Lead Opinion
ON PETITION TO TRANSFER
Appellant Thomas Moore appeals his convictions for rape
I. Facts
On September 14, 1987, the victim in this case, whom we shall refer to as A.B., was driving home after attending an evening class. As she traveled on a dark and desolate portion of highway, a car appeared in her rearview mirror. Its headlights repeatedly brightened and dimmed, and A.B. thought she saw a red light on the vehicle. Believing it was a police car, she pulled over, and it drew up behind her.
A figure left the car. As the stranger approached, he shined a flashlight into her back seat and then into her eyes. He asked her if she knew how fast she had been driving and demanded her Hcense and registration. She placed the documents in his exposed hands. He ordered her to move her car onto a side road, and she complied. A.B. then exited her car at the man's request. With the flashlight focused in her eyes, he tested her sobriety and proceeded to "arrest"
The man drove around for a time before stopping to kiss A.B. and fondle her breasts. Removing her pants and hitting her legs until she uncrossed them, the assailant forced her to submit to cunnilingus, and then he raped her. Later, when A.B. refused to perform fellatio, he strangled her into submission. Then he raped her twice more before cutting her bindings and dumping her near her car. Police arrested Moore for the crimes, and the State charged him with one count of rape and one count of forcible oral sex,
At trial, the key issue was the identity of the police impersonator. A.B. provided a general physical description, but because of the flashlight and blindfold, she could not visually identify Moore as her assailant. The prosecution showed that hair and body fluids recovered from A.B. were consistent with specimens taken from Moore. The State also introduced evidence that a latent fingerprint lifted from A.B.'s vehicle registration matched Moore's. In defense, Moore presented three alibi witnesses: his ex-wife, his girlfriend, and a friend. Moore did not testify.
The jury convicted Moore on both counts. The trial judge sentenced him to twenty years for rape and to a consecutive term of twelve years for forcible oral sex. Moore makes the following claims of error:
(1) the prosecutor referred to Moore's decision not to testify,
(2) the prosecutor committed various acts of misconduct,
(8) the warrant under which the police obtained biological specimens from him was defective, and
(4) the evidence was insufficient to support the convictions.
II. The No-Comment Rule
Moore requests reversal because the prosecutor referred to his decision not to testify. In response to Moore's criticism that the State's evidence was imprecise, the prosecutor remarked:
when you look at the defendant's case and he chose to put on a case in this, he didn't choose to testify which is his right, and he certainly doesn't, isn't compelled to testify but he did choose to put on witnesses, that by examination of all the evidence, the more precise case which is [the State's] is not a matter of science but beyond a reasonable doubt.
(R. 1684-85.) Defense counsel moved for a mistrial, but the court denied the motion. Instead, the court instructed the jurors to disregard the remark and polled them.
This remark literally referred to Moore's silence. In light of the prosecutor's immediate effort at correction, however, we
A. Propriety of the Remark
At common law, a person with an interest in the outcome of a civil or criminal proceeding was not competent to testify. 3 William Blackstone, Commentaries on the Laws of England 369 (ed. John L. Wendell 1852) (stating that interested parties could not testify in civil proceedings); 4 id. at 356 (stating that civil evidence rules applied with few exceptions to criminal proceedings); see Jacobs v. Finkel,
The rule against prosecutorial comment on a defendant's decision not to testify was created in conjunction with the removal of disqualificatiоn. Defendant competency was principally opposed by those who feared it would lead to coerced self-incrimination. Id. at 578-80,
Indiana was part of this trend. Our legislature codified the common law disqualification of interested witnesses in the 1852 code. See Note, Testimonial Privilege and Competency in Indiana, 27 Ind. L.J. 256, 258 n. 5 (1951). The disqualification rule in civil proceedings applied only to the parties themselves and a few other classes of interested persons. 2 Rev. Stat. Ind., pt. 2, ch. 1, § 288, at 80 (1852). Our statutes followed Blackstone in providing that rules of civil competency would apply in criminal proceedings, but the victim and the defendant's accomplices, with their consent, would be compe
A decade later, the legislature eliminated altogether the disqualification of parties in civil litigation. Act of Mar. 11, 1861, § 2, 1861 Ind. Acts 47, 51-52. This Court held that even though the eriminal competency provision continued to incorporate the civil competency rules by reference, the legislature intended the eriminal rules to incorporate the civil rules as they had existed in 1852. The intervening abolition of party disqualification in civil actions thus did not extend to defendants in criminal proceedings. Hoagland v. State,
A decade later, the legislature abolished the disqualification of eriminal defendants. See Act of Mar. 10, 1873, sec. 1, 1871 Ind. Acts 227, 227-28.
