2012
WI 91
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Supreme Court of Wisconsin |
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Case No.: |
2010AP1192-CR |
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Complete Title: |
State of Wisconsin, Plaintiff-Respondent-Petitioner,
v. Roshawn Smith, Defendant-Appellant-Petitioner. |
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REVIEW OF A DECISION OF THE COURT OF APPEALS Reported at 334 Wis. 2d 808, 800 N.W.2d 958 (Ct. App. 2011 - Unpublished) |
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Opinion Filed: |
July 12, 2012 |
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Submitted on Briefs: |
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Oral Argument: |
March 13, 2012 |
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Source of Appeal: |
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Court: |
Circuit |
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County: |
Brown |
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Judge: |
Sue E. Bischel |
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Justices: |
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Concurred: |
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Dissented: |
BRADLEY, J., dissents (Opinion filed). ABRAHAMSON, C.J., joins dissent. |
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Not Participating: |
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Attorneys: |
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For the defendant-appellant-petitioner, there were briefs and oral argument by William E. Schmaal, assistant state public defender.
For the plaintiff-respondent-petitioner, the cause was argued by Sally Wellman, assistant attorney general, with whom on the briefs was J.B. Van Hollen, attorney general.
2012 WI 91
notice
This opinion is subject to further editing and modification. The final version will appear in the bound volume of the official reports.
REVIEW of a decision of the Court of Appeals. Reversed.
¶1 MICHAEL
J. GABLEMAN, J. We review an unpublished decision of the court
of appeals[1]
reversing the Brown County Circuit Court's judgment of conviction against
Roshawn Smith ("Smith").[2] The State charged Smith with being a party to
the crime of possession with intent to deliver more than 10,000 grams of
tetrahydrocannabinol ("THC"[3])
in violation of Wisconsin Statutes section 961.41(1m)(h)5. (2005-06)[4]
and 939.05.[5] Smith stipulated to the fact that the
packages seized by the police contained more than 10,000 grams of THC. At the conclusion of the evidentiary portion
of the jury trial but prior to the jury's deliberations, the circuit court
answered a verdict question for the jury concerning the weight of the
drugs. The jury found Smith guilty of
the offense of being a party to the crime of possession with intent to deliver
more than 10,000 grams of THC. He was
sentenced to a period of incarceration of six years initial confinement and
five years extended supervision.
¶2 Two
issues are presented for our consideration: 1) whether the evidence was
sufficient to support Smith's conviction; and 2) whether Smith waived his right
to a jury determination on the quantity of the drugs. Because a reasonable inference of Smith's
guilt could have been drawn by the jury from the evidence presented at trial,
viewed in its entirety, we hold that the evidence was sufficient to sustain the
conviction and agree with the court of appeals' decision in that regard. Second, while we determine that Smith had a
constitutional right to a jury determination of the drug quantity, and although
the circuit court determined that question without eliciting from Smith a
proper waiver of that right, we conclude the error was harmless because it is
clear beyond a reasonable doubt that a properly instructed, rational jury would
have found Smith guilty of the charged offense absent the error. The court of appeals therefore erred in
remanding the cause to the circuit court.
Accordingly, we reverse the court of appeals and reinstate the guilty
verdict and judgment of conviction.
¶3 In
2006, law enforcement officers in Brown County, Wisconsin were alerted by a
police officer in California that suspicious packages were being sent via
Federal Express ("FedEx") from that state to Brown County. As a result of that information, two packages
were seized by local law enforcement officers from FedEx in Brown County and
22,477 grams of marijuana, testing positive for THC, were discovered
therein. On September 20, 2006, Brown
County law enforcement agents, dressed as FedEx employees, delivered the
packages to the home in Brown County to which they were addressed. Upon delivery, Shannon Kortbein
("Kortbein") came to the door, received the packages, and signed for
them. Shortly thereafter, officers
observed a man later identified as Terri[6]
Thomas ("Thomas") approaching the residence and arrested him.
¶4 Further
investigation led law enforcement to suspect Smith's involvement in the drug
offense. Pursuant to that investigation,
the State filed a criminal information against Smith, alleging that on
September 20, 2006 he possessed with intent to deliver, as a party to the
offense, more than 10,000 grams of THC, a Class E Felony punishable by up to 15
years in prison. Wis. Stat.
§ 939.50(3)(e).
¶5 The
matter was set for trial. At a pretrial
hearing held on March 6, 2008, defense counsel informed the circuit court that
he believed his client "would be prepared to stipulate" to a
chemist's report that more than 10,000 grams of THC were seized from the
packages delivered to Kortbein's home.
The circuit court then held the following colloquy with Smith:
THE COURT: Mr.
Smith, . . . [defense counsel] says that you're prepared to
agree that the stuff that was found in the boxes was marijuana, THC. The State has a crime lab analyst subpoenaed
to testify that the substance was tested and that it is in fact [THC],
marijuana . . . .
And that [defense counsel] is telling me you are not going to make that
person drive here from the crime lab to say that. That you will agree to that analyst's
report. That is not your defense. Your defense is not that it is not marijuana. Your defense is that you had nothing to do
with it being there. Is that true?
ROSHAWN SMITH: Yes, ma'am.
THE COURT: You don't want to have that crime lab person
come up here?
ROSHAWN SMITH: No.
THE COURT: Okay.
Any promises or threats made to you to get you to make that decision?
ROSHAWN SMITH: No, ma'am.
THE COURT: Okay.
You are not disputing that it's marijuana . . . . [Y]our position is you didn't have anything
to do with it, is that right?
ROSHAWN SMITH: Yes.
¶6 A
similar but less extensive exchange took place at a subsequent pretrial hearing
held on September 19, 2008:
[DEFENSE COUNSEL]:
It's my client's understanding, and I talked it over with him again just prior
to our hearing today, that the lab tech would be stipulated to. We're not contesting what was ultimately
found in the boxes.
THE COURT: He just contests his involvement?
[DEFENSE COUNSEL]: We're not contesting anything about the
deliveries or anything about what was in the boxes or how the testing came out
or the evidence [of] that nature.
THE COURT: Is that true, Mr. Smith? You're not going to make the State prove what
was in the boxes?
MR. SMITH: No.
¶7 At
yet another pretrial hearing, held on September 30, 2008, both attorneys and
Smith signed a stipulation indicating that the seized material "was
identified to have the presence of [THC], a substance from marijuana and
weighed 22,477 grams."
¶8 During
pretrial proceedings held on the day of trial, the circuit court informed Smith
that it "need[ed] to ask you personally, you agree that the crime lab
person doesn't need to come to testify about the fact that what's in the bag
contains THC, which is the active ingredient in marijuana? That is your agreement?" Smith responded, "I believe
so." Shortly thereafter, the
circuit court made the following comments to Smith:
[I]t is my
understanding that your defense is you didn't have anything to do with this,
you knew nothing about it, you weren't
involved . . . .
And . . . because your defense is you didn't have
anything to do with it, and to drag the crime lab person in here to testify
that it was marijuana isn't part of your defense. And I just wanted to be sure that you
understand that you agreed with that.
You signed it. I would fully
expect that [defense counsel] explained it to you. But I just wanted to be sure that you
understood that. Because it's not part
of your defense, there is no reason to drag this crime lab person in here to
say it was marijuana.
Smith answered, "I agree." Also on the day of trial, the prosecutor
informed the court that "the State would be requesting that at the
conclusion of the State's case, . . . the Court would read
the stipulation to the jury and have it entered into the record." Defense counsel agreed that that would be
appropriate.
¶9 During
the court's opening instructions to the jury, it related that the State
intended to argue that Smith could be found guilty of being a party to the
crime under any of the three alternative types of liability set forth by Wis.
Stat. § 939.05: direct commission, aiding and abetting, or conspiracy.
¶10 After
trial had begun, a law enforcement officer began testifying about testing the
packages for THC and defense counsel objected on the grounds that it was
unnecessary as a result of the stipulation.
The court then informed the jury that
the State and the
Defense have stipulated that various substances that you are going to hear
testified to in this case, and this is one of them, have tested positive for
the presence of [THC], a substance from marijuana. And they have stipulated that in addition to
the field testing that was done . . . , that it was tested
later by a lab analyst . . . . So, they've stipulated to that and I will
direct you to find that as a fact.
¶11 Following
the testimony of several law enforcement officers, the State called
Kortbein. She stated that she had known
Smith[7]
for approximately three and a half years.
Asked how she came to be involved in the package delivery, Kortbein
answered that Smith introduced her to Thomas, and, she believed, Smith then
gave Thomas her cell phone number.
Thomas called her in the summer of 2006 and asked if she would be
willing to have packages sent to her home in return for $500 per package. She agreed and, over the next few weeks,
received three shipments similar to those that were later seized by law
enforcement. After each delivery, Thomas
retrieved the package from Kortbein within a few days and Smith paid her $400[8]
within a few days after Thomas picked up the package.
¶12 Later
in the trial, David Mehlhorn ("Mehlhorn") took the stand. He testified that he had agreed to receive
packages at his home at Smith's behest.
Mehlhorn further testified that he subsequently received approximately
three packages from California during the summer and fall of 2006. After each arrived, he would call Smith and
Smith and Thomas would pick them up.
