PEOPLE v SHAFIER
Docket No. 135435
Supreme Court of Michigan
July 1, 2009
483 Mich. 205
Argued January 21, 2009 (Calendar No. 2)
Harold E. Shafier III was charged in the Allegan Circuit Court, George R. Corsiglia, J., with three counts of first-degree criminal sexual conduct (CSC) and two counts of second-degree CSC on the basis of allegations that he had sexually abused his adopted minor daughter. At trial, the prosecution made multiple, direct references to the fact that the defendant had remained silent after being arrested and advised of his rights under Miranda v Arizona, 384 US 436 (1966). The defendant appealed his convictions, claiming that the prosecutor‘s references to his post-arrest, post-Miranda silence violated his Fourteenth Amendment due process rights under Doyle v Ohio, 426 US 610 (1976). The Court of Appeals, SCHUETTE, P.J., and O‘CONNELL, J. (DAVIS, J., dissenting), affirmed, holding that, although the prosecutor‘s repeated references to the defendant‘s silence amounted to constitutional error, reversal was not required because the defendant had not established that the error affected his substantial rights. 277 Mich App 137 (2007). The Supreme Court granted the defendant‘s application for leave to appeal. 480 Mich 1193 (2008).
In an opinion by Justice CAVANAGH, joined by Chief Justice KELLY and Justices WEAVER, CORRIGAN, MARKMAN and HATHAWAY, the Supreme Court held:
The prosecution‘s repeated references to the defendant‘s post-arrest, post-Miranda silence violated the defendant‘s constitutional due process rights under the United States Constitution. Because the violation amounted to plain error that affected the defendant‘s substantial rights and seriously affected the fairness and integrity of the trial, his conviction must be reversed and the case must be remanded to the trial court for further proceedings.
1. Under Doyle and its progeny, references to a defendant‘s post-arrest, post-Miranda silence are generally prohibited unless the reference was so minimal that the silence was not submitted to the jury as evidence from which it could draw any permissible inference. In this case, the prosecution made repeated references to the defendant‘s silence throughout the trial, both as substantive evidence of the defendant‘s guilt and for purposes of impeachment, thereby violating the defendant‘s federal due process rights.
2. Because the Doyle violation in this case is an unpreserved constitutional error, it is reviewed for plain error to determine whether the error warrants reversal. First, the prosecution‘s references to the defendant‘s post-arrest, post-Miranda silence constituted error, and the defendant did not waive his rights. Second, this error was plain, as it was an obvious violation of the defendant‘s due process rights under Doyle and its progeny. Third, the defendant established that the error was prejudicial, considering the frequency and extent of the prosecutor‘s comments, the extent to which the prosecutor attempted to tie the defendant‘s silence to his guilt, and the overall strength of the case against the defendant and the degree to which the jury‘s assessment of the evidence might have been affected by the prosecutor‘s references to the defendant‘s silence. Fourth, this is the sort of error that compromises the fairness, integrity, and truth-seeking function of a jury trial. The violation of the defendant‘s due process rights rendered the trial fundamentally unfair and cast a shadow on the integrity of our state‘s judicial processes. Therefore, reversal is warranted.
Chief Justice KELLY, concurring, wrote separately to reiterate her view that, in cases involving unpreserved constitutional error, a defendant‘s conviction should be affirmed only if the reviewing court is satisfied that the error is harmless beyond a reasonable doubt. She further stated that the refusal to find error requiring reversal under the plain-error standard set forth in People v Carines, 460 Mich 750 (1999), in cases where there is a “wealth of incriminating evidence” essentially exempts criminal defendants from the constitutional right to due process of law, and therefore that standard should be reexamined at the earliest possible moment.
Justice YOUNG, concurring, joined all but footnote 14 of the majority opinion, stating that the views contained therein regarding the plain-error analysis of People v Carines would have been better placed in a concurring statement.
Reversed and remanded to the trial court for further proceedings.
- CONSTITUTIONAL LAW — CRIMINAL LAW — RIGHT TO REMAIN SILENT — POST-ARREST SILENCE — EVIDENCE OF POST-ARREST SILENCE.