if the defendant do not testify, his failure to do so shall not be commented upon, or referred to in the argument of the couse, nor commented upon, referred to or in any manner considered by the jury trying the same, and it shall be the duty of the court, in such case, to instruct the jury as to their duty under the provisions of this section.10
1873 Act, see. 1 (emphasis added).
Nevertheless, this Court soon limited the impact of the rule of absolute silence by distinguishing between direct and indirect references. Though direct references generally violated the no-comment statute, they did not necessarily mandate reversal. See Knopp v. State,
Spurred by the U.S. Supreme Court's holding in Griffin that prosecutorial comments on a defendant's silence violated the Fifth Amendment, federal courts developed a less formalistic rule. Apparently originating in the Eighth Circuit as a rule of statutory construction, Morrison v. United States,
Indiana's neighbors have also applied standards similar to the Morrison-Knowles test. See, e.g., People v. Arman,
In Rowley v. State,
"[A] comment made by a prosecuting attorney, directly or indirectly, which is subject to interpretation by a jury as a comment upon failure of a defendant to testify has been strictly regarded as an impingement on the substantial right of the defendant."
Id. (quoting Williams v. Wainwright,
While the Rowley standard focuses on the possible ways in which a jury might interpret a prosecutor's remark, some courts have used the Morrison-Knowles test to probe, in addition, the subjective intent of a prosecutor. See, e.g., United States v. Tarazon,
Under Rowley, the propriety of a prosecutor's remark does not turn on a inquiry into his or her subjective motivation. The purpose of the no-comment rule is to protect a defendant's right to remain silent by preventing prosecutors from "making its assertion costly." Griffin,
The U.S. Supreme Court, however, has declined to give Griffin an absolutist reading and has rejected the argument that аll "direct" references are improper. United States v. Robinson,
'We adhere to our decision in Row-ley, as civreumseribed by the subsequent holding in Robinson. The Fifth Amendment privilege against compulsory self-incrimination is violated when a prosecutor makes a statement that is subject to reasonable interpretation by a jury as an invitation to draw an adverse inference from a defendant's silence.
B. Harmless Error
Even if we thought the statement by Moore's prosecutor was improper under the federal Constitution, we would not reverse the convictions. A court may affirm a conviction despite an improper prosecutorial comment if it can "declare a belief that [the comment] was harmless beyond a reasonable doubt." Chapman v. California,
Most concretely, courts have looked for obvious indications of influence or impartiality in the behavior of the jury. For example, the return of not-guilty verdicts in matters that would have been equally affected by an improper comment suggests that the comment was not prejudicial. See LeQuire,
Courts have also developed less direct approaches to the question of prejudice. They have analyzed the probability that an improper comment altered the jury verdict. This probability is generally a function of three factors: the persuasiveness of the comment, the relative strength of the State's case, and the effectiveness of the trial judge's response to the comment. See Chapman,
Persuasiveness is relevant because the central issue is whether a comment has prejudiced the jury. Obviously, statements that implore jurors to infer guilt from silence are the greatest threat. See Anderson v. Nelson,
Similarly, extensive or repetitive comments are generally more serious than a single, isolated statement. Anderson,
In addition to the persuasiveness of a comment, a court also should consider the strength of the State's case. Courts have sometimes resolved the harmless error question based solely on the "overwhelming" nature of the evidence against the defendant. Lee v. State,
Finally, a court must assess the effectiveness of any corrective measures taken by the trial judge. In Blume,
[it must be presumed that the jury are [people] of sense, and that they will obey the admonition of the court when told that they must not permit the reference to the failure of the defendant to testify, to influence their minds.... We do not think that [an improper comment] should, in all cases, have the extreme effect of arresting the cause, and compelling the court to grant a new trial, where reasonable and prompt measures are taken by the court to prevent any injurious effect from such unprofessional and indefensible conduct.
Id. at 356,
Therefore, where a prosecutor makes an improper comment on a defendant's si-lenee, the State must demonstrate beyond a reasonable: doubt that the remark-with its rhetorical impact weighed against the closeness of the case and discounted by the corrective effect of judicial action-did not alter the jury's verdict.