During his direct examination, the following exchange occurred between
Mehlhorn and the attorney representing the State:
Q. Now, did [Smith] ever talk to you about being
involved with a marijuana thing with a girl?
A. After it became public, yes.
Q. But did he tell you it was going to be fine?
A. Yes . . . .
Q. Why
did he think it would be fine?
A. Because
it was his word against hers.
¶13 Sergeant
David Poteat ("Sergeant Poteat") of the Brown County Sheriff's
Department also testified for the State.
While on the stand, he stated that he had reviewed Smith's, Kortbein's,
and Thomas's telephone records and found "numerous telephone calls"
between them from July through September 2006, and a particularly large cluster
of calls right around the days the parcels arrived and were picked up. Analyzing this data, Sergeant Poteat opined
that "the pattern of the calls [was] consistent
with . . . the courier relationship."
¶14 During
trial, the circuit court read the stipulation to the jury. It also advised the jurors that a lab report
was attached to the stipulation and would be marked as an exhibit. The lab report, it added, listed all of the
seized drugs, which "total[ed] 22,477 grams."
¶15 The
State rested and defense counsel declined to present any evidence. The circuit court brought up the issue of
jury instructions and the prosecutor reiterated that she "had originally
requested that that stipulation be read to the jury." Asked for his views on the matter, defense
counsel stated that he too "would rather . . . have
[the stipulation] read" to the jury.
The circuit court then agreed with the attorneys that it would read the
stipulation to the jury. As the
conversation moved to the content of the instructions, defense counsel
remarked, "we don't really need the weight on the verdict for guilty,
because we've already stipulated to what the weight is. The jury doesn't need to make a
finding." In response, the
prosecutor told the court "[t]here is still suppose[d] to be a finding,
Your Honor. And the cases that I have
done where we have a stipulation . . . all the Court does
is check that for the jury . . . ." After defense counsel agreed that
"[t]hat would be fine," the circuit court said, "I would answer
the question yes then on behalf of the jury." The prosecutor assented to this plan, and,
insofar as the record reflects, defense counsel was silent.
¶16 The
circuit court proposed that the jury be given a verdict form "that allows
the . . . jury to find the Defendant guilty or not guilty
of the one charge. And then the question
that I will answer for them regarding the weight." The attorneys agreed that this was the
appropriate procedure to follow.
¶17 During
final jury instructions, the circuit court stated that "[t]he District
Attorney and the Attorney for Mr. Smith and Mr. Smith himself stipulated or
agreed to the existence of certain facts.
And those were the facts about the crime lab report. And that evidence, you must accept these
facts as conclusively proved."
¶18 The
circuit court concluded final jury instructions with the following comments:
[T]he following two
forms of verdicts will be submitted to you for your consideration concerning
the charges against Mr. Smith. One
reading, we, the jury, find the Defendant, Roshawn Smith, not guilty of party
to a crime of possession with intent to deliver THC as charged in the
Information. The other reading, we, the
jury, find the Defendant, Roshawn Smith, guilty of party to the crime of
possession with intent to deliver THC as charged in the Information. If you find the Defendant guilty, I have answered
the following question based on the stipulation of the parties. Was the amount of THC including the weight of
any substance or material mixed or combined with it more than 10,000 grams? That is the question that you would normally
have to answer if you found the Defendant guilty. But because of the stipulation of the
parties, I have answered it yes for you.
So, you don't need to answer that question. You just need to decide guilty or not guilty
and have your foreperson sign one of the two verdicts.
¶19 Consistent
with the circuit court's comments, the verdict form presented to the jury
contained two pages: one for the foreperson to sign if the jury found Smith not
guilty and one for the foreperson to sign if the jury found him guilty. The foreperson signed the latter. That form read, in its entirety, as follows:
We, the jury, find
the defendant, Roshawn Smith, guilty of party to the Crime of Possession with
Intent to Deliver THC, as charged in the Information.
If you find the
defendant, guilty, the court has answered the following question based on the
[s]tipulation of the parties:
Was the amount of THC including the weight
of any other substance of material mixed or combined with it, more than 10,000
grams?
Under that question, the circuit court typed an
"X" next to "Yes."
¶20 After
his conviction, Smith was sentenced by the circuit court to a period of
incarceration of eleven years, consisting of six years initial confinement
followed by five years of extended supervision.
¶21 Smith
filed a motion for post-conviction relief, seeking vacatur of his conviction
and a directed judgment of acquittal or, in the alternative, a new trial. In that motion, he argued through counsel
that the evidence was insufficient to support his conviction and that he was
denied the right to a jury determination of the drug quantity. The circuit court denied the motion, finding
the evidence sufficient and concluding that "the colloquy, combined with
the written [s]tipulation, was sufficient to allow [it] to conclude that the
defendant knowingly, intelligently and voluntarily waived his right to have the
jury determine the weight of the controlled substance in each package."
¶22 Smith
appealed. In an unpublished opinion, the
court of appeals held that the evidence was sufficient to support the
conviction. State v. Smith, No.
2010AP1192-CR, unpublished slip op., ¶1 (Wis. Ct. App. May 26, 2011). However, the court also held that Smith did
not waive his right to a jury determination of the drug quantity. Because the parties had not fully briefed the
issue of the appropriate remedy, the court of appeals remanded the cause to the
circuit court for a determination of the proper remedy in light of the
error. Id.
¶23 Both
parties petitioned our court for review.
We granted those petitions.
¶24 The
question of whether the evidence was sufficient to sustain a verdict of guilt
in a criminal prosecution is a question of law, subject to our de novo
review. State v. Booker, 2006 WI
79, ¶12, 292 Wis. 2d 43, 717 N.W.2d 676. When conducting such a review, we consider
the evidence in the light most favorable to the State and reverse the
conviction only where the evidence "is so lacking in probative value and
force that no trier of fact, acting reasonably, could have found guilt beyond a
reasonable doubt." State v.
Poellinger, 153 Wis. 2d 493, 507, 451 N.W.2d 752 (1990)
(citation omitted). Therefore, this
court will uphold the conviction if there is any reasonable hypothesis that
supports it. State v. Blair, 164
Wis. 2d 64, 68 n.1, 473 N.W.2d 566 (Ct. App. 1991). Because there is significant dispute between
the parties regarding the proper standard of review on the sufficiency of the
evidence question, we will further clarify the standard in the analysis to
follow.
¶25 The
question of whether Smith waived his right to a jury trial poses a
constitutional issue as well as an issue of statutory interpretation. Both are reviewed de novo, though we benefit
from the analyses of the court of appeals and the circuit court. State v. Lamar, 2011 WI 50, ¶24, 334
Wis. 2d 536, 799 N.W.2d 758 (reiterating that constitutional
issues of law are reviewed de novo); State v. Dowdy, 2012 WI 12, ¶25,
338 Wis. 2d 565, 808 N.W.2d 691 (reiterating that questions of
statutory construction are reviewed de novo).
¶26 We
first consider whether the evidence was sufficient to sustain Smith's
conviction and hold that it was. We next
take up the question of whether Smith waived his right to a jury determination
on the drug quantity and answer that he did not but that the error was
harmless.
¶27 The
court of appeals decided that the evidence was sufficient to support Smith's
conviction. We agree with that decision.
¶28 Because
the question of the proper standard of review has given rise to significant
disagreement between the parties, we pause to clarify that question.
¶29 We
understand Smith's central argument regarding the standard of review on the
evidentiary question to be summed up in the proposition that a jury verdict of
guilt[9]
must be reversed on appeal if "[t]he inferences that may be drawn from the
circumstantial evidence are as consistent with innocence as with
guilt." State v. Hall, 271
Wis. 450, 452, 73 N.W.2d 585 (1955).
That was the law once, but it no longer is.
¶30 In State
v. Poellinger we clarified the appropriate appellate framework for the
review of evidentiary sufficiency after a jury hands down a guilty
verdict. In that case, we stated both
unanimously and unequivocally that when "viewing evidence which could
support contrary inferences, the trier of fact is free to choose among
conflicting inferences of the evidence and may, within the bounds of reason, reject
that inference which is consistent with the innocence of the accused." Poellinger, 153 Wis. 2d at
506 (emphasis altered).
¶31 In Poellinger
we observed that the court's jurisprudence prior to that case "often
failed to maintain the appropriate distinction between the" jury's inquiry
at trial and our own on appeal. Id.
at 504. In particular, we noted that we
had "mistakenly stated that a conviction based on circumstantial evidence
may be sustained on appeal or review if the evidence is sufficiently strong to
exclude every reasonable theory of innocence" and similarly
"mistakenly stated that when a conviction is based on circumstantial
evidence, an appellate court must uphold the conviction if a reasonable trier
of fact could be convinced that the evidence is strong enough to exclude to a
moral certainty every reasonable hypothesis of innocence." Id. at 504-05. Poellinger corrected those errors and
resolved that confusion, holding, we repeat, that for purposes of appellate
review "the trier of fact is free to choose among conflicting inferences
of the evidence and may, within the bounds of reason, reject that inference
which is consistent with the innocence of the accused." Id. at 506 (emphasis removed).