The prosecution generally may not refer at trial to the silence of a defendant who has been arrested and informed of his or her right to remain silent (
US Const, Am V ,XIV ). - CONSTITUTIONAL LAW — CRIMINAL LAW — RIGHT TO REMAIN SILENT — POST-ARREST SILENCE — EVIDENCE OF POST-ARREST SILENCE — PLAIN-ERROR REVIEW — PREJUDICE TO A CRIMINAL DEFENDANT.
To determine whether the prosecution‘s improper use at trial of a defendant‘s silence constitutes prejudicial plain error, courts should consider the extent of the prosecution‘s references to the silence, the extent to which the prosecution attempted to tie the defendant‘s silence to his or her guilt, and the overall strength of the case against the defendant when considered in light of the degree to which the jury‘s assessment of the evidence might have been affected by the prosecution‘s
references to the defendant‘s silence.
Michael A. Cox, Attorney General, B. Eric Restuccia, Solicitor General, Frederick Anderson, Prosecuting Attorney, and Douglas E. Ketchum, Assistant Prosecuting Attorney, for the people.
Christine DuBois for the defendant.
Amicus Curiae:
John Hallacy, Kym L. Worthy, and Timothy A. Baughman for the Prosecuting Attorneys Association of Michigan.
CAVANAGH, J. We granted leave to appeal in this case to determine whether the prosecution‘s references to defendant‘s post-arrest, post-Miranda1 silence violated defendant‘s constitutional due process rights, and, if so, whether defendant is entitled to a new trial.2 We
hold that defendant‘s due process rights were violated. Further, the violation amounted to plain error that affected defendant‘s substantial rights and seriously affected the fairness and integrity of the trial. We reverse defendant‘s conviction and remand to the trial court for further proceedings.
I. BASIC FACTS AND PROCEEDINGS
Defendant, Harold E. Shafier III, was charged with three counts of first-degree
At trial, AS testified that defendant sexually assaulted her on a daily basis from July 2004 until he was arrested. She testified that the abuse escalated over time from kissing and touching to digital penetration and oral sex.3 She listed a few settings where the abuse occurred but initially had some difficulty describing
specific incidents. AS described one instance in which one of her sisters walked in while defendant was performing oral sex on AS. The sister, age 11, testified and corroborated this story, although there were discrepancies between their accounts.4 Another sister, age 17, testified that she once walked into the family‘s barn and found AS and defendant standing close to each other and that it appeared to her that they were about to kiss or had just been kissing.5 AS and her sisters testified that defendant would sometimes take one or more of the girls to the store with him upon their request and buy everyone candy, but that he probably bought AS the most candy. Defendant‘s wife testified that she thought defendant had been favoring AS by taking her shopping and visiting her school.
Defendant testified in his own defense and adamantly maintained that he had never sexually assaulted any of his daughters. He denied the factual circumstances of the specific allegations that AS and her sisters made. He stated that it would have been physically impossible for the alleged incident of oral sex to have occurred in the manner described by AS and her sister because the table on which it was supposed to have occurred was covered with boxes at the time. Defendant also denied favoring AS. He stated that he had begun stopping at AS‘s school to
check her progress because she was the only child not doing well in school. He testified that, after school, he often took one or more of the children shopping with him and would buy candy for any of the children who requested it.
Defendant testified that he suspected that his wife encouraged their daughters to make false allegations against him because she was jealous of the time he was spending with their daughters. It is undisputed that up to and during the period of the alleged incidents, the relationship
At trial, the prosecutor referred to defendant‘s post-Miranda silence multiple times, including in his opening and closing statements, direct and redirect examinations of the arresting officer, and cross-examination of defendant. Defense counsel objected during the prosecutor‘s cross-examination of defendant, but the basis for the objection was unclear.
After two hours of deliberation, the jury announced that it was deadlocked. The court instructed the jury to continue to deliberate. On the second day, after rehearing portions of the trial testimony, the jury acquitted defendant of three counts of first-degree criminal sexual conduct and convicted him of two counts of second-degree criminal sexual conduct.
