some difficulty with English, but also that he
functioned effectively in a work place where only English was spoken. Yang's brother described the two times he
met with Yang and his attorney and translated the attorney's questions for
Yang.[6]
The
trial court had the opportunity to hear Yang testify at trial and observe him
throughout the trial, as well as the opportunity to observe the witnesses who
testified at the postconviction hearing.
A significant basis for the court's findings was its determination that
Yang's understanding of English displayed at the trial was greater than that he
displayed at a later date, when he had a motive to minimize the depth of his
understanding. The court placed more
reliance on its own observations than it did on the psychologist's testimony
that he was confident Yang was not "faking" on the tests.[7] The court also credited Paulette's
description of the various ways Yang functioned in exclusively English-speaking
environments over a number of years.
Giving appropriate deference to the trial court's assessment of
credibility, we cannot say that the trial court's findings are clearly
erroneous.
This
conclusion disposes of Yang's ineffective assistance of counsel claim. Since the trial court's finding that Yang
did not need an interpreter is not clearly erroneous, Yang cannot meet his
burden of proving that trial counsel was deficient in not asking for an
interpreter or that Yang was prejudiced by the failure to request an
interpreter. See Strickland
v. Washington, 466 U.S. 668, 687 (1984) (defendant must prove both
deficient performance and prejudice).
Yang
requests that we exercise our discretionary power of reversal under
§ 752.35, Stats., because
the real controversy has not been tried.
We decline to do so. We are not
persuaded by Yang's argument that the jury was confused or misunderstood, or
that Yang did not present crucial evidence about the incident in Rochester
because of his difficulty with English.
In Yang's postconviction testimony with an interpreter, he does not say
that his trial testimony about the Rochester incident was inaccurate or a
mistake, and he does not explain what else he wanted to say.
JURY
POLLING
Yang
contends that he was denied effective assistance of counsel because his trial
counsel failed to inform him of his right to poll the jurors individually and
failed to consult with him before waiving this right. The right to poll jurors individually is such a significant
right, Yang argues, that counsel is deficient as a matter of law if he or she
fails to consult the defendant before waiving this right. Yang asks for a remand for an evidentiary
hearing on this issue.[8]
Yang
was present with his counsel when the jury returned the verdict. After the clerk read the verdict of guilty,
the court asked the jurors to raise their right hands if this "is the
verdict of each of you." The court
noted on the record that all twelve jurors raised their right hands. The court asked defense counsel whether
there was any reason to poll the jury and he answered "no." Yang's affidavit avers that his trial
counsel did not tell him that he had a right to individually poll the jury;
that he did not know he had a right to individually poll the jury; and that he
did not understand what the judge meant when he asked trial counsel whether
there was any reason to poll the jury.
An
attorney's performance is not deficient if it is reasonable under prevailing
professional norms and considering all the circumstances. Strickland, 466 U.S. at
688. The purpose of an evidentiary
hearing is to permit trial counsel to testify on the reasons for the alleged
deficient performance so that the trial court can determine whether the
challenged actions were the result of incompetence or deliberate trial
strategies. State v. Machner,
92 Wis.2d 797, 804, 285 N.W.2d 905, 908 (Ct. App. 1979). A defendant is not entitled to an
evidentiary hearing if the motion does not allege sufficient facts to raise a
question of fact concerning deficient performance, or if the record
conclusively demonstrates that the defendant is not entitled to relief. See State v. Washington,
176 Wis.2d 205, 214-15, 500 N.W.2d 331, 335-36 (Ct. App. 1993). Taking as true the facts averred in Yang's
affidavit supporting his motion for remand, we conclude that he is not entitled
to relief on his claim for ineffective assistance of counsel.
In
State v. Jackson, 188 Wis.2d 537, 525 N.W.2d 165 (Ct. App. 1994),
we held that when a defendant is represented by counsel at the time the jury
returns its verdict, the trial court need not find that the defendant knowingly
and voluntarily consented to trial counsel's waiver of his or her right to poll
the jurors individually. We also
concluded: "Jackson was
represented by counsel when the verdict was entered, and the decision to assert
or waive certain rights, including whether to poll the jury, was delegated to
that counsel." Id.
at 542-43, 525 N.W.2d at 168. We read Jackson
as holding that the decision whether to request an individual polling is one
delegated to counsel.