¶32 Although
Poellinger did not explicitly mention Hall as one of the sources
of confusion in its prior case law, it did not purport to present an exhaustive
list of such sources. See id.
at 757 n.5 ("See, e.g., . . ."). Moreover, it is apparent from the holding and
reasoning of Poellinger that Hall did not survive the
opinion. For Hall required
Wisconsin appellate courts to reverse jury verdicts of guilt if "[t]he
inferences that may be drawn from the circumstantial evidence are as consistent
with innocence as with guilt." Hall,
271 Wis. at 452. There is simply no way
to reconcile that proposition with the principle enunciated in Poellinger,
that "an appellate court must accept and follow the inference drawn by the
trier of fact unless the evidence on which that inference is based is
incredible as a matter of law." Poellinger,
153 Wis. 2d at 506-07. Put
simply, Hall permitted an appellate court to unsettle a jury verdict of
guilt where a reasonable inference of guilt could have been rationally drawn by
the jurors from the evidence when Poellinger forbids it. In other words, the two cases state
manifestly incompatible rules of law and Poellinger corrected the
jurisprudence of which Hall was a part.
Therefore, Hall was overruled by Poellinger, it is no
longer good law, and Smith may not rely upon it.[10]
¶33 We
also use this opportunity to reaffirm the soundness of the reasoning of Poellinger. The rule articulated in Poellinger was
based on the principle that it is inappropriate for an appellate court to
"replace[] the trier of fact's overall evaluation of the evidence with its
own." Poellinger, 153
Wis. 2d at 506. That is a
venerable principle, in this jurisdiction, see, e.g., Nudd v. Wells,
11 Wis. 426, *434 (1860), and every other.
See generally Shaun P. Martin, Rationalizing the Irrational:
The Treatment of Untenable Federal Civil Jury Verdicts, 28 Creighton L.
Rev. 683 (1995) (reviewing the relationship between appellate courts and
juries). The position staked out in Hall
that a jury verdict of guilt can be reversed on appeal if "[t]he
inferences that may be drawn from the circumstantial evidence are as consistent
with innocence as with guilt," Hall, 271 Wis. at 452, contradicts
this deeply rooted tradition of judicial deference for jury verdicts. Indeed, there are few legal principles more
indisputable than the idea that a jury is in a far better position to evaluate
the evidence than is a reviewing court. See,
e.g., In re Dejmal's Estate, 95 Wis. 2d 141, 151, 289
N.W.2d 813 (1980) ("As this court has frequently stated, it is not
our function to review questions as to weight of testimony and credibility of
witnesses. These are matters to be
determined by the trier of fact . . . . "). Hall and the other decisions overruled
by Poellinger gave insufficient respect to the crucial role of the jury
in our criminal justice system. For they
allowed an appellate court to disturb a jury verdict even where it was based on
a reasonable inference drawn from the evidence, simply because the appellate
court preferred another reasonable inference. Poellinger was right to correct our
case law when it strayed from these important principles, and we reaffirm its
correction.
¶34 Smith
confuses the appropriate standard of review in another important respect. Specifically, he criticizes the court of
appeals for refusing to "consider pieces of evidence individually"
and instead "view[ing] the evidence as a whole in order to determine
whether a jury could have found guilt beyond a reasonable doubt." In Smith's view, the court of appeals'
determination that it is more appropriate to view the evidence as a whole
constitutes a "novel proposition."
¶35 Far
from novel, the court of appeals' approach was in line with our well-settled
practice. As we explained in Hussong
v. State, an appellate court reviews the evidence submitted at a criminal
trial "as a whole, each piece of the puzzle being properly in
place." 62 Wis. 2d 577,
587, 215 N.W.2d 390 (1974), overruled in part on other grounds by Poellinger,
153 Wis. 2d at 504 n.5. It would
hardly make sense to view the evidence any other way.
¶36 No
individual, applying his or her logic, would base the ultimate vote of guilt or
innocence on a review that ignores every piece of evidence but one. We do not, and should not, ask jurors to
leave their common sense behind at the courthouse door. See State v. Alexander, 214
Wis. 2d 628, 648, 571 N.W.2d 662 (1997) ("A strength of our
jury system is that jurors . . . bring their experiences,
philosophies, and common sense to bear in their deliberations.") (internal
quotation marks and citation omitted).
Indeed, the jurors here were specifically instructed to employ their
common sense.[11] The rational juror would take into account
the entire picture presented by the evidence in ascertaining guilt or
innocence. Such a juror would not find
any single piece of evidence determinative, but would rather consider the
evidence in the aggregate. The aggregate
is, of course, composed of the individual pieces of evidence; nevertheless,
that does not mean, as Smith suggests, that the juror must ignore the larger
picture so as to focus on each piece in a vacuum and ask whether that piece
standing alone supports a finding of guilt.
That is not how people seek to determine the truth, whether in a jury
room or anywhere else, and that is not how they can most reasonably make the
grave determination as to a defendant's guilt.[12] Accordingly, we reaffirm that an appellate
court must consider the totality of the evidence when conducting a sufficiency
of the evidence inquiry.
¶37 Applying
the principles set forth above, there is no question that the evidence was
sufficient to support Smith's conviction.
¶38 To
establish that Smith was culpable as a party to the crime, under the conspiracy
prong of the statute relied upon by the State, the prosecution was required to
prove beyond a reasonable doubt that: 1) there was an agreement among two or
more persons to direct their conduct toward the realization of a criminal
objective; and 2) each member of the conspiracy individually and consciously
intended the realization of the particular criminal objective.[13] State v. Hecht, 116
Wis. 2d 605, 624-25, 342 N.W.2d 721 (1984) (setting forth the
elements of party to the crime ("PTC") conspiracy).
¶39 Testimony
at trial established (in relevant part) the following narrative. Smith introduced Kortbein to Thomas. Thomas then called Kortbein and asked her if
she would be willing to receive packages at her home in return for $500 per
delivery. She agreed, and over the next
few weeks received three shipments similar to packages that were later seized
by law enforcement and found to contain drugs.
After each shipment arrived, Thomas retrieved it from Kortbein within a
few days and Smith gave her $400 within a few more days. During the periods when the packages were
being delivered, Thomas, Kortbein, and Smith were communicating by phone in a
manner that the jury heard from Sergeant Poteat was consistent with the
"courier relationship." Around
the same time, Smith asked Mehlhorn to receive packages on his behalf, and
several arrived from California and were picked up by Smith and Thomas.
¶40 Smith
does not argue, nor do we find a basis to conclude, that this testimony was
"incredible as a matter of law."
Poellinger, 153 Wis. 2d at 506-07. Therefore, deferring to the jury's decision
to credit this testimony, as we must, id. at 504, the narrative
established by the State's witnesses provided a solid foundation from which the
jury could have drawn an inference that Smith shared PTC conspiracy culpability
for the drug offense. For that narrative
strongly suggested that Smith brought two other participants in a drug scheme together
(Thomas and Kortbein), helped facilitate the transportation and receipt of the
drugs by relaying payments while seeking to insulate himself as much as
possible from potential liability, and arranged a similar scheme with another
individual (Mehlhorn).
¶41 From
this evidence, the jury could reasonably have inferred that Smith was guilty as
a party to the crime of possession with intent to deliver. For the evidence suggested that Smith
introduced Thomas and Kortbein and then facilitated the transfer of money from
one to the other after Kortbein received the drugs and conveyed them to Thomas.
Thus, the jury could reasonably have concluded that there was "[a]n
agreement among two or more persons to direct their conduct toward the
realization of a criminal objective," namely the delivery of
marijuana. Hecht, 116
Wis. 2d at 625. Furthermore, Smith's personal involvement in the acts
described above——i.e., the introduction of Thomas to Kortbein and the delivery
of the money——supports a rational inference that he "individually [and]
consciously intend[ed] the realization of the particular criminal
objective." Id. He thus had "an individual stake in the
venture," id., and the second element of PTC conspiracy was
satisfied. Therefore, there was
sufficient evidence for the jury to find Smith guilty of being a party to the
crime of possession with intent to deliver more than 10,000 grams of THC.[14]
¶42 To
attack the conclusion that the evidence was sufficient to support the jury
verdict, Smith presents a series of hypotheticals:
It is possible that
Thomas already had a criminal scheme in mind when Smith introduced him to
Kortbein, and it is also possible that he didn't . . . . If Thomas already had a criminal scheme in
mind then it is possible that he told Smith about it, and it is also possible
that he didn't . . . .
It is possible that Smith was present with Thomas when Thomas called
Kortbein to make his offer to her, and it is also possible that Smith wasn't
present . . . . If
Smith was present when Thomas called Kortbein then it is possible that Smith
had agreed to assist the scheme, and it is also possible that he was just an
ambivalent bystander to a telephone
conversation . . . .
It is possible that Smith had agreed to assist Thomas's criminal scheme,
and it is also possible that Smith simply acquiesced in a general request by
Thomas to deliver money to Kortbein . . . . It is possible that the packages that had
been delivered prior to September 20, 2006, contained marijuana or other
unlawful contraband, and it is also possible that they were just
"test" deliveries to ascertain Kortbein's trustworthiness.