Defendant appealed, and a divided Court of Appeals panel affirmed his convictions. People v Shafier, 277 Mich App 137; 743 NW2d 742 (2007). The major-ity held that the prosecutor‘s use of defendant‘s post-Miranda silence in his case-in-chief violated defendant‘s constitutional rights, reasoning that the prosecutor‘s references “were not inadvertent and they were numerous” and that “the prosecutor asked the jury to infer that defendant was guilty because he did not take the affirmative step of questioning the arresting officer... or declaring his innocence....” Shafier, 277 Mich App at 140, 142-143. The majority held that defendant was not entitled to a new trial, however, because defendant did not establish that the violation was plain error affecting his substantial rights. Id. at 143-144. The Court of Appeals dissent would have granted defendant a new trial because “[t]here is no way to know what effect those breaches had on the jurors’ minds, particularly considering the jurors’ initial announcement that they were deadlocked.” Id. at 145 (DAVIS, J., dissenting). This Court granted defendant‘s application for leave to appeal.
II. STANDARD OF REVIEW
Defendant raises an unpreserved claim of constitutional error. Constitutional questions are reviewed de novo. Sidun v Wayne Co Treasurer, 481 Mich 503, 508; 751 NW2d 453 (2008). This Court reviews the effect of an unpreserved constitutional error under the plain-error standard. People v McNally, 470 Mich 1, 5; 679 NW2d 301 (2004).
III. ANALYSIS
A. VIOLATION OF DEFENDANT‘S DUE PROCESS RIGHTS
Defendant argues that his constitutional due process rights were violated under Doyle v Ohio, 426 US 610; 96 S Ct 2240; 49 L Ed 2d 91 (1976), and its progeny. We hold that the prosecution‘s repeated references to defendant‘s post-arrest, post-Miranda silence violated defendant‘s due process rights under the United States Constitution.6
1. RULE OF DOYLE v OHIO AND ITS PROGENY
The United States Constitution guarantees that no person “shall be compelled in any criminal case to be a witness against himself.”
ment of the United States Constitution.8 See Wainwright, 474 US at 290-291; Doyle, 426 US at 618-620.
The United States Supreme Court has explained the rationales behind the constitutional prohibition against the use of a defendant‘s post-arrest, post-Miranda silence. To begin with, a defendant‘s silence may merely be the defendant‘s invocation of the right to remain silent, as opposed to a tacit acknowledgement of guilt. “[E]very post-arrest silence is insolubly ambiguous....” Doyle, 426 US at 617. Further, Miranda warnings provide an implicit promise that a defendant will not be punished for remaining silent. Id. at 618. Once the government has assured a person of his right to remain silent, “breaching the implied assurance of the Miranda warnings is an affront to the fundamental fairness that the Due Process Clause requires.” Wainwright, 474 US at 291.
Consistent with these rationales, a defendant‘s post-arrest, post-Miranda silence cannot be used to impeach a defendant‘s exculpatory testimony, see Doyle, or as direct evidence of defendant‘s guilt in the prosecutor‘s
case-in-chief, see Wainwright, 474 US at 292-294.9
In general, any reference to a defendant‘s post-arrest, post-Miranda silence is prohibited, but in some circumstances a single reference to a defendant‘s silence may not amount to a violation of Doyle if the
reference is so minimal that “silence was not submitted to the jury as evidence from which it was allowed to draw any permissible inference....” Greer v Miller, 483 US 756, 764-765; 107 S Ct 3102; 97 L Ed 2d 618 (1987). See also People v Dennis, 464 Mich 567, 577-580; 628 NW2d 502 (2001). For example, in Greer, there was no Doyle violation where the defense counsel immediately objected to a question by the prosecution about defendant‘s post-arrest, post-Miranda silence, and the trial court twice gave a curative instruction to the jury.11 Greer, 483 US at 759, 764-765.
