Robertson v. StateRobertson v. State
We have for review Robertson v. State, 780 So.2d 106 (Fla. 3d DCA 2001) (en banc), a decision from the Third District Court of Appeal that misapplies this Court‘s holding in Dade County School Board v. Radio Station WQBA, 731 So.2d 638, 644 (Fla.1999), and is in conflict with the opinion of the First District Court of Appeal in State Dept. of Revenue ex rel. Rochell v. Morris, 736 So.2d 41, 42 (Fla. 1st DCA 1999), regarding when an appellate court may uphold a lower court ruling on an alternative ground not considered by the lower court. The Third District‘s decision also misapplies this Court‘s opinions in Jordan v. State, 107 Fla. 333, 144 So. 669, 669-70 (1932), and Foy v. State, 115 Fla. 245, 155 So. 657, 658 (1934), regarding the permissible scope of impeachment of a testifying defendant. Basеd on the conflict created by these misapplications, we have jurisdiction under
BACKGROUND
On September 16, 1996, Officer Dominguez was dispatched to an apartment to investigate a shooting. In the bedroom of the apartment shared by Robertson and the victim, Maria Nelson, Officer Dominguez observed Nelson lying on the bed. Nelson was conscious and breathing, but was not communicating. On the floor, about five feet from the bed, was a .40 caliber Ruger handgun with a bullet clip next to it. Officer Dominguez found an entrance wound in Nelson‘s chest and an exit wound in the middle of her back. Nelson ultimately died from the gunshot wound, and Robertson was charged with second-degree murder. Robertson‘s theory of defense was that the gun accidentally misfired while he was trying to clean it. The State‘s theory of the case was that Robertson intentionally shot Nelson during a domestic dispute.
At trial, the defense called Robertson to testify on his own behalf, and during the State‘s cross-examination of Robertson the following exchange took place:
[STATE] Q: In fact, you are familiar with large assault rifles, weren‘t [sic] you?
[DEFENDANT] A: Several models, yes sir.
Q: In fact, you purchased an AK-47, didn‘t you?
Defense counsel immediately objected on the basis that the question was “irrelevant” and “outside the scope of direct.” The trial court overruled the objection and the State thereafter inquired:
Q: Isn‘t that correct, Mr. Robertson?
A: Yes, right after Hurricane Andrew I did.
Q: And in fact, isn‘t it a fact that you have threatened people with assault rifles before?
[DEFENDANT] A: No.
[STATE] Q: You have never threatened anyone close to you with an AK-47, Mr. Robertson?
A: I have never threatened anybody close to me with a weapon, anybody period, with a weapon, sir.
The State argued that based on Robertson‘s negative response to these questions, Robertson‘s ex-wife should be allowed to testify on rebuttal that Robertson had threatened her with an AK-47 six years earlier. The trial court, over defense objection, concluded that in light of Robertson‘s answers to the State‘s questions during its cross-examination, the rebuttal testimony constituted proper impeachment. Robertson‘s ex-wife thereafter testified to an alleged incident in which she claimed Robertson threatened her with an AK-47. She testified that Robertson became enraged and pointed the AK-47 at her as she was running away, causing her to fear that she would be shot in the back. The incident was neither reported to the police nor investigated.
In closing argument, the State emphasized the significance of the rebuttal testimony:
Now you have to figure in the rest of your story, the anger, the fighting leading up to November 17th, the confrontation that was going to take place that night, her incredible fear of this man as told to Shirley Baumgartner, his anger.
For God sake, you saw his ex-wife on this witness stand because he lied to you on cross-examination about owning an AK-47 which is a huge assault rifle and threatening somebody close to you.
I asked him that question, and, boy, I gave him the opportunity. He could have said, yeah, there was this situation with my wife and, you know, I really didn‘t mean it, but no, I would never do that. I don‘t threaten anybody with guns, any type of guns, much less an AK-47.
So, Mrs. Robertson comes in here and tells you about a situation right after the hurricane where they were getting sоme building supplies and this defendant becomes enraged because mom and daughter can‘t help him bring in some heavy supplies from the car and what does he do? I am going to teach you a lesson. He goes back into the hallway, grabs the AK-47, slams a magazine, a clip into it and points it at her as she is running out the door and she thinks she is going to get shot in the back.
That gives you a little insight into what you are dealing with here.
(Emphasis supplied.)