Turning to the facts of Moore's case, we think the persuasive caliber of the prosecutor's remark was minimal at best. Although it was a direct statement, it was isolated, inadvertent, and muddled. It occurred during a defense of the precision of the State's evidence and was thus not part of a coordinated attack on Moore's case. The prosecutor immediately explained that Moore had a right to refrain from testifying.
By contrast, the State's case against Moore was fairly strong. The prosecution introduced hair and fluid evidence consistent with Moore's guilt. Although the victim could not visually identify him, a fingerprint found on her vehicle registration, which the assailant had handled before the forcible sex acts, matched Moore's fingerprint.
Finally, we note that with Moore's consent the trial judge took immediate and responsible action to mitigate any potential prejudice. She not only gave the jury a curative instruction but also polled the jurors about their ability to disregard the remark.
III. Prosecutorial Misconduct
Moore alleges a number of incidents of prosecutorial misconduct. In evaluating these claims we must decide, first, whether the prosecutor engaged in misconduct and, if so, whether it subjected the dеfendant to "a grave peril" of conviction because of improper influence.
Moore's primary complaint is that three days before opening arguments the prosecutor served Moore's counsel with a witness list containing eighteen previously undisclosed names. Ultimately, however, the State called only a few of the new witnesses, and they were either already known to the defense or were called merely to prove chain of custody. Further, while the trial judge refused to exclude these witnesses, she gave the defense generous recesses during which to interview them. She concluded that the State's conduct, though "sloppy and negligent," was not "flagrant and deliberate." (R. 959.) We agree thаt in the absence of blatant or deliberate conduct, a continuance, not suppression, is the appropriate remedy. Myers v. State,
Moore raises a few other claims of prose-cutorial misconduct, but we deem none of them preserved for appeal due to a lack of contemporaneous objections.
IV. Suppression of Evidence
Moore next challenges the warrant under which police obtained fingerprint, hair, blood, and other biological samples from him. He contends that the police affidavit supporting the warrant request contained false and misleading statements and that the judge pro tempore who issued the warrant had failed to take an oath of office the day he issued it. Moore raised these issues in a pretrial suppression motion, and he lost. When the prosecutor sought to introduce the evidence at trial, Moore's counsel unsuccessfully objected, but the objection was based solely on chain-of-custody grounds.
To preserve a suppression claim a defendant must make a contemporaneous objection that is sufficiently specific to alert the trial judge fully of the legal issue. Smith v. State,
V. Sufficiency of the Evidence
Finally, Moore contends that the evidence was not sufficient to support his conviction. In reviewing this claim, we will neither weigh evidence nor judge witness credibility. We will examine the evidence that supports the verdict, together with any reasonable inferences one could draw from it, to determine whether there was sufficient probative evidence to support the convictions. James v. State,
A.B. gave a physical description of her attacker, and it generally suited Moore. Fluid evidence recovered from AB. was broadly consistent with Moore. Hairs that were also recovered from A.B. were similar to Moore's hair. Most importantly, an FBI specialist lifted a latent fingerprint from A.B.'s vehicle registration, which the assailant had handled, and the print matched Moore's fingerprints. Moore's principal argument against an inference of guilt from this evidence was a wholly unsubstantiated claim that, while he was in police custody, someone somehow tricked him into touching the vehicle registration.
This evidence was sufficient. In Mediate v. State,
In this case, Moore's fingerprint turned up on A.B.'s vehicle registration, a document to which few persons would ever have legitimate access, but which the assailant had handled with his bare hands. Furthermore, we believe Moore's suggestion that someone caused him to touch the registration in a shuffle of papers is gross speculation that, absent any support, lies in the realm of the fanciful.
We hold that the evidence was clearly sufficient for a reasonable juror to conclude that the man who forced A.B. to perform oral sex and who raped her three times was Thomas Moore.
VI. Conclusion
A jury concluded that the man who assaulted A.B. was Thomas Moore. Moore's claims of error are to no avail. The conviec-tions are affirmed.
Notes
. Ind.Code Ann. § 35-42-4-1 (West Supp.1995).
. Ind.Code Ann. § 35-42-4-2 (West ("criminal deviate conduct"). 1986)
. This count was based solely on the act of fellatio.