¶43 As an
initial matter, not all of these hypotheticals are relevant to Smith's guilt or
innocence. For instance, it is of no
significance whether Smith "was present with Thomas when Thomas called
Kortbein to make his offer to her."
He could just as easily have agreed to the scheme and not been
present. Cf. United States v.
Banks, 10 F.3d 1044, 1054 (4th Cir. 1993) ("It is of course elementary
that one may be a member of a conspiracy without knowing its full scope, or all
its members, and without taking part in the full range of its activities or
over the whole period of its existence.").
¶44 Smith's
reasoning suffers from two more serious flaws.
First, our duty when reviewing the sufficiency of evidence supporting a
jury verdict of guilt is not to ask what is "possible." Anything, after all, is possible. See, e.g., United States v. Ytem,
255 F.3d 394, 397 (7th Cir. 2001) (Posner, J.) ("Anything is
possible; there are no metaphysical certainties accessible to human reason; but
a merely metaphysical doubt (for example, doubt whether the external world is
real, rather than being merely a dream) is not a reasonable doubt for purposes
of the criminal law.") (emphasis in original) (citing, inter alia, Victor
v. Nebraska, 511 U.S. 1, 13 (1994) ("[A]bsolute certainty is
unattainable in matters relating to human affairs.")). Rather, our duty, consistent with the
limitations of human knowledge and with the deference we owe the jury, is to
decide whether "any possibility exists that the trier of fact could have
drawn the appropriate inferences from the evidence adduced at trial." Poellinger, 153 Wis. 2d at
506. For the reasons already stated, it
is plain that such a possibility exists in this case.
¶45 Relatedly,
Smith's treatment of each piece of evidence in isolation is an apt
demonstration of why appellate courts must reject that method. It makes little sense to consider the various
"possibilities" posed by Smith without taking into account the
overall picture drawn by the witnesses.
The likelihood that an inference of innocence was the correct one on
each individual piece of evidence recedes dramatically when those pieces are
considered in juxtaposition. That is, if
the jury was told that Smith introduced Thomas and Kortbein, that Kortbein then
received a shipment of drugs, and that Thomas retrieved them, but not
told that Smith paid Kortbein $400 shortly thereafter, it would be more
plausible that Smith had no knowledge of the drug scheme. But they were told about the payments.[15] Likewise, if the jury had not heard testimony
that Smith established a similar arrangement with Thomas and Mehlhorn, it would
have been more plausible that he was unwittingly brought into the delivery
involving Kortbein. But they were
told about the other arrangement. Each
piece of evidence gave the other pieces more context, and allowed the jury to
more thoroughly and more accurately evaluate Smith's likely guilt or innocence. That is why juries (and reviewing courts)
consider the evidence in its totality, and that is why the evidence was
sufficient to support Smith's conviction.[16]
¶46 Turning
to the next issue, we first consider whether Smith had a right to a jury
determination of the quantity of drugs involved and conclude that he did. We then consider whether he waived that right
and conclude that he did not, but further conclude that the error was harmless.
¶47 Both
parties agree that Smith had a right to a jury determination of the drug
quantity involved in his offense and the court of appeals so held. We agree as well.
¶48 The
federal and state constitutions both protect a criminal defendant's right to a
jury trial. U.S. Const. amend. VI
("In all criminal prosecutions, the accused shall enjoy the right to a
speedy and public trial, by an impartial jury . . . .");
Wis. Const. art. I, § 7 ("In all criminal prosecutions the accused
shall enjoy the right . . . to a speedy public trial by an
impartial jury . . . .").
¶49 In Apprendi
v. New Jersey, the United States Supreme Court set forth the seminal
holding that the right to a criminal jury trial enshrined in the Sixth
Amendment of the U.S. Constitution requires that "[o]ther than the fact of
a prior conviction, any fact that increases the penalty for a crime beyond the
prescribed statutory maximum must be submitted to a jury, and proved beyond a
reasonable doubt." 530 U.S. 466,
490 (2000). The Apprendi court
also explained that such an analysis is properly focused not on the sentence
that is actually handed down, but on the punishment that becomes available
as a result of the fact in question. See
id. ("It is unconstitutional for a legislature to remove from the
jury the assessment of facts that increase the prescribed range of penalties to
which a criminal defendant is exposed.") (emphasis added) (internal
quotation marks, brackets, and citation omitted); see also United
States v. O'Brien, 560 U.S. __, 130 S. Ct. 2169, 2174 (2010) (quoting cited
language from Apprendi with approval).
¶50 Applying
Apprendi to the instant case, it is plain that Smith had a
constitutional right to a jury determination of the drug quantity involved in
his offense. For if Smith were found
guilty of possession of marijuana with intent to deliver, but there was no
evidence as to amount, the highest sentence he could have received would have
been three and a half years. Wis. Stat.
§ 961.41(1m)(h)1. (stating that possession of two hundred grams or less of
THC (the lowest amount mentioned in the statute) with intent to deliver is a
Class I felony); § 939.50(3)(i) (stating that the commission of a Class I
felony is punishably by "imprisonment not to exceed 3 years and 6
months"). Because he was found
guilty of possession of more than 10,000 grams of THC with intent to deliver,
however, Smith was subject to incarceration for up to 15 years. § 961.41(1m)(h)5. (stating that
possession of more than 10,000 grams of THC with intent to deliver is a Class E
felony); § 939.50(3)(e) (stating that the commission of a Class E felony
is punishable by "imprisonment not to exceed 15 years.").
¶51 Therefore,
the fact in question (whether more than 10,000 grams of THC was involved in the
offense) exposed Smith to a higher penalty.
Consequently, he had a constitutional right to a jury determination of
the amount.
¶52 The
parties and the court of appeals also agree that Smith did not waive his right
to a jury determination of the drug quantity.
We concur.
¶53 As we
have noted, Smith's right to a jury determination of the drug quantity involved
in his offense was protected by the constitutional provisions guaranteeing a
criminal defendant's right to a jury trial.
The right to a criminal jury trial is in that class of rights considered
"so fundamental that they are deemed to be personal rights which must be
waived personally by the defendant."
State v. Gordon, 2003 WI 69, ¶49, 262 Wis. 2d 380, 663
N.W.2d 765; State v. Livingston, 159 Wis. 2d 561, 569,
464 N.W.2d 839 (1991) ("[A]ny waiver of the defendant's right to
trial by jury must be made by an affirmative act of the defendant himself. The defendant must act personally; he and
only he has the power and authority to waive his right to a jury
trial . . . .") (emphasis added). As such, it would be error for the circuit
court to have answered the question of drug quantity unless Smith waived his
right to a jury determination of that question.
Livingston, 159 Wis. 2d at 569.
¶54 For a
defendant's action to qualify as a valid waiver of a constitutional right, he
must waive the right knowingly, intelligently, and voluntarily, with
"sufficient awareness of the relevant circumstances and likely consequences." Brady v. United States, 397 U.S. 742,
748 (1970). A judicial inquiry into
whether a valid waiver occurred "must depend upon the unique circumstances
of each case." Adams v. United
States ex rel. McCann, 317 U.S. 269, 278 (1942). Nevertheless, the valid waiver of a
constitutional right can never occur where the defendant is unaware of the
right at issue. See, e.g., State
v. Brown, 2006 WI 100, ¶29, 293 Wis. 2d 594, 716 N.W.2d 906
("[F]or a plea to function as a valid waiver of constitutional rights, the
plea must be an intentional relinquishment of known rights.")
(citation omitted) (emphasis added). As
a result, for the State to prove that the valid waiver of a constitutional
right occurred it would have to demonstrate that Smith knew of his constitutional
right to a jury determination of the drug quantity. See id.
¶55 The
State does not purport to make such a showing.
It declines to do so for good reason.
Of the three exchanges that took place between the circuit court and
Smith regarding his stipulation to the drug quantity, none suggest that he was
informed that he had a constitutional right to a jury determination of the drug
quantity, let alone that he was waiving such a right. Indeed, none of the exchanges even mention
the jury. Rather, to the extent that the
stipulation and its consequences were explained to Smith at all, they were
explained only with reference to the fact that the crime lab technician who
measured the quantity of THC would not be testifying. Nothing was said about a right to have the
jury determine the drug quantity. Even
the prosecutor stated that she "had originally requested that that
stipulation be read to the jury," not that the circuit court answer the
quantity question itself.
¶56 Because
the circuit court failed to inform Smith that he had a right to a jury
determination of the drug quantity, and failed to ask him if he intended to
waive that right, the only reason for us to conclude that he nevertheless
waived it would be if his stipulation were somehow equivalent to a waiver. However, such a conclusion would ignore an
important distinction. The right to a
criminal jury trial is a crucial constitutional right with deep roots in our
history and our legal philosophy as a society.