2. FURTHER BACKGROUND
In this case, the prosecutor made repeated references to defendant‘s post-arrest, post-Miranda silence. In the prosecutor‘s opening statement, he said that the jury would hear that after defendant was arrested, he “didn‘t say anything, not a word. [The officer] told him why he was being arrested, he was arrested and no statements were made.” Next, in the presentation of the case-in-chief, the prosecutor deliberately elicited testimony from the arresting officer regarding defendant‘s post-arrest, post-Miranda silence. The following exchange occurred regarding the circumstances of the arrest:
A. [The Arresting Officer] I asked [defendant] if he knew what we were here about—what we were there about and he stated he did not. I then placed him under arrest and informed him he was under arrest for criminal sexual conduct, advised him of his Miranda rights which is the right to remain silent and I‘m sure we‘ve all seen that, and I placed him in the rear of my patrol vehicle. He did not make any statements to me prior to getting to jail.
Q. [The Prosecutor] So he never made any statements to you. He was fully aware of what you were arresting him for?
A. Not reference [sic] the criminal sexual conduct, correct.
On cross-examination, the defense attorney asked the arresting officer questions that clarified that the officer did not ask defendant any questions after arresting him and giving him his Miranda warnings. On the prosecutor‘s redirect examination, the prosecutor followed up with additional questions regarding defendant‘s silence:
Q. [The Prosecutor] [Defendant] didn‘t make any state-ments about the CSC charge, did he?
A. [The Arresting Officer] No, he did not.
Q. Never asked you about it?
A. No, he did not.
After the prosecutor concluded presentation of his case, defendant testified in his own defense. Defense counsel asked why defendant was silent after he was given his Miranda warnings, and defendant stated that it was because he “watched a lot of TV and with something like that I didn‘t know what to say, I mean I was shocked...so I just kept my mouth shut and I was going to wait until I talked to somebody.”12 When the prosecutor cross-examined defendant, the following exchange occurred:
Q. [The Prosecutor] [Y]ou didn‘t say a single word about being arrested for criminal sexual conduct. Is that right?
A. [Defendant] When I got to the police station—
Q. Yes or no. Is that right?
A. Yes.
Finally, the prosecutor began his closing argument by highlighting the significance of defendant‘s silence. The prosecutor stated:
What we heard is that the defendant made no state-ments. We heard that he didn‘t ask Officer LaBonte any questions. Why? You‘re being arrested for CSC. You‘re being taken out of your home on a Sunday night. Why? Why? Because between June of 2004 and January of 2005 the defendant had been making his daughter do things that no
person speaks about. Adults don‘t even talk about it between themselves.
3. APPLICATION OF DOYLE v OHIO AND ITS PROGENY
It is clear that the prosecution‘s use of defendant‘s silence violated defendant‘s due process rights under the federal constitution.
The prosecutor‘s examination of the arresting officer established that the silence to which the prosecutor referred occurred post-arrest and post-Miranda. A ref-
A. Just watched a lot of TV and with something like that I didn‘t know what to say, I mean I was shocked that he even said that [I was being arrested for CSC] so I just kept my mouth shut and I was going to wait until I talked to somebody.
Q. Was he [the officer] cooperative with you in talking with you or was he pretty short with you?
A. He just told me what I had to—what he told, what he felt I had to know and that was it, yeah.
Q. Okay. So, he wasn‘t volunteering information.
A. No.
erence to a defendant‘s post-arrest, post-Miranda silence generally constitutes a Doyle violation unless the reference was so minimal that “silence was not submitted to the jury as evidence from which it was allowed to draw any permissible inference....” Greer, 483 US at 764-765. In this case, the prosecution clearly crossed this line by repeatedly using defendant‘s post-arrest, post-Miranda silence as evidence of defendant‘s guilt in its case-in-chief and to impeach the defendant‘s testimony that he was innocent. The prosecutor impliedly asked the jury to infer guilt from defendant‘s silence through references to defendant‘s silence in his opening statement and his examination of the arresting officer. In his closing argument, the prosecutor expressly asked the jury to infer guilt from defendant‘s silence by explaining that the reason defendant had been silent was because “the defendant had been making his daughter do things that no person speaks about.” Further, in his cross-examination of defendant, the prosecutor attempted to use defendant‘s silence to impeach defendant‘s credibility.