. Moore had been convicted of criminal confinement and atteropted forcible oral sex based on a similar incident that occurred in Madison County in Octobеr 1986. The confinement conviction was later affirmed, but the oral sex conviction was reversed because of an erroneous jury instruction. Moore v. State, No. 48A02-8909-CR-472, 573 N.EB.2d 483 (Ind.Ct.App. May 29, 1991). In the present case, the trial judge ruled that the State could impeach Moore with the confinement conviction should he testify but that it could not introduce extrinsic evidence of the oral sex offense. On retrial in the Madison County matter, Moore was again convicted of attempted forcible oral sex, but the conviction was later reversed because the trial judge had erroneously admitted evidence of Moore's conviction in the present lease. Moore v. State,
. In reversing Moore's convictions the Court оf Appeals questioned the effectiveness of the judge's polling of the jurors. She had asked, "Can you assure me that the Prosecutor's comment about testifying will not be held against the defendant?" The question asked jurors for an affirmative assurance that they would not consider the remark. Literally, the appropriate answer would have been "Yes," but each juror answered, "No." Absolutely nothing in the record, however, indicates that anyone present-particularly the judge or defense counsel-took the jurors to mean that they were all hopelessly biased. The only reasonable interpretation of the incident is that everyone believed each juror to say, No, I will not hold the remark against the defendant.
. Moore argues that the comment was part of an intentional scheme to prejudice the jury. This contention mischaracterizes the record.
. Criminal defendants had previously been allowed to comment during trial, but English courts repudiated the practice around the time that the freedom from compulsory self-incrimination emerged. See 2 John Henry Wigmore, Evidence § 575, at 809 (James H. Chadbourn ed.1979). A rule disqualifying parties from testifying in civil trials had arisen at an earlier time. . See id. at 806-07. The recognition of the freedom from compulsory self-incrimination may have encouraged the contemporaneous disapproval of defendant comments in criminal trials. See De Luna v. United States,
. Concerns about self-incrimination inspired these policies, and courts later recognized a constitutional dimension to the no-comment rule. * Our Court recognized the no-comment rule as falling within the protection of the Indiana Bill of Rights early in this century. Keifer v. State,
. Formerly codified at Ind.Code § 35-1-31-3 (1971) (repealed 1981).
. We invalidated the requirement of judicial instruction on grounds it interfered with a defendant's autonomy to decide whether to remain silent. See Priest v. State,
. In Wilson v. United States,
It is not every one who can safely venture on the witness stand though entirely innocent of the charge against him. Excessive timidity, nervousness when facing others and attempting to explain transactions of a suspicious character, and offenses charged against him, will often confuse and embarrass him to such a degree as to increase rather than remove prejudices against him. It is not every one, however honest, who would therefore willingly be plaсed on the witness stand. The statute, in tenderness to the weakness of those who from the causes mentioned might refuse to ask to be a witness, particularly when they may have been in some degree compromised by their association with others, declares that the failure of a defendant in a criminal action to request to be a witness shall not create any presumption against him.
. In fact, Morrison itself seems to suggest this distinction.
. This Court has also occasionally construed Griffin in a similar way. See, eg., Parsons v. State,
. The Indiana Bill of Rights also protects a defendant's right to remain silent at trial, Ind. Const. Art. I, § 14; seе Keifer,
. Under our prior decisions, a trial judge may not constitutionally give a curative instruction over a defendant's objection. See Williams v. State,
. The grave peril inquiry focuses not on the egregiousness of the act but on "the probable persuasive effect of the misconduct on the jury's decision." Robinson v. State,
. Moore preserved his claim that the prosecutor's reference to his decision not to testify was misconduct, but this allegation is largely based on his contention that the statement was intentional. As noted above, we disagree.
. We have recently made clear that objections based on a judge pro tempore's lack of аuthority do not involve the jurisdiction of the court and are waivable. Floyd v. State,
Concurrence Opinion
concurring.
I concur that in this case the prosecutor's reference to defendant's failure to testify was harmless error. I also concur that the prosecutor's reference was inadvertent and that the trial court well handled the situation in its polling and admonishment of the jury.
I write to expand slightly on the majority's treatment of United States v. Robinson,
Neither Robinson in particular, nor federal constitutional law applicable to the states in general, gives a prosecutor carte blancke to refer to a defendant's failure to testify so long as the prosecutor does not invite the jury to infer guilt from it. The general rule remains that prosecutors must not refer to defendants' failure to testify. Griffin v. California,