See, e.g., Duncan v. Louisiana, 391 U.S. 145, 149 (1968)
("[T]rial by jury in criminal cases is fundamental to the American scheme
of justice . . . ."); Albert W. Alschuler & Andrew
G. Deiss, A Brief History of the Criminal Jury in the United States, 61
U. Chi. L. Rev. 867, 871 (1994) ("The framers' enthusiastic support for
the jury stemmed in large measure from the role that juries had played in
resisting English authority before the Revolution."). By contrast, a stipulation is simply a matter
of convenience and litigation strategy, entered into to avoid the time,
expense, and potential prejudice of introducing unnecessary and possibly
prejudicial evidence.[17] Compare United States v. Teague,
953 F.2d 1525, 1531 (11th Cir. 1992) (en banc) (holding that defense counsel is
ordinarily permitted to make decisions regarding trial strategy, including
"what stipulations should be made") with Livingston,
159 Wis. 2d at 569 ("[A]ny waiver of the defendant's right to
trial by jury must be made by an affirmative act of the defendant himself. The defendant must act personally; he and
only he has the power and authority to waive his right to a jury
trial . . . .") (emphasis added).
¶57 It is
therefore a far different thing for a defendant to stipulate to a fact than it
is for him to waive his constitutional right to a jury determination of that
fact. Smith did the former but not the
latter. He was never informed that he
had a constitutional right to a jury determination of the drug quantity, nor
was he ever given the opportunity to waive or invoke that right. Accordingly, we hold that Smith did not waive
his constitutional right to a jury determination of the drug quantity. As a result, it was error for the circuit
court to answer the question of quantity for the jury.
¶58 Unlike
the preceding two questions, the parties diverge on the issue of the
appropriate remedy to correct the error they agree occurred at the circuit
court. Smith contends that he is
entitled to a new trial, arguing that "[i]n the absence of a valid waiver,
the remedy of a new trial is applicable no matter how overwhelming the
evidence . . . because the wrong fact-finding entity has
adjudicated the defendant's guilt."
The State responds that we should apply a harmless error test, and that
under such a test the conviction should be reinstated because "[t]he
weight element was uncontroverted and by virtue of the stipulation, it was
supported by overwhelming evidence."
We agree with the State that a harmless error analysis is required by
our well-reasoned case law and that of the United States Supreme Court, and we
agree that the error here was harmless.
¶59 To
refute the appropriateness of a harmless error analysis, Smith relies heavily
upon State v. Villarreal, 153 Wis. 2d 323, 450 N.W.2d 519
(Ct. App. 1989). It is true that Villarreal
held that a harmless error analysis is inappropriate when a court erroneously
decides a fact that should have been submitted to the jury. But that proposition has been renounced by
subsequent decisions of the United States and Wisconsin Supreme Courts.
¶60 The
legal landscape concerning this issue is now shaped by Neder v. United
States, 527 U.S. 1 (1999). In that
case, a federal district court erroneously told a jury that to convict Neder of
various fraud offenses it was not required to consider the materiality of any
allegedly false statements, because materiality was "not a question for
the jury to decide." Neder,
527 U.S. at 6. The Supreme Court upheld
the conviction, concluding that the error was harmless. Id. at 25. Relying on the proposition that where a
defendant "was tried by an impartial adjudicator, there is a strong
presumption that any other constitutional errors that may have occurred are
subject to harmless-error analysis," the Neder court held that an
element erroneously omitted from the jury instructions does not "affect[]
the framework within which the trial proceeds" or "render a trial
fundamentally unfair." Id.
at 8 (citations, internal quotation marks, and brackets removed).
¶61 We
adopted Neder's approach in State v. Harvey, 2002 WI 93, 254
Wis. 2d 442, 647 N.W.2d 189.
Noting that Wisconsin's "statutory harmless error rule[18] . . . is
almost identical to the federal rule," we held in Harvey that
harmless error analysis applies where a court erroneously takes judicial notice
of a fact that should have been submitted to the jury. Id., ¶39.
¶62 While
neither Neder nor Harvey is on all-fours with the instant case,
insofar as neither involved stipulations, their rationales nevertheless control
the outcome here. For both involved a
judicial determination of a fact that the jury was constitutionally required to
find. And both held that an appellate
court reviews such cases for harmless error.
Here too a court answered a question that, under the Sixth Amendment,
should have gone to the jury.
Accordingly, we are bound by the precedent of our own prior decisions
and those of the United States Supreme Court to apply a harmless error
analysis.[19]
¶63 As
with the previous question regarding whether an error occurred, it is useful to
reiterate the persuasive reasoning underlying the case law that we are
duty-bound to apply. That reasoning is,
simply put, that an error does not "affect the framework within which the
trial proceeds" or "render a trial fundamentally unfair" where
"an impartial adjudicator," i.e., a judge, finds a fact rather than
an alternative impartial adjudicator, i.e., a jury. Neder, 527 U.S. at 8 (citations,
internal quotation marks, and brackets removed). Indeed, that reasoning is even more powerful
where, as here, the defendant actually stipulates to the fact in question. For in such a case, as we shall see below
when we apply the harmless error analysis, it can be said with even more
assurance that the defendant, who agrees to the very fact at issue, received a
fundamentally fair trial and that the outcome would have been the same absent
the error. Simply put, a defendant who
agrees to a fact cannot be heard to later complain that his trial was rendered
fundamentally unfair when that fact was found, merely because the wrong neutral
adjudicator found it.[20]
¶64 Perhaps
in recognition of the force and clarity of Neder and Harvey's
constitutional jurisprudence, Smith devotes considerable energy to an
additional or alternative statutory argument.
He contends that the legislature's codification of a jury trial waiver
procedure compels us to grant him a new trial, even if the United States and
Wisconsin constitutions do not. We see
no such mandate in the statute, and think it unwise to sever our state's
criminal procedure from well-reasoned constitutional jurisprudence on the basis
of legislation that does not require us to do so.
¶65 Smith's
statutory argument revolves around Wis. Stat. § 972.02(1), which provides
that "criminal cases shall be tried by a
jury . . . unless the defendant waives a jury in writing or
by statement in open court . . . on the record, with the
approval of the court and the consent of the state." As Smith reads it, this provision represents
a legislative decision to extend greater protections to Wisconsin citizens than
those afforded by the state and federal constitutions. To his mind, § 972.02(1) means that
there is no remedy short of retrial for an error such as the one that occurred
here. We disagree.
¶66 Beginning
with the plain language of the statute, as we must, State ex rel. Kalal v.
Circuit Court for Dane Cnty., 2004 WI 58, ¶45, 271 Wis. 2d 633,
681 N.W.2d 110, we see nothing in Wis. Stat. § 972.02(1) that speaks
to remedy at all. Smith emphasizes the
"shall" in the statute, but that term provides no guidance on how a
court should proceed if the statutory requirement is not satisfied. Indeed, the constitutional protections of
criminal jury rights include the same word.
U.S. Const. amend. VI ("In all criminal prosecutions, the accused shall
enjoy the right to a speedy and public trial, by an impartial
jury . . . .") (emphasis added); Wis. Const. art. I,
§ 7 ("In all criminal prosecutions the accused shall enjoy the
right . . . to a speedy public trial by an impartial
jury . . . .") (emphasis added). Given that these constitutional provisions
contain highly similar language to § 972.02(1), including the very word
that supposedly requires retrial, it would be incongruous for us to ignore the
binding and persuasive reasoning in Neder and Harvey simply
because a statute, rather than a constitutional provision, is at issue. Such a result would also create disruptive
conflict and confusion in the criminal justice system whereby radically
different remedies become available depending on whether a defendant relies
upon a statutory or constitutional provision, despite the fact that they say
nothing different with respect to remedy.
¶67 Lastly,
the same factors that led us to conclude that harmless error analysis was
appropriate in the constitutional context carry the same weight in the
statutory context. Regardless of whether
the Sixth Amendment or Wis. Stat. § 972.02(1) are at issue, the fact
remains that it makes no sense to order a new trial or reduce a sentence when a
defendant is convicted and sentenced by a neutral adjudicator in accordance
with a fact he admits in open court, simply because the fact is formally
"found" by the wrong neutral adjudicator.
¶68 Because
we are bound by the sound and well-reasoned opinions of the United States
Supreme Court in Neder and our own court in Harvey, and because
we decline to sever our statutory protection for jury trials from the constitutional
provisions upon which it is based, we conclude that the circuit court's
determination of the drug quantity involved in Smith's offense, a fact which
should have been submitted to the jury, is subject to harmless error review.[21]
¶69 With
these principles in mind, there can be no doubt that the error in Smith's trial
was harmless. The Constitution and Wis.
Stat. § 805.18(2) require the same harmless error showing: that it be
"clear beyond a reasonable doubt that a properly instructed, rational jury
would have found the defendant guilty of
the . . . [charged] offense." Harvey, 254 Wis. 2d 442,
¶48. The State easily satisfies that
test here.
¶70 To this day, Smith has never disputed that
more than 10,000 grams of THC were found in the packages seized from
Kortbein. Quite to the contrary, he
expressly admitted in the circuit court no fewer than four times that those
packages contained THC in an amount greater than 10,000 grams, and the jury was
informed of that admission. As a result,
"it is clear beyond a reasonable doubt that a properly instructed,
rational jury would have found [Smith] guilty of
the . . . [charged] offense," "the error [therefore]
cannot have contributed to the verdict," and it was consequently harmless. Harvey, 254 Wis. 2d 442,
¶48; see also Neder, 527 U.S. at 18 (holding that an error is
harmless if it "did not contribute to the verdict," requiring a court
to conclude "beyond a reasonable doubt that a rational jury would have
found the defendant guilty absent the error").