Because
the decision whether to request an individual polling is one delegated to
counsel, we decline to hold that counsel's failure to inform a defendant of the
right to an individual polling is, in itself, deficient performance. The right to an individual polling of the
jury is a significant right because it is a means to test the uncoerced
unanimity of the verdict. State
v. Behnke, 155 Wis.2d 796, 801, 456 N.W.2d 610, 612 (1990).[9] But it is not the only method for assuring a
unanimous verdict. The standard jury
instruction tells the jury that the verdict must be unanimous, and that all
twelve jurors must agree to arrive at a verdict.[10] When the trial court reads the verdict, it
may ask the jurors as a group, as it did in this case, if it is the verdict of
each one.
We
conclude the better rule is that when defense counsel is present at the return
of the jury verdict and does not request an individual polling, whether
counsel's performance is deficient depends on all the circumstances, not simply
on whether counsel explained to the defendant the right to an individual
polling.
The
relevant circumstances in this case are that the court read the standard jury
instruction on a unanimous verdict before the jury began its
deliberations. The jurors answered
affirmatively when the court read their verdict and asked if it was their
verdict by raising their hands to so indicate.
The only question the jurors had during deliberations was this: "In the Rochester incident, did the
alleged sexual abuse take place after Adrian came back from Christmas
vacation?" The trial court
discussed the appropriate answer with the prosecutor and defense counsel. The prosecutor pointed out that Paulette had
testified that Adrian was in Rochester, went back to La Crosse for a period of
time and returned to Rochester for the Christmas vacation, but that Adrian was
not specific on the dates. Both counsel
agreed with the trial court that the appropriate response to the jury was that
it should rely on its collective memory of the testimony. Yang argues, in one sentence, that this
question indicates the jury's verdict was not unanimous, but we do not see the
connection.
In
the absence of any indication that the jury's verdict was not unanimous, we
conclude the decision not to request an individual polling was a reasonable one
in the circumstances of this case and was not deficient performance. Yang is therefore not entitled to an
evidentiary hearing on this claim.
By
the Court.—Judgment and order
affirmed.
No.
95-0583-CR(D)
SUNDBY,
J. (dissenting). Defendant-Appellant
Xiong Yang obtained a fourth-grade education in Laos, where he was born in
1960. He and his family fled Laos in
the wake of the takeover of the government by the Pathet Lao and the subsequent
persecution of the Hmong. He studied
English at Western Wisconsin Technical College. A teacher's aide described the first course that Yang took as
"survival English[:] Learning how
to read signs on men's and women's bathrooms, learning how ... to say hello,
how are you, I'm fine, this is a nice day, this is a table, this is a
chair. Real survival
English." The second-level English
course Yang took was more advanced, but did not contain vocabulary comparable
to that an average kindergartner possesses.
The teacher's aide described Yang's English ability as follows: "[I]f people would speak in slow
sentences and basic, real basic English, Xiong could understand, but unless
[they were] speaking slowly and in very basic English like you would to a small
child, it wouldn't be understood."
Yang
was convicted of sexual contact with a child.
He filed a postconviction motion asking for a new trial, claiming he did
not understand the proceedings and that the trial court should have appointed
an interpreter to assist him.
Alternatively, he alleged that his counsel was ineffective for failing
to obtain an interpreter for him. The
trial court denied his motion.
On
appeal, Yang asks that we remand this case to the trial court to determine
whether he was denied effective assistance of counsel because counsel did not
poll the jury individually and did not inform him that he had a right to such
polling. We permitted Yang to raise
this request in his appellate reply brief.
Because I would grant the remand, I respectfully dissent.