The jury returned a verdict finding Robertson guilty of second-degree murder. Robertson appealed his conviction and sentence of life imprisonment, claiming as error the trial court‘s first permitting questions on cross-examination regarding prior alleged threats with the AK-47, and second allowing as impeachment Robertson‘s ex-wife‘s rebuttal testimony regarding the prior threat with the AK-47. The Third District initially reversed the trial court‘s decision, holding both that the prosecutor‘s questions regarding the alleged prior crime were improper and that Robertson‘s ex-wife‘s testimony was improper impeachment. See Robertson v. State, 780 So.2d 94, 96 (Fla. 3d DCA 2000). However, the Third District reviewed the case en banc and, on rehearing, affirmed the trial court‘s admission of Robertson‘s ex-wife‘s testimony. See Robertson, 780 So.2d at 113. The majority held that the evidence
The Third District‘s plurality opinion, in which four judges concurred, stated that the evidence was admissible as both impeachment аnd Williams rule evidence. See id. The remaining four judges dissented, explaining why Robertson‘s ex-wife‘s testimony was not admissible either as impeachment or under the Williams rule. See id. at 123-24 (Sorondo, J., dissenting).
MISAPPLICATION OF THE TIPSY COACHMAN DOCTRINE
The first issue we address in this case is whether the Third District majority, in concluding that the evidence that Robertson threatened his ex-wife with an AK-47 constituted permissible Williams rule evidence, erred in affirming the trial court on grounds neither raised by the State nor considered by the trial court. The State concedes that at no time, either before trial or on appeal, did it argue that the evidence that Robertson threatened his ex-wife with an AK-47 six years earlier was admissible under the Williams rule. The State‘s sole argument was that Robertson‘s ex-wife‘s testimony constituted proper impеachment because of the answers that Robertson gave in response to the questions the State asked him on cross-examination.
We start with the proposition that “[g]enerally, if a claim is not raised in the trial court, it will not be considered on appeal.” Radio Station WQBA, 731 So.2d at 644. However, notwithstanding this principle “[i]n some circumstances, even though a trial court‘s ruling is based on improper reasoning, the ruling will be upheld if there is any theory or principle of law in the record which would support the ruling.” Id. (emphasis supplied).
This longstanding principle of appellate law, sometimes referred to as the “tipsy coachman” doctrine, allows an appellate court to affirm a trial court that “reaches the right result, but for the wrong reasоns” so long as “there is any basis which would support the judgment in the record.” Id. at 644-45.2 As we explained in Radio Station WQBA, this Court has adhered to this principle on many other occasions. See id. (citing Applegate v. Barnett Bank, 377 So.2d 1150, 1152 (Fla.1979) (“The written final judgment by the trial court could well be wrong in its reasoning, but the decision of the trial court is primarily what matters, not the reasoning used. Even when based on erroneous reasoning, a conclusion or decision of a trial court will generally be affirmed if the evidence or an alternative theory supports it.“)); see also Muhammad v. State, 782 So.2d 343, 359 (Fla.2001) (“[T]he trial court‘s ruling on an evidentiary matter will be affirmed even if the trial court ruled for the wrong reasons, as long as the evidence or an alternative theory supports the ruling.“).
The key to the application of this doctrine of appellate efficiency is that
In the present case, the Third District improperly affirmed the admission of Robertson‘s ex-wife‘s testimony on the alternative Williams rule ground because there was no evidence in the record to support the Third District‘s holding that the previоus threat was admissible under the Williams rule. Regarding the admissibility of Williams rule evidence, we have explained:
Similar fact evidence that the defendant committed a collateral offense is inherently prejudicial. Introduction of such evidence creates the risk that a conviction will be based on the defendant‘s bad character or propensity to commit crimes, rather than on proof that he committed the charged offense.
Heuring v. State, 513 So.2d 122, 124 (Fla. 1987).
In affirming the trial court in this case, the Third District found the “evidence admissible as relevant under
Similar fact evidence of other crimes, wrongs, or acts is admissible when relevant to prove a material fact in issue, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, оr absence of mistake or accident, but it is inadmissible when the evidence is relevant solely to prove bad character or propensity.
When the state in a criminal action intends to offer evidence of other criminal offenses under paragraph (a), no fewer than 10 days before trial, the state shall furnish to the accused a written statement of the acts or offenses it intends to offer, describing them with the particularity required of an indictment or information. No notice is required for evidence of offenses used for impeachment or on rebuttal.