¶71 The
dissent draws an interesting distinction between facts that are
"undisputed" and those that are "indisputable," reasoning
that Neder and Harvey involved the latter and this case the
former. Dissent, ¶¶91-95. Though we acknowledge the creativity of the
distinction, we fail to see any authority to support its legal
significance. Nor do we understand why
the distinction should make a difference.
Indeed, in making its case for the distinction, the dissent explicitly
deemphasizes the facts of the case at bar.
Id., ¶95 ("Although Smith opted not to dispute this fact,
his stipulation does not transform the nature of the fact from one that can be
subject to reasonable dispute into one that is indisputable."). We wonder who exactly the dissent imagines
disputing the weight of the drugs, given that Smith himself, both attorneys,
the judge, and the chemist agreed on it, and that no one to this day has
challenged it. The dissent appears to
focus on the possibility that other defendants in other cases
will dispute such facts. Id.
("[T]his elemental fact [of the drug quantity] is the type of fact that is
often disputed by defendants and could have been disputed in this
case by Smith.") (emphasis added).
No doubt other defendants do often dispute such facts, and no
doubt Smith could have done so.
But we are not dealing here with other defendants, we are dealing with
Smith, and he elected not to dispute the drug quantity. The dissent proves too much. The very fact that another defendant might
dispute the weight of the drugs in a similar case is what distinguishes such a
case from Smith's. Smith did not dispute
the weight of the drugs; he stipulated to the weight and acknowledged it
repeatedly in open court.
¶72 The
theoretical and pragmatic unworkability of the dissent's analysis is aptly
illustrated by the fact that even where a defendant enters into a knowing,
intelligent, and voluntary waiver of his right to the jury's determination of a
given fact, as the dissent insists was required here, the fact is still
"disputable" in the same sense the dissent applies to the drug
quantity here, i.e., someone else, in another case, might dispute a
similar fact. Surely there is no error
there, though the dissent's approach implies there is.
¶73 Finally,
even accepting the unprecedented "undisputed/indisputable"
distinction drawn by the dissent, we question whether it meaningfully separates
Neder and Harvey from this case.
With respect to Neder and Harvey, the dissent's belief
that the facts at issue in those cases were "indisputable" centers on
the specific facts of those cases: respectively, whether Penn Park was a city
park and whether the failure to report $5 million in income was material to a
charge of tax fraud. Id.,
¶¶92-94. With respect to the instant
case, however, the dissent's analysis is focused on drug quantity in other
cases. Id., ¶95 (remarking that drug quantity "is the type of fact
that is often disputed by defendants . . . .")
(emphasis added). But if the question is
whether the specific fact at issue in a case is
"indisputable," e.g., Penn Park being a city park, then should not
the question here be whether the specific fact of the drug quantity
involved in Smith's case is "indisputable"? And, if that is the question, on what grounds
would it not be so regarded, given that no one involved in the case has ever
disputed it? Conversely, if the question
is whether the type of fact at issue in a case is "indisputable,"
e.g., drug quantity in general, then should not the question in Neder
and Harvey have been whether other defendants, in other cases, might
challenge the status of a park or the materiality of a failure to report income
to a charge of tax fraud? And, if that
is the question, how can we assume that criminal defense attorneys and their
clients, as thorough and creative as they often are, will not raise such
challenges? We can think of no
principled basis for the discrepancy in the dissent's application of its
self-made test, other than that it supports one result here and another in Neder
and Harvey.
¶74 In
sum, we respectfully decline the dissent's invitation to base our holding on
willful blindness to the one fact——Smith's acknowledgment of the drug
quantity——upon which the entire case turns.
¶75 Because
the error was harmless, we reverse the court of appeals and reinstate Smith's
guilty verdict and judgment of conviction.
¶76 Two issues are presented for our
consideration: 1) whether the evidence was sufficient to support Smith's
conviction; and 2) whether Smith waived his right to a jury determination on
the quantity of the drugs. Because a
reasonable inference of Smith's guilt could have been drawn by the jury from
the evidence presented at trial, viewed in its entirety, we hold that the
evidence was sufficient to sustain the conviction and agree with the court of
appeals' decision in that regard.
Second, while we determine that Smith had a constitutional right to a
jury determination of the drug quantity, and although the circuit court
determined that question without eliciting from Smith a proper waiver of that
right, we conclude the error was harmless because it is clear beyond a
reasonable doubt that a properly instructed, rational jury would have found
Smith guilty of the charged offense absent the error. The court of appeals therefore erred in
remanding the cause to the circuit court.
Accordingly, we reverse the court of appeals and reinstate the guilty
verdict and judgment of conviction.
By the Court.—The decision of
the court of appeals is reversed.
¶77 ANN WALSH BRADLEY, J. (dissenting). The majority opinion contains strong language heralding the constitutional right to a trial by jury. Yet, after setting forth its soaring language, the majority does an about face.
¶78 It explains that it matters not whether Smith actually knew that he had a right to have a jury determine the fact of drug quantity. And, it matters not whether that fact was found by a judge or jury. According to the majority, it is no big deal because although the judge erred by violating Smith's constitutional right to a trial by jury, the error is harmless.
¶79 I disagree with the majority's application of the harmless error doctrine here because it extends that doctrine beyond the limited circumstances in the cases it cites and further erodes the vitality of the constitutional right to a trial by jury. Instead, I would remand to the circuit court for a determination of whether Smith knowingly, voluntarily, and intelligently waived his right to a jury determination of all elements of the crime. Accordingly, although I agree with the majority's determination regarding the sufficiency of the evidence, I respectfully dissent.
I
¶80 The majority recognizes that Smith had a right to a jury determination of each and every fact that increases the penalty for a crime beyond the statutory maximum. Majority op., ¶¶50-51. It agrees with the parties that the circuit court erred by directing an answer to the question of the weight of the marijuana without securing Smith's knowing, intelligent, and voluntary waiver of a jury determination of that fact. Id., ¶¶53, 55. It acknowledges that it is "a far different thing for a defendant to stipulate to a fact than it is for him to waive his constitutional right to a jury determination of that fact." Id., ¶57.
¶81 Nevertheless, relying on State v. Harvey, 2002 WI 93, 254
Wis. 2d 442, 647 N.W.2d 189, and Neder v.
United States, 527 U.S. 1 (1999), the majority asserts that "a
harmless error analysis is required by our well-reasoned case law and that of
the United States Supreme Court."
Majority op., ¶58. Although the majority acknowledges that
neither Harvey nor Neder involved a stipulation, it concludes
that "their rationales nevertheless control the outcome here." Id., ¶62. It contends:
"Simply put, a defendant who agrees to a fact cannot be heard to later
complain that his trial was rendered fundamentally unfair when that fact was
found, merely because the wrong neutral adjudicator found it." Id. ¶63.
¶82 The majority refrains from overruling State v. Livingston, 159 Wis. 2d 561, 464 N.W.2d 839 (1991), and State v. Hauk, 2002 WI App 226, 257 Wis. 2d 579, 652 N.W.2d 393, cases in which the court concluded that a harmless error analysis was inapplicable when the circuit court failed to secure the defendant's personal waiver of the right to a jury trial. Without further explanation, the majority concludes that "those cases involved different factual circumstances from those at issue here." Majority op., ¶62 n.19.
II
¶83 The
right to a jury trial is enshrined in two places in the United States
Constitution. U.S. Const. art. III, § 2 ("the Trial of all
Crimes, except in Cases of Impeachment, shall be by Jury"); U.S. Const. amend.
VI ("In all criminal prosecutions, the accused shall enjoy the right to a
speedy and public trial, by an impartial jury"). After the American Revolution, Alexander
Hamilton wrote that "[t]he friends and adversaries of the plan of the
[Constitutional] convention, if they agree in nothing else, concur at least in
the value they set upon the trial by jury[.]" The Federalist No. 83,
p. 426 (M. Beloff ed. 1987).
¶84 The majority opinion contains strong language heralding the right to a jury trial. It asserts that the right to a criminal jury trial is "fundamental," and that it can be waived only if the defendant has "sufficient awareness of the relevant circumstances and likely consequences." Id., ¶¶53-54. The majority proclaims that no valid waiver could occur if the defendant were unaware that he had a right to a jury determination of every elemental fact. Id., ¶54.
¶85 After setting forth this soaring language, however, the majority does an about face. It explains that it matters not whether Smith actually knew that he had a right to a jury determination of drug quantity because "an error does not affect the framework within which the trial proceeds . . . where an impartial adjudicator, i.e., a judge, finds a fact rather than an alternative impartial adjudicator, i.e., a jury." Id., ¶63. "Simply put," the majority asserts, "a defendant who agrees to a fact cannot be heard to later complain that his trial was rendered fundamentally unfair when that fact was found, merely because the wrong neutral adjudicator found it." Id. (emphasis added).
¶86 This explanation evinces a lack of appreciation of the reason underlying the right to a trial of one's peers. The identity of the fact finder is no trifling matter.