The
majority concludes that when a defendant is represented by counsel, the
decision whether to poll the jury may be made by counsel without informing the
defendant of that right. The majority
cites State v. Jackson, 188 Wis.2d 537, 542-43, 525 N.W.2d 165,
168 (Ct. App. 1994), where we said:
"Jackson was represented by counsel when the verdict was entered,
and the decision to assert or waive certain rights, including whether to poll
the jury, was delegated to that counsel."
The majority misreads Jackson. All that we held was that it was not error for the trial court to
fail to inquire of the defendant personally whether he or she wished to have
the jury polled. See id.
at 539-40, 525 N.W.2d at 166. We did
not hold, however, that failure of trial counsel to discuss this very valuable
right with his or her client was not deficient performance. Indeed, in view of our writings and the
supreme court's writings as to the value of polling the jury, the proposition
that counsel need not discuss this right with his or her client is startling. In State v. Wojtalewicz, 127
Wis.2d 344, 379 N.W.2d 338 (Ct. App. 1985), we said: "The defendant's right to poll the jury has been described
as `[t]he most substantial right of the accused in a felony case.'" Id. at 348, 379 N.W.2d at 340
(quoting Boreing v. Beard, 10 S.W.2d 447, 451 (Ky. Ct. App.
1928)). In State v. Behnke,
155 Wis.2d 796, 456 N.W.2d 610 (1990), the supreme court approved our holding
in Wojtalewicz, stating:
"The right to poll the jury at the return of the verdict is a
corollary to the defendant's right to a unanimous verdict .... The right to poll the jury is intertwined
with the defendant's constitutional right to counsel at the return of the jury
verdict." Id. at
801-02, 456 N.W.2d at 612 (citing Smith v. State, 51 Wis. 615, 8
N.W. 410 (1881)).
The
defendant's right to poll the jury is not merely one of those abstract
constitutional rights which is of little or no practical value. In State v. Cartagena, 140
Wis.2d 59, 409 N.W.2d 386 (Ct. App. 1987), a juror changed his mind overnight
after the verdict had been sealed and dissented before the verdict was
accepted. We concluded that the sealed
verdict lost its validity. Id.
at 63, 409 N.W.2d at 388. In Jackson,
I pointed out that the Criminal Benchbook Committee recommends that the trial
court poll the jury in every case. 188
Wis.2d at 543, 525 N.W.2d at 168 (citing Wisconsin
Judicial Benchbook, CR 25-3 (1994)) (Sundby, J., concurring).
It
is especially important that this important right be carefully explained to a
defendant who is of limited intelligence or does not have a firm grasp of the
English language or any understanding at all as to how the criminal justice
system works. I would therefore grant
Yang's request to remand this case to the trial court for a hearing as to
whether trial counsel informed Yang of his right to poll the individual members
of the jury and whether Yang understood the purpose of such polling.
If
there is a petition for review of our decision, I urge the supreme court to
grant review to clarify the respective rights and responsibilities of trial
counsel and the trial court with respect to this important right. Our decisions are not consistent. As the majority opinion notes, Maj. op. at
18 n.8, in State v. Reichling, No. 94-1818-CR, unpublished slip
op. (Wis. Ct. App. July 6, 1995), we initially held that the defendant's right
to poll the jury was personal to the defendant, and counsel was deficient if he
or she failed to inform the defendant of this right. Subsequently, we withdrew this opinion and on September 28, 1995,
reissued our opinion in which we held that when counsel is present with the
defendant when the jury returns its verdict, failure to inform the defendant of
his or her right to poll jurors individually is not, in itself, deficient
performance. State v. Reichling,
No. 94-1818-CR, unpublished slip op. (Wis. Ct. App. Sept. 28, 1995).
Perhaps
the simplest way to avoid this confusion and recognize that the right to poll
the jurors individually is a valuable right, is for the supreme court to make
mandatory the recommendation of the Criminal Benchbook Committee that the trial
court poll the jurors individually in every case.
[1] The Neave court in this quoted
passage did not include, as one ground for needing an interpreter, the ability
of the defendant to make himself understood in English. That was not an issue in Neave,
apparently because Neave did not testify.