The requirement of pretrial notice allows the trial court to make an initial determination of whether the Williams rule evidence is admissible. Before admitting Williams rule evidence, it is incumbent upon the trial court to make multiple determinations, including whether the defendant committed the prior crime,3 whether the prior crime meets the similarity requirements necessary to be relevant as set forth in our prior case law,4 whether the prior crime is too remote so as to diminish its relevance,5 and finally, whether
When the evidence is admitted, the court shall, if requested, charge the jury on the limited purpose for which the evidence is received and is to be considered. After the close of the evidence, the jury shall be instructed on the limited purpose for which the evidence was received and that the defendant cannot be convicted for a charge not included in the indictment or information.
Because the State never filed a notice of intent pursuant to
the admissibility of the evidence in question was never litigated within the parameters of section 90.404(2)(a), Florida Statutes (1997). Because the matter was not at issue, defendant did not have an opportunity to present evidence or arguments against the admissibility of this evidence under the Williams rule.
Robertson, 780 So.2d at 118 (Sorondo, J., dissenting). Thus, the record as it existed was insufficient for the Third District to determine whether the evidence was properly admitted under the Williams rule. Because the matter was never litigated on the basis of the Williams rule, the trial court never made determinations as to whether clear and convincing evidence existed that Robertson committed the prior crime, whether the prior crime was substantially similar, or whether the prior crime was too remote so as to minimize any potential relevance. Further, as pointed out by this Court in Heuring, 513 So.2d at 123-24, where the evidence is being offered to prove absence of mistake or accident, the fact-intensive inquiry must include an analysis of the crime‘s remoteness as well as the absence of any intervening similar acts. Regarding remoteness, Judge Sorondo stated in his dissent:
In the present case, the record simply does not permit a full examination of the factors necessary to determine whether defendant‘s prior misconduct is too remote to be relevant. Assuming for the sake of argument that the introduction of a prior threat of violence against a different victim is admissible at all, it would be reasonable and relevant to explore whether there were any domestic relationships between defendant‘s previous marriage and his marriage to the victim in this case. The existence of intervening relationships without any threats of violence would certainly raise the possibility considered by the Supreme Court in Heuring that the prior misconduct “is no longer characteristic of the defendant.”
Robertson, 780 So.2d at 120 (Sorondo, J., dissenting) (quoting Heuring, 513 So.2d at 124).
Moreover, because no notice was provided and because the State never attempted to seek the admission of this evidence on
Finally, even if the record were sufficiently developed to allow affirmance on this alternate ground, we concludе as a matter of law that the Third District erred in holding that the testimony regarding a prior threat six years earlier against a different victim and involving a different weapon was admissible under the Williams rule. The Third District concluded that this evidence was admissible because “the critical issue at trial was whether the defendant accidentally shot” the victim. Robertson, 780 So.2d at 110. Thus, the Third District reasoned, and the State now contends, that the evidence of the prior threat was admissible to prove “absence of mistake or accident,” which is one of the permissible purposes for the admission of “similar fact evidence” under the Williams rule, as codified in
The State concedes, and we agree, that substantial similarity of crimes is a rеquirement when the evidence is sought to be admitted for the specific purpose of establishing absence of mistake or accident. See Duffey v. State, 741 So.2d 1192, 1196-97 (Fla. 4th DCA 1999). As we have explained,
[t]o minimize the risk of a wrongful conviction, the similar fact evidence must meet a strict standard of relevance. The charged and collateral offenses must be not only strikingly similar, but they must also share some unique characteristic or combination of characteristics which sets them apart from other offenses.
Heuring, 513 So.2d at 124. In this case, the crime with which Robertson was charged was the completed offense of murder against his girlfriend utilizing a handgun. The prior offense, assuming it occurred, involved a threat of violence against Robertson‘s former wife, involving an assault rifle. Neither the crimes, the weapons, nor the victims are similar. Indeed, we have been unable to find, and the parties have not cited, any cases in Florida where a prior threat against a different victim was admitted under the Williams rule to prove the absence of mistake or accident of the present offense. The out-of-state cases cited by the parties and cited in the Third District‘s majority opinion and dissent are illuminating in that where the prior acts involved different victims and different offenses, the prior criminal acts were uniformly excluded.7 The
The defendant in this case was charged with the completed, violent offense of second degree murder. The prior, alleged misconduct was an offense that threatened violence. Although such a prior threat against the victim in this case, if not too remote, may have been
Robertson, 780 So.2d at 121-22 (Sorondo, J., dissenting) (footnotes omitted). Accordingly, the Third District erred in applying the “tipsy coachman” doctrine because support for affirming the trial court on the alternative Williams rule basis was absent from the record. Furthermore, the record affirmatively shows that it would have been error for the trial court to have allowed the State to present, as Williams rule evidence, an alleged threat six years earlier involving a different victim and a different weapon to prove absence of mistake or accident.