In sum, the state gave defendant his Miranda warnings, which constituted an implicit promise that his choice to remain silent would not be used against him. The state then breached that promise by attempting to use defendant‘s silence as evidence. Depending on the circumstances of the case, even a single reference to a defendant‘s post-arrest, post-Miranda silence, either as evidence of substantive guilt or impeachment, may violate a defendant‘s due process rights. Where, as in this case, the prosecution makes repeated references to a defendant‘s silence, both as substantive evidence of guilt and for purposes of impeachment, the violation is clear. Therefore, we affirm the Court of Appeals holding that the prosecutor‘s repeated references to defendant‘s
post-arrest, post-Miranda silence violated the due process rights guaranteed to defendant by the United States Constitution.
B. PLAIN-ERROR REVIEW
The Doyle violation in this case is an unpreserved, constitutional error.13 This Court determines whether this type of error warrants reversal under the plain-error standard of review articulated in People v Grant, 445 Mich 535, 547-553; 520 NW2d 123 (1994), and People v Carines, 460 Mich 750, 765-766; 597 NW2d 130 (1999).14
1. ELEMENTS OF PLAIN-ERROR REVIEW
There are four steps to determining whether an unpreserved claim of error warrants reversal under plain-error review. Carines, 460 Mich at 763. First, there must have been an error. Id. “Deviation from a legal rule is ‘error’ unless the rule has been waived.” Grant, 445 Mich at 548 (quotation marks and citation omitted). Second, the error must be plain, meaning clear or obvious. Carines, 460 Mich at 763. Third, the error must have affected substantial rights. Id. This
“generally requires a showing of prejudice, i.e., that the error affected the outcome of the lower court proceed-ings.”15 Id. The defendant bears the burden of estab-lishing prejudice. Id. Fourth, if the first three require-ments are met, reversal is only warranted if the error “resulted in the conviction of an actually innocent defendant” or “seriously affected the fairness, integrity or public reputation of judicial proceedings....” Id. (quotation marks and brackets omitted).
2. APPLICATION OF PLAIN-ERROR REVIEW
In this case, the four requirements of plain-error review are met, and, therefore, reversal is warranted.
First, there was an error. Defendant‘s due process rights were violated by the prosecution‘s references to defendant‘s post-arrest, post-Miranda silence, and de-fendant did not waive his rights.
Second, the error was plain. As discussed, the error was an obvious violation of a defendant‘s due process rights under Doyle and its progeny.
Third, defendant has shown that the error affected his substantial rights. Under the third prong of plain-
error review, a defendant must generally show that the error was prejudicial. It is difficult for an appellate court to know what effect the prosecutor‘s repeated use of defendant‘s post-Miranda silence might have had on the jury. Nonetheless, we hold that defendant has shown that the error is prejudicial, considering (1) the extent of the prosecutor‘s comments, (2) the extent to which the prosecutor attempted to tie defendant‘s silence to his guilt, and (3) the overall strength of the case against defendant when considered in light of the degree to which the jury‘s assessment of the evidence might have been affected by the prosecutor‘s references to defendant‘s silence.16 In contrast to the other Doyle
To begin with, the more extensive a prosecutor‘s references to a defendant‘s post-arrest, post-Miranda silence, the more likely it is that the references had a
prejudicial effect. In this case, the prosecutor‘s references to defendant‘s silence were frequent throughout the trial, from the prosecutor‘s opening and closing statements, to his case-in-chief, to his cross-examination of defendant. The pervasiveness of the prosecutor‘s references to defendant‘s silence increases the likelihood that the references had a prejudicial effect.