State v. Neave, 117 Wis.2d 359, 362 n.2, 344 N.W.2d 181,
183 (1984). But elsewhere in the
opinion, the court acknowledged that this is a reason for needing an
interpreter, see id., and the statute clearly includes
this ground.
[2] In April 1994, Dr. Robert Barron, a
psychologist, interviewed Yang using an interpreter and administered several
tests.
[3] Yang scored at the level of a child of four
years and one month in vocabulary; at the 2.4 grade level in reading; and at
the 4.6 grade level in spelling. Dr.
Barron also testified with respect to Yang's reading skills, but that is not an
issue in this case.
[4] We agree with Yang that in State v. Neave,
117 Wis.2d 359, 344 N.W.2d 181 (1984), the court granted the defendant a new
trial because Neave needed an interpreter to understand the English testimony
at trial, was not informed of his right to one, and did not waive that right. The Neave court did not engage
in a harmless error analysis. We do not
do so either. However, we do consider
Yang's trial testimony and subsequent testimony of what he did not understand
and was not able to say at trial because that is pertinent to the question of
whether he needed an interpreter. In Neave,
there was apparently no dispute over Neave's need for an interpreter to
understand the trial proceedings. Neave,
117 Wis.2d at 362 n.2, 363, 344 N.W.2d at 183.
[5] Adrian testified that the incident giving
rise to the criminal charge occurred in Paulette's apartment on Miller Street
in La Crosse, when she was in the second grade. The incident at the Rochester, Minnesota motel occurred later,
and was admitted as other acts evidence.
[6] Yang also submitted his prison records
describing his academic skills in August 1993 as "Minimal
Skills/Illiterate-A[dult] B[asic] E[ducation] Needed--E[nglish] [as a] S[econd]
L[anguage] Needed," and his Adult Basic Learning Examination test results
dated May 27, 1994. It is not readily
apparent what these documents show about Yang's ability to speak and understand
spoken English in the pretrial and trial context.
[7] Dr. Barron testified that he was confident
Yang was not faking in taking the tests because of his experience in making
clinical observations of malingerers; because Yang's responses showed a pattern
of increasing failure with increasing difficulty of questions, even though
difficult and easy items were mixed; and because Yang tested in the superior
range on the non-English language test.
[8] The procedural history of this issue is
complex. Yang did not raise this issue
in his postconviction motion. On July
6, 1995, this court decided State v. Reichling, No. 94-1818-CR,
unpublished slip op. (Wis. Ct. App. July 6, 1995), in which we held that the
decision whether to poll jurors individually was personal to the defendant, and
defense counsel's performance was deficient if he or she failed to inform the
defendant of this right. We also held
that prejudice was presumed in such a situation. On August 7, 1995, we granted Yang's motion to stay his appeal
and for a remand to permit him to raise the jury polling issue in a
postconviction motion. We then withdrew
the Reichling opinion and, on September 28, 1995, we reissued our
opinion. In our reissued opinion, we
held that when defense counsel is present with the defendant when the jury
returns its verdict, failure to explain the right to poll jurors individually
is not, in itself, deficient performance.
State v. Reichling, No. 94-1818-CR, unpublished slip op.
(Wis. Ct. App. Sept. 28, 1995). The
State then requested that we rescind our August 7 stay and remand order in this
case, and we granted that motion.
However, we did permit Yang to raise his request for a remand in his
appellate reply brief.
[9] In State v. Behnke, 155 Wis.2d
796, 456 N.W.2d 610 (1990), defense counsel was not present when the jury
returned, and the defendant said "no" when asked by the trial court
if he wanted to poll the jurors individually.
The supreme court held that whether the constitutional violation was
viewed as a denial of counsel or ineffective assistance of counsel, automatic
reversal was required because the defendant did not knowingly, voluntarily and
unequivocally waive the right to counsel or the right to poll the jury. Id. at 806, 456 N.W.2d at
614. The deficient performance in Behnke
was counsel's failure to be present when the jury returned its verdict.