¶87 The point of the right to a jury trial is that the identity of the "neutral adjudicator" is important. Our system gives the guilt determination to a jury because, "absent voluntary waiver of the jury right, the Constitution does not trust judges to make determinations of criminal guilt." Neder, 527 U.S. at 32 (Scalia, J., dissenting) (emphasis omitted). Further, if the majority's explanation were extended to its logical conclusion, the harmless error doctrine could eviscerate the requirement that waivers of the constitutional right to a jury trial be knowing, voluntary, and intelligent.
III
¶88 Contrary to the
majority, I do not believe that we are compelled by Harvey and Neder
to apply a harmless error analysis in this case. The majority's application of the
harmless error doctrine here extends that doctrine beyond the limited
circumstances in those cases and further erodes the vitality of the
constitutional right to a trial by jury.[22]
¶89 In
Harvey, the defendant was charged with selling narcotics within
1,000 feet of a city park. 254 Wis. 2d 442, ¶2. One of the elements of the charged offense
was that the park in question, Penn Park, was a state, county, city, village,
or town park. The circuit court took judicial notice of the fact that Penn
Park was a city park, and it directed the jury to accept that fact as
true. Id., ¶3. On review, this court applied a
harmless error analysis, reasoning that "[t]he elemental fact on which the
jury was improperly instructed is undisputed and indisputable: Penn Park is a
city park, and no one says otherwise."
Id., ¶48.
¶90 In Neder, the defendant was charged with tax fraud when he failed to report nearly $5 million in income which was obtained from a fraudulent real estate scheme. 527 U.S. at 6. The elements of the statute were that Neder made false statements to the IRS and that the false statements were material. The jury found that Neder knowingly and falsely reported his income, and the district court determined that Neder's false statement was material. Id.
¶91 In both Harvey
and Neder, the facts that were taken from the jury without a valid
waiver were not only undisputed;
the nature of the facts at issue in Harvey and Neder made them indisputable.
¶92 In
Harvey, the court took judicial notice of the fact that Penn Park was a
city park. A court may take judicial notice of
a fact only if it is "not subject to reasonable dispute." See Wis. Stat. § 902.01(2)
("Kinds of facts. A judicially
noticed fact must be one not subject to reasonable
dispute . . . .")
A fact may be indisputable if it is "capable of accurate and ready
determination by resort to sources whose accuracy cannot reasonably be
questioned." Wis. Stat.
§ 902.01(2)(b).[23]
¶93 The
kind of fact at issue in Neder was likewise indisputable because there
can be no reasonable dispute that the failure to report $5 million in income is
"material" to a charge of tax fraud.
The tax fraud statute prohibited the filing of any return that the
taxpayer "[did] not believe to be true and correct as to every material
matter," 527 U.S. at 16, and "material matter" was construed to
mean any information necessary for a determination of tax liability.
¶94 The
fact of materiality was not a fact that was susceptible to formal proof, but
rather, it was implicit in the finding that Neder had falsified his
income. Once the jury found that Neder
falsely reported his total income, the fact of materiality followed, ipso
facto, from the fact the jury did find.
¶95 By
contrast, the elemental fact at issue in this case, the weight of the
marijuana, is not the kind of fact that can be determined by judicial notice. Further,
it does not follow, ipso facto, from any of the facts that the jury did find. Instead, this elemental fact is the type of
fact that is often disputed by defendants and could have been disputed in this
case by Smith. Although Smith opted not
to dispute this fact, his stipulation does not transform the nature of the fact
from one that can be subject to reasonable dispute into one that is
indisputable.
¶96 The majority contends that the
distinction I make between undisputed facts and indisputable facts is
unworkable. Majority op., ¶¶72-73. However, contrary to the majority, this
distinction can be found aplenty, especially in regard to judicial notice jurisprudence. The long history and substantive case law
interpreting and applying the rule of judicial notice reveal that this
distinction has been employed by courts for many years. See e.g., Edmund M. Morgan, Judicial
Notice, 57 Harvard L. Rev. 269 (1944).
¶97 Because
the majority fails to understand the important distinction between a fact that
is undisputed and a fact that is indisputable, see majority op., ¶71, it
forges a new inroad on the right to a trial by jury. It permits a judge to find a fact in the
jury's stead without first securing a knowing, voluntary, and intelligent
waiver of the right to a jury determination——even though the facts found by the
judge could be subject to dispute.[24]
¶98 Rather than further eroding the right to trial by jury, the majority should take this opportunity to limit the erosion of the jury trial right. As Blackstone explained, "though begun in trifles, the precedent may gradually increase and spread to the utter disuse of juries in questions of the most momentous concern." William Blackstone, 4 Commentaries *350. The majority should pay heed to the warning issued by Blackstone and repeated by Justice Scalia: "However convenient intrusions on the jury right may appear at first," it should be remembered "that delays and little inconveniences in the forms of justice are the price that all free nations must pay for their liberty in more substantial matters." Neder, 527 U.S. at 40-41 (Scalia, J., dissenting) (quoting Blackstone, supra).
¶99 I would not expand
the harmless error doctrine beyond the limited circumstances at issue in Harvey
and Neder.[25] Under Harvey and Neder, a
harmless error analysis can be employed in circumstances where a trial court
erroneously found a single indisputable element of the crime without obtaining
the defendant's personal waiver.
IV
¶100 Here, Smith personally stipulated to the facts necessary to prove the weight of the marijuana. However, he did not personally waive his right to a jury determination of this fact. As the majority contends, a knowing waiver of a jury determination of an element must be personal and must be on the record. I would remand this case to the circuit court for a determination of whether Smith knowingly, voluntarily, and intelligently waived the right to a jury determination of the weight of the marijuana.
¶101 At first glance, this remedy appears to be at odds with Livingston and Hauk, cases the majority asserts it need not overrule. In Livingston, the circuit court conducted a bench trial without securing the defendant's personal, on-the-record jury waiver. Livingston, 159 Wis. 2d at 565. Relying on the language of Wis. Stat. § 972.02(1),[26] this court concluded that it could not conduct a harmless error inquiry and that it would be inappropriate to remand for an assessment of whether Livingston knowingly, intelligently, and voluntarily waived the right to a jury trial. Id. at 573. Rather, the Livingston court asserted, the only remedy under the statute was a new trial. Id.; see also Hauk, 257 Wis. 2d 579, ¶37.
¶102 The court's rationale in Livingston was based on a difference between constitutional guarantee of a jury trial and the language of Wis. Stat. § 972.02(1), which provides a procedure for waiving that right. Here, the majority's analysis casts doubt on Livingston's continued vitality. Although it contends in a footnote that Livingston need not be overruled, it undercuts the holding of that case by concluding that a violation of the statutory procedure does not necessarily require a new trial. Majority op., ¶62 n.19. If Livingston's interpretation of Wis. Stat. § 972.02(1) is no longer good law, a remand for an evidentiary hearing is an available remedy.
¶103 In this case, we cannot determine from the record whether Smith knowingly, voluntarily, and intelligently waived his right to a jury determination of the stipulated elements. Id., ¶57. There are certain parallels between this situation and the situation at issue in a Bangert case, where we cannot tell from the record whether the defendant knowingly, voluntarily, and intelligently waived the right to a jury determination of guilt when entering a guilty plea. See State v. Bangert, 131 Wis. 2d 246, 389 N.W.2d 12 (1986). If the court cannot determine from a plea colloquy whether the defendant knowingly, intelligently, and voluntarily waived the right to a jury determination of guilt, it is appropriate to remand for a postconviction evidentiary hearing. See id.
¶104 Under this circumstance, I would remand for a postconviction evidentiary hearing. At the hearing, the circuit court would assess whether Smith knowingly, voluntarily, and intelligently waived his right to a jury determination of all elements of the crime.
¶105 For
the reasons set forth above, I respectfully dissent.
¶106 I
am authorized to state that CHIEF JUSTICE SHIRLEY S. ABRAHAMSON joins this
dissent.
[1] State v. Smith, No. 2010AP1192-CR, unpublished slip op. (Wis. Ct. App. May 26, 2011).
[2] The Honorable Sue E. Bischel presiding.
[3] THC is the active ingredient in marijuana. State v. Buchanan, 2011 WI 49, ¶6, 334 Wis. 2d 379, 799 N.W.2d 775.
[4] Wisconsin Statutes section
961.41(1m) provides:
[I]t is unlawful for any person to possess, with intent to manufacture, distribute or deliver, a controlled substance . . . . Any person who violates this subsection is subject to the following penalties:
(h) [THC]. If a person violates this subsection with respect to [THC] . . . and the amount possessed, with intent to manufacture, distribute, or deliver, is: . . .
5. More than 10,000 grams . . . , the person is guilty of a Class E felony.
A Class E felony is punishable by a term of imprisonment no greater than 15 years. § 939.50(3)(e).
All subsequent references to the Wisconsin Statutes are to the 2005-06 version.
[5] Wisconsin Stat. § 939.05 provides:
(1) Whoever is concerned in the commission of a crime is a principal and may be charged with and convicted of the commission of the crime although the person did not commit it . . . .
(2) A person is concerned in the commission of the crime if the person:
(a) Directly commits the crime; or
(b) Intentionally aids and abets the commission of it; or
(c) Is a party to a conspiracy with another to commit it or advises, hires, counsels or otherwise procures another to commit it.
[6] Although Thomas is occasionally referred to in the record as "Terry," the State and Smith both spell the name "Terri," as did the court of appeals.