Further, a prosecutor‘s references to a defendant‘s post-arrest, post-Miranda silence are more likely to be prejudicial the more directly or explicitly the prosecutor uses the silence to challenge a defendant‘s credibility or show a defendant‘s guilt. In this case, the references to defendant‘s post-arrest silence were not inadvertent references that the jury might not have connected to defendant‘s guilt. Instead, the prosecutor referred to defendant‘s silence in a manner that deliberately challenged defendant‘s credibility and his claim of innocence. In addition, the prosecutor impliedly suggested that defendant‘s silence was evidence of his guilt and even explicitly asked the jury to infer guilt from defendant‘s silence in his closing argument. In comparison, in Borgne, the prosecutor did use the defendant‘s silence to challenge the credibility of defendant‘s exculpatory story, but he did not go so far as to explicitly or impliedly suggest to the jury that it should infer guilt from the silence.17
Finally, the degree to which prosecutorial references to a defendant‘s post-arrest, post-Miranda silence are prejudicial depends on the overall strength of the case
against the defendant and the degree to which the jury‘s assessment of the evidence might have been affected by the prosecutor‘s references to a defendant‘s silence. In this case, the strength of the prosecutor‘s overall case against defendant hinged entirely on the jury‘s assessments of the witnesses’ credibility. It consisted mainly of AS‘s testimony and the corroborating testimony of her sisters, but the sisters’ testimony conflicted at times with AS‘s. The jury‘s acquittal of defendant on the charges of first-degree criminal sexual conduct suggests that at least some of the jurors questioned AS‘s credibility as compared to defendant‘s, even with the prosecutor‘s impermissible references to defendant‘s silence. The trial was essentially a
In sum, in this case, in light of the prosecutor‘s extensive references to defendant‘s silence, the extensive connection of that silence to defendant‘s guilt, the inconsistencies in the prosecutor‘s case and the other evidence presented against him, and the nature of defendant‘s defense—which hinged on his own credibility—we hold that the error was prejudicial.18
Fourth, there is no question that this is the sort of error that compromises the fairness, integrity, and truth-seeking function of a jury trial. The violation of defendant‘s due process rights rendered the trial fundamentally unfair and cast a shadow on the integrity of our state‘s judicial processes. Therefore, all four requirements of plain-error review are met, and reversal is warranted.
IV. CONCLUSION
The prosecutor‘s references to defendant‘s post-arrest, post-Miranda silence violated defendant‘s due process rights under the federal constitution. The violation amounts to plain error that affected defendant‘s substantial rights, and it compromised the fairness, integrity, and public reputation of the judicial proceedings. Therefore, we reverse defendant‘s conviction and remand to the trial court for further proceedings.
KELLY, C.J., and WEAVER, CORRIGAN, MARKMAN, and HATHAWAY, JJ., concurred with CAVANAGH, J.
KELLY, C.J. (concurring). I concur with the majority opinion. However, I continue to believe that this Court should not have extended the plain-error doctrine to the kind of unpreserved constitutional error present in this case. As I stated in my dissent in People v Carines, I believe that, when there is unpreserved constitutional error, a defendant‘s conviction should be affirmed only ” ‘if the reviewing court is satisfied that the error is harmless beyond a reasonable doubt.’ ”1
It appears that, under the Carines plain-error standard, there is never error requiring reversal when there is a “wealth of incriminating evidence.”2 Under those circumstances, the judicial system essentially exempts criminal defendants from the constitutional right to due process of law.
In the interest of preserving the integrity of the judicial system, we should re-elevate due process to its proper place. The present blatant and repeated abrogation of people‘s constitutional rights
I recognize that Carines remains the law in Michigan and cannot be ignored, but I believe the Court should reexamine it at the earliest possible moment.
YOUNG, J. (concurring). I concur in the result and analysis of the majority opinion. I write separately because I will not join footnote 14, in which Justice CAVANAGH “dissents” from the Carines¹ plain-error analysis in his own opinion. Justice CAVANAGH is entitled to such views, but his opposition to this Court‘s precedent and preservation of his view is better placed in a concurring statement.
Notes
In Wainwright, the Court held that the prosecution could not use a defendant‘s post-arrest, post-Miranda silence to meet the prosecutor‘s burden of showing beyond a reasonable doubt that the defendant was not insane. Wainwright, 474 US at 286, 289-296. The Court explained that Doyle‘s reasoning applied with equal force because “[t]he implicit promise, the breach, and the consequent penalty are identical in both situations.” Id. at 292.
Q. [The Defense Counsel]. Were you nervous [when being arrested]?
A. [Defendant]. Oh yes, scared shit—scared to death.
Q. Did you—what you just got silent then?
A. Yeah, I didn‘t say anything, yeah.
Q. Okay. Why did you not say anything?
