Lead Opinion
We granted leave to appeal in this case to determine whether the prosecution’s references to defendant’s post-arrest, post -Miranda
I. BASIC FACTS AND PROCEEDINGS
Defendant, Harold E. Shafier III, was charged with three counts of first-degree criminal sexual conduct and two counts of second-degree criminal sexual conduct for allegedly sexually assaulting his 13-year-old daughter, AS. Defendant and his wife adopted AS and her three sisters in 1995. In January 2005, defendant’s wife reported to the police that AS was alleging that she had been sexually assaulted by defendant. Defendant was arrested immediately. During the arrest, defendant asked why he was being arrested, and the officer told him that he was under arrest for criminal sexual conduct. The officer gave him the Miranda warnings, and defendant remained silent thereafter.
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.
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
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 between defendant and his wife had deteriorated. Defendant testified that he had become increasingly angry with his wife’s treatment of the children and consciously decided to become more involved in the children’s lives in July 2004. Defendant stated that his wife had reacted with jealousy and anger as he increased the time he spent with the girls.
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,
II. STANDARD OF REVIEW
Defendant raises an unpreserved claim of constitutional error. Constitutional questions are reviewed de novo. Sidun v Wayne Co Treasurer,
III. ANALYSIS
A. VIOLATION OF DEFENDANT’S DUE PROCESS RIGHTS
Defendant argues that his constitutional due process rights were violated under Doyle v Ohio,
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.” US Const, Am V.
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,
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
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
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.
*216 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 statements 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.”
*217 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 statements. 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
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
B. PLAIN-ERROR REVIEW
The Doyle violation in this case is an unpreserved, constitutional error.
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,
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 defendant 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-
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
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.
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
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.
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.
Notes
Miranda v Arizona,
The issues in this case are similar to those presented in another case we decide today: People v Borgne,
AS’s allegations escalated over time. Initially, AS told her mother that defendant had touched her breasts and genital area. At the preliminary examination, AS alleged that there had been incidents involving oral sex. Finally, at trial, AS alleged specific incidents that she had not previously mentioned.
The discrepancies were in regard to when the incident occurred, the exact physical positions of AS and defendant, and the actions of each of the three people after the sister’s interruption.
This sister also testified that defendant had sexually assaulted her when she was younger. At the preliminary examination, she stated that defendant had touched her breasts twice, but one of the times was accidental. At trial, she alleged for the first time that defendant had regularly touched her, kissed her, and digitally penetrated her when she was between the ages of 11 and 13.
This Court has recognized that the Michigan Constitution’s protection against the use of a defendant’s post-arrest, post-Miranda silence is at least as extensive as that provided by the United States Constitution. See People v McReavy,
The Fifth Amendment has been made applicable to the states through the Due Process Clause of the Fourteenth Amendment. See Malloy v Hogan,
The United States Constitution does not prohibit impeaching a defendant with pre-arrest silence. See Fletcher v Weir,
In Doyle, the Court held that the prosecution could not use a defendant’s post-arrest, post -Miranda silence to impeach the credibility of a defendant’s exculpatory testimony. Doyle,
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,
For example, in Doyle, the Court noted that the prosecution may use evidence of a defendant’s post-arrest, post-Miranda silence to challenge a defendant “who testifies to an exculpatory version of events and claims to have told the police the same version upon arrest.” Doyle,
In Greer, the defendant testified that he was innocent, but two other people had confessed their guilt to him. Greer,
The full exchange between defense counsel and defendant regarding defendant’s silence was as follows:
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?
*217 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.
The Court of Appeals dissent suggests that defendant may have preserved this issue. Shafier,
I continue to think that this Court erred by adopting the federal plain- error doctrine, for the reasons stated in Justice Levin’s Grant dissent, and erred further by extending the doctrine to unpreserved, constitutional error, for the reasons stated in then-Justice Kelly’s Carines dissent. See Grant,
Both this Court and the United States Supreme Court have left open the possibility that there is a category of errors for which the third prong of the plain-error standard is automatically met. See Grant,
Federal courts of appeals have considered similar factors when evaluating whether a Doyle violation warrants reversal under plain-error review. See, e.g., Guam v Veloria,
This comparison is not intended to suggest that a defendant’s silence must be used in the prosecutor’s case-in-chief in order to be prejudicial; it is certainly conceivable that the use of a defendant’s silence only for impeachment purposes could be prejudicial, depending on a case’s circumstances. See, e.g., Velona,
We note that, under the circumstances of this case, defense counsel’s attempts during trial to lessen the impact of the Doyle errors by asking defendant why he did not make statements before trial, did not waive the error, cure it, or render it harmless.
Concurrence Opinion
(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.’
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 threatens the foundation of the court system.
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.
People v Cannes,
Borgne,
Concurrence Opinion
{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 Carines
People v Carines,