IMPEACHMENT
We next turn to the issue of whether the evidence was properly admissible on the basis argued at trial by the State, and actually ruled on by the trial court—as impeachment evidence. Because the trial court and a plurality of the Third District relied upon impeachment as a basis for admitting the evidence that Robertson allegedly threatened his ex-wife with an AK-47, we deem it necessary to also explain why the evidence was impermissible impeachment under the facts of this case.
We begin with the interplay between Williams rule evidence and the rule regarding the impeachment of witnesses. As we have stated,
CHARACTER EVIDENCE GENERALLY.—Evidence of a person‘s character or a trait of character is inadmissible to prove action in conformity with it on a particular occasion, except:
(a) Character of accused.—Evidence of a pertinent trait of character offered by an accused, or by the prosecution to rebut the trait.
(b) Character of victim—
. . . .
(c) Character of witness.—Evidence of the character of a witness, as provided in
ss. 90.608 -90.610 .
(Emphasis supplied.) The only section referred to within
Any party, including the party calling the witness, may attack the credibility of a witness by:
. . . .
(5) Proof by other witnesses that material facts are not as testified to by the witness being impeached.
Thus, even if the prior crime evidence is not relevant under
With regard to the impeachment of a defendant by showing bad character, this Court stated seventy years ago that the State may do so only if the defense opens the door to such impeachment by showing the defendant‘s good character:
The character of a person accused of crime is not a fact in issue, and the state cannot, for the purpose of inducing belief in his guilt, introduce evidence tending to show his bad character or reputation, unless the accused, conceiving that his case will be strengthened by proof of good character, opens the door to proof by the prosecution that his character in fact is bad. This salutary rule is not permitted to be violated by the state, even when the defendant offers himself as a witness. State v. Beckner, [194 Mo. 281,] 91 S.W. 892. And this is true, although a defendant offering himself as a witness is subject to impeachment just like any other witness so far as his status and character as a witness, not as a defendant on trial, is concerned. See Cross v. State, [96 Fla. 768,] 119 So. 380.
Jordan v. State, 107 Fla. 333, 144 So. 669, 669-70 (1932) (emphasis supplied) (parallel citations omitted). Two years later, this Court further explained that the State cannot open the door itself by asking impermissible questions on cross-examination:
[T]he prosecution in a criminal case cannot call witnesses to impeach the character of the defendant, unless the defendant puts it in issue. Nor can the prosecution accomplish the same forbidden end by indirection through pursuing a method of questioning defendant and his witness on cross examination that is principally designed, by means of innuendo and suggestions of general criminality on accused‘s part, to lead the jury to believe that the accused should be found guilty of the particular crime charged, because of his being suspected or accused of other offenses, or because of his connections or association with other accused persons under indictment for different crimes not constituting part of the charge on trial.
Foy v. State, 115 Fla. 245, 155 So. 657, 658 (1934) (emphasis supplied) (citations omitted).
By asking Robertson whether he had ever threatened someone with an AK-47, the State violated the principles of Jordan and Foy. In the present case, Robertson did not offer a trait of his good character. Thus, even though Robertson offered himself as a witness, and consequently was “subject to impeachment just like any other witness,” Jordan, 144 So. at 670, Robertson did not open the door to a rebuttal of any character trait through evidencе of an alleged prior crime. See
Moreover, regarding a defendant‘s testifying inaccurately to material facts, this Court has stated:
When the direct examination opens a general subject, the cross-examination may go into any phase, and may not be restricted to mere parts ... or to the specific facts developed by the direct examination. Cross-examination should always be allowed relative to the details of an event or transaction a portion only of which has been testified to on direct examination. As has been stated, cross-examination is not confined to the identical details testified to in chief, but extends
to its entire subject matter, and to all matters that may modify, supplement, contradict, rebut, or make clearer the facts testified to in chief ....
Geralds v. State, 674 So.2d 96, 99 (Fla. 1996) (emphasis supplied) (quoting Coco v. State, 62 So.2d 892, 895 (Fla.1953)). Thus, to open the door, “the defense must first offer misleading testimony or make a specific factual assertion which the state has the right to correct so that the jury will not be misled.” Bozeman v. State, 698 So.2d 629, 630 (Fla. 4th DCA 1997); see also Mosley v. State, 739 So.2d 672, 676 (Fla. 4th DCA 1999) (explaining that the “opening the door” concept allows the cross-examination to reveal the whole story of a transaction only partly explained in direct examination).