[7] Kortbein testified that she knew Smith by the name of "Frog," a name (in addition to "Froggy") by which other witnesses also knew him. For the sake of simplicity, we will refer to Smith by his real name even where the record reflects that the names "Frog" or "Froggy" were used at trial.
[8] The record does not resolve the discrepancy between the promised $500 and the $400 Kortbein testified she actually received.
[9] In defense of his proposed standard of review, Smith includes three full pages of citations to civil cases, encompassing fourteen decisions. There are sufficient criminal law cases that clarify our standard of review on the evidentiary question that we need not draw from civil law jurisprudence. Indeed, we believe such a comparison would be more distracting and confusing than helpful. Accordingly, we decline to address the standard of review that applies in civil matters.
[10] That Hall did not survive Poellinger is further evidenced by the fact that Hall has not been cited favorably by a single decision from any court in any jurisdiction subsequent to Poellinger's publication. Poellinger, by contrast, has been cited favorably by appellate courts well over a thousand times, including hundreds of citations by the Wisconsin Court of Appeals, both published and unpublished, and several approving citations by our own court, including one earlier this term. See State v. Hanson, 2012 WI 4, ¶15, 338 Wis. 2d 243, 808 N.W.2d 390; State v. Watkins, 2002 WI 101, ¶¶67-68, 255 Wis. 2d 265, 647 N.W.2d 244.
[11] Quoting the pattern jury instructions, the circuit court told the jury, "There is no magic way for you to evaluate testimony. Use your common sense and experience." WIS JI-CRIMINAL 50.
[12] Smith contends that a judicial examination of the totality of the evidence "is fundamentally at odds" with the due process requirement that courts "assess the historic facts" when inquiring into the validity of a conviction. Jackson v. Virginia, 443 U.S. 307, 318 (1979). It is a tautology that a sufficiency of the evidence challenge entails a review of the facts: the facts for purposes of judicial review of a trial come in no other form than the evidence; to determine whether the evidence was sufficient therefore obviously requires a consideration of the facts. But Jackson says nothing about how that assessment should take place, i.e., whether it should focus on each piece of evidence separately or on the entirety of the evidence. Indeed, the United States Supreme Court has recently applied Jackson in an opinion that considers the facts collectively, without weighing each piece individually. See Coleman v. Johnson, 566 U.S. __, 132 S. Ct. 2060 (2012) (per curiam) (finding the evidence sufficient to support conspiracy guilt under the Jackson standard).
[13] It is important to remember that we discuss conspiracy in this opinion only as a subset of party to the crime culpability. For that reason, we will henceforth refer to the culpability as PTC conspiracy. We do not analyze conspiracy as a freestanding offense.
[14] We also agree with the court of appeals that the same evidence that substantiated Smith's PTC conspiracy guilt could support a reasonable determination by the jury that he was guilty of aiding and abetting as a party to the crime. See State v. Rundle, 176 Wis. 2d 985, 990, 500 N.W.2d 916 (1993) (setting forth the requirements for proving aiding and abetting as a party to the crime).
[15] Of the money that Smith gave to Kortbein, the prosecutor asked rhetorically during her closing argument, "Why else would he pay her" if not in compensation for receiving the drugs. The defense never offered to the jury an alternative reason.
[16] Smith makes much of the purported ambiguities in Mehlhorn's statement at trial that Smith acknowledged to him that he had been involved in "a marijuana thing with a girl" but was not worried about it "[b]ecause it was his word against hers." As our discussion above indicates, we believe there was ample evidence to sustain Smith's conviction without that testimony. Nevertheless, we note that while "it was possible" that Smith's alleged statements did not represent an admission of complicity in the criminal enterprise (but rather, as Smith essentially contends, a reference to the prosecution itself), the jury was entitled to draw a reasonable inference to the contrary, especially given the numerous other pieces of evidence that weighed far more strongly toward a finding of guilt.
[17] The decision to stipulate in Smith's case was clearly made to avoid potential prejudice. As defense counsel remarked to the circuit court, there was a concern that the sight of such a large quantity of drugs would "arouse the jury's sense of . . . horror or . . . provoke its . . . instinct to punish."
[18] In Wisconsin, the harmless
error rule is codified in Wis. Stat. § 805.18, which provides:
(1) The court shall, in every stage of an action, disregard any error or defect in the pleadings or proceedings which shall not affect the substantial rights of the adverse party.
(2) No judgment shall be reversed or set aside or new trial granted in any trial or proceeding on the ground of selection or misdirection of the jury, or the improper admission of evidence, or for error as to any matter of pleading or procedure, unless in the opinion of the court to which the application is made, after an examination of the entire action or proceeding, it shall appear that the error complained of has affected the substantial rights of the party seeking to reverse or set aside the judgment, or to secure a new trial.
(3)
[19] Our conclusion that Neder and Harvey effectively overruled Villarreal is bolstered by the fact that Harvey explicitly overruled State v. Leist, 141 Wis. 2d 34, 414 N.W.2d 45 (Ct. App. 1987), a case relied upon by Villarreal for the very issue under consideration. State v. Harvey, 2002 WI 93, ¶35 n.10, 254 Wis. 2d 442, 647 N.W.2d 189 (overruling Leist in part); State v. Villarreal, 153 Wis. 2d 323, 331, 450 N.W.2d 519 (relying on Leist). We note that Villarreal is overruled only with respect to its holding that a harmless error analysis is inappropriate when a court erroneously finds a fact that should have been found by the jury. It remains good law with respect to its unrelated holdings. See Blum v. 1st Auto & Cas. Ins. Co., 2010 WI 78, ¶42, 326 Wis. 2d 729, 786 N.W.2d 78 ("hold[ing] that when the supreme court overrules a court of appeals decision, the court of appeals decision no longer possesses any precedential value, unless this court expressly states otherwise"). The State argues that State v. Livingston, 159 Wis. 2d 561, 573, 464 N.W.2d 839 (1991) and State v. Hauk, 2002 WI App 226, ¶32, 257 Wis. 2d 579, 652 N.W.2d 393 must be overruled. However, those cases involved different factual circumstances than those at issue here. We therefore decline to address them. See Miller Brands-Milwaukee, Inc. v. Case, 162 Wis. 2d 684, 696, 470 N.W.2d 290 (1991) (reiterating that the court resolves the facts before it, and does not issue advisory opinions or address hypothetical facts).
[20] The dissent suggests that it is inconsistent of us to conclude both that Smith had a constitutional right to a jury determination of the drug quantity, and that the jury's failure to find that quantity was harmless error. Dissent, ¶77 ("[A]fter setting forth its soaring language [affirming Smith's constitutional right], the majority does an about face" in finding the error harmless). If it were inconsistent to affirm a constitutional right and then find a failure to observe it harmless, however, the harmless error test would be meaningless.
[21] One alternative to finding harmless error discussed by the parties and the court of appeals is a remand with instructions to the circuit court that Smith's sentence be reduced to the lowest sentence permitted by the statute. Villarreal is the only published decision in Wisconsin that found such a remedy appropriate in circumstances similar to these. Villarreal, 153 Wis. 2d at 332. Its holding in that regard was premised on a refusal to apply harmless error analysis and is therefore inapplicable here, given that we are compelled by precedent to conduct a harmless error analysis.
[22] Additionally, I note that the test for harmless error has been stated in at least two ways by this court. In State v. Vanmanivong, 2003 WI 41, ¶35, 261 Wis. 2d 202, 661 N.W.2d 76, the court stated the test as follows: "whether it appears beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained." By contrast, in State v. Tucker, 2003 WI 12, ¶26, 259 Wis. 2d 484, 657 N.W.2d 374, the court stated the following test: "an error is harmless if it is clear beyond a reasonable doubt that a rational jury would have found the defendant guilty absent the error."
[23] The fact that Penn Park was a city park could be verified by consulting publications of the City of Madison Parks Division. State v. Harvey, 2002 WI 93, ¶48 n.13, 254 Wis. 2d 442, 647 N.W.2d 189.
[24] According to the majority, my analysis implies that there would be a harmful error if Smith entered a knowing, intelligent, and voluntary waiver of his right to a jury determination of the weight of the marijuana. Majority op., ¶72. To the contrary, had Smith validly waived this right, there would be no error at all, and his conviction would stand.
[25] As an additional limitation, I note that the Harvey and Neder cases both involve a situation where the trial court erred by removing just one element from the jury's consideration. The Neder Court explained: "We have often applied harmless-error analysis to cases involving improper instructions on a single element of the offense." Neder v. United States, 527 U.S. 1, 9 (1999). In his dissent to the Neder decision, Justice Scalia wrote that under the Court's reasoning, "We know that all elements cannot be taken from the jury, and that one can." He asked, "How many is too many[?]" Without some limitation on the number of elements that can be taken from the jury, the harmless error doctrine could nullify the jury trial right. Id. at 33 (Scalia, J. dissenting).
[26] "Except as otherwise provided in this chapter, criminal cases shall be tried by a jury . . . unless the defendant waives a jury in writing or by statement in open court or under s. 967.08(2)(b), on the record, with the approval of the court and the consent of the state." Wis. Stat. § 972.02(1).