In this case, the prosecutor‘s inquiry on cross-examination regarding Robertson‘s general experience with handling firearms was proper because Robertson‘s knowledge of firearms would tend to negate his theory of defense that the gun fired by accident. However, whether Robertson threatened (without shooting) someone in the past with an assault rifle does not “modify, supplement, contradict, rebut, or make clearer” either Robertson‘s defense that his actual shooting in this case was unintentional, or his testimony that he was not very familiar with the particular gun, a.40 caliber handgun that fired the shot that killed Nelson. See Geralds, 674 So.2d at 99.10 Thus, Robertson did not open the door to evidence that he allegedly threatened his ex-wife six years before with an assault rifle by testifying inaccurately to material facts. See
Despite the fact that Robertson did not open the door, either by offering a trait of his good character or by inaccurately testifying to material facts, the State improperly attacked Robertson‘s credibility on cross-examination by directly asking whether Robertson had threatened anyone with an assault rifle before the incident involved in this case. Thus, the State‘s argument that Robertson opened the door to questioning about the prior incident where he had threatened his ex-wife with a gun is sequentially inaccurate. The State cannot ask a series of impermissible questions concerning prior acts of misconduct on cross-examination, and then claim that the defendant opened the door by answering the impermissible questions.
It is critical for the courts to enforce this restriction on impeachment because the failure to do so would allow the State to circumvent the procedural requirement of
Finally, we address whether the admission of this collateral-сrime evidence constitutes reversible error. This Court has held that the erroneous admission of irrelevant collateral crimes evidence “is presumed harmful error because of the danger that a jury will take the bad character or propensity to crime thus demonstrated
It is so ordered.
ANSTEAD, C.J., SHAW, and QUINCE, JJ., and HARDING, Senior Justice, concur.
LEWIS, J., concurs in result only.
WELLS, J., dissents with an opinion.
WELLS, J., dissenting.
I dissent because this Court plainly does not have conflict jurisdiction in this case. I cannot read from the four corners of the Third District Court of Appeal‘s opinion a conflict with Dade County School Board v. Radio Station WQBA, 731 So.2d 638, 644 (Fla.1999), or any other case cited by the majority for conflict.
I believe it to be exceedingly important to the administration of justice in our state that this Court respect that it is a court of limited jurisdiction under Florida‘s Constitution. In Mystan Marine, Inc. v. Harrington, 339 So.2d 200, 201 (Fla.1976) (footnotes omitted), this Court made the essential point:
The jurisdiction of this Court extends only to the narrow class of cases enumerated in Article V, Section 3(b) of the Florida Constitution. Time and again we have noted thе limitations on our review and we have refused to become a court of select errors. As we explained in Ansin v. Thurston, [101 So.2d 808, 811 (Fla.1958),] Article V uses the words “direct conflict” to manifest a “concern with decisions as precedents as opposed to adjudications of the rights of particular litigants.”
This followed the clear, unequivocal statement in Nielsen v. City of Sarasota, 117 So.2d 731, 734-35 (Fla.1960):
The so-called “conflict jurisdiction” was not conveyed to the Supreme Court merely to convert it into a “court of selected errors” whereby the Justices of this Court could whimsically select cases for review in order to satisfy some notion that the case would be of such importance as to justify the interest or attention of this Court.
On the contrary, in order to sanctify the decisions of the Courts of Appeal with an aspect of finality, so essential to prevent any imbalance in the several echelons of the appellate process, the jurisdiction of this Court to exercise certiorari powers and to set aside the decisions of the Courts of Appeal on the conflict theory was expressly limited by the Constitution itself. [Ansin].
When our jurisdiction is invoked pursuant to this provision of the Constitution we are not permitted the judicial luxury of upsetting a decision of a Court of Appeal merely because we might personally disagree with the so-called “justice of the case” as announced by the Court below. In order to assert our pоwer to set aside the decision of a Court of Appeal on the conflict theory we must find in that decision a real, live and vital conflict within the limits above announced.
Notes
In Home Depot U.S.A. Co. v. Taylor, 676 So.2d 479, 480 (Fla. 5th DCA 1996), the Fifth District explained the derivation of the “tipsy coachman rule” as follows:
There is a rule used by courts of appeal which is called the “tipsy coachman” rule. It comes to us from Georgia, Lee v. Porter, 63 Ga. 345, by the way of our supreme court in Carraway v. Armour & Co., 156 So.2d 494 (Fla.1963).
The pupil of impulse, it fore‘d [sic] him along,
His conduct still right, with his argument wrong;
Still aiming at honour, yet fearing to roam,
The coachman was tipsy, the chariot drove home;....