STATE OF WASHINGTON, Respondent, v. MARCOS ROBERTO LOZANO, Appellant.
No. 45242-1-II
IN THE COURT OF APPEALS OF THE STATE OF WASHINGTON DIVISION II
July 28, 2015
PUBLISHED IN PART OPINION
In the unpublished portion of this opinion, we hold that the trial court did not err by excluding as hearsay a witness‘s transcribed statement after the State used a small portion of the statement only to refresh the witness‘s recollection. We also hold that the issues raised in Lozano‘s statement of additional grounds (SAG) have no merit. Accordingly, we affirm.
FACTS
Lozano met a woman, C.C., online through social media. They arranged to meet on the evening of February 7, 2009. C.C. went to Lozano‘s place of employment and waited for him to finish his shift. While waiting for Lozano, C.C. received a call from her good friend A.B. who asked for a ride home from a bar. C.C. picked up A.B. and then drove back to Lozano‘s place of employment, where he was just getting off work. C.C. and A.B. then followed Lozano to his house.
When they arrived at Lozano‘s house, the three went upstairs to his bedroom. Lozano gave them each a beer and opened one for himself. Shortly thereafter, A.B. fell asleep on a small couch near Lozano‘s bed. Lozano and C.C. talked to each other, drank several beers, listened to music, started to watch a movie, and had consensual intercourse. C.C. then fell asleep.
Later, C.C. woke up and saw Lozano having sexual intercourse with A.B. A.B. was unclothed and appeared to still be asleep. C.C. yelled at Lozano to get off A.B. and he did. C.C. shook A.B. awake and helped her gather her clothes. C.C. and A.B. left Lozano‘s house immediately.
According to A.B., she remembered walking up the stairs to Lozano‘s bedroom, sitting on the couch next to his bed, drinking a sip of beer, and then falling asleep right away. She confirmed that she fell asleep fully clothed. She explained that she woke up disoriented and concerned because C.C. was yelling and because she was not wearing pants or underwear. A.B. remembered “feeling [Lozano] come out of [her].” RP at 209. She saw him walk across the room, remove a condom, and place it in a trash can.
The State charged Lozano with rape in the second degree and alleged that A.B. was incapable of consent by reason of being physically helpless or mentally incapacitated. Lozano‘s
At the second trial, Lozano‘s defense theory was that A.B. initiated and consented to sexual intercourse with him and that even if A.B. was incapable of consent, he reasonably believed that she could consent. He testified that when C.C. woke up and saw him having sexual intercourse with A.B., C.C. got mad. The two women then dressed quickly and left.
Lozano presented expert testimony to explain alcohol‘s effect on memory and the concept of confabulation. The trial court instructed the jury on the “reasonable belief” defense contained in
The jury found Lozano guilty of rape in the second degree. Lozano appeals his conviction.
ANALYSIS
I. “REASONABLE BELIEF” DEFENSE JURY INSTRUCTION
Lozano argues for the first time on appeal that the trial court violated his due process right under the federal and state constitutions by instructing jurors on the “reasonable belief” defense1 because the instruction allocated to him the burden of proving that he reasonably believed the
The State charged Lozano with rape in the second degree under
“The key to whether a defense necessarily negates an element is whether the completed crime and the defense can coexist.” W.R., 181 Wn.2d at 765. For example in State v. Box, 109 Wn.2d 320, 330, 745 P.2d 23 (1987), our Supreme Court held that insanity does not negate the premeditation element of first degree murder. More recently in W.R., 181 Wn.2d at 768, our Supreme Court held that consent necessarily negates forcible compulsion; therefore, due process prohibits shifting the burden to the defendant to prove consent by a preponderance of the evidence as a defense to a charge of rape by forcible compulsion.
Relying on W.R., 181 Wn.2d at 765-66, Lozano argues that the affirmative defense instruction impermissibly shifted the burden of proof to him. Lozano appears to argue that because
W.R. does not support Lozano‘s position. The instruction in W.R. violated due process because it allocated to the defendant the burden to prove consent, which negated the forcible compulsion element of the charged crime. 181 Wn.2d at 768. Unlike in W.R., Lozano‘s burden to prove his “reasonable belief” that the victim was not mentally incapacitated and physically helpless did not negate an element of the charged crime. Here, the State retained its burden to prove beyond a reasonable doubt that Lozano had sexual intercourse with A.B. when she could not consent by reason of being physically helpless or mentally incapacitated. The challenged instruction did not negate this element; i.e., the instruction did not require Lozano to prove that the victim could actually consent. It merely placed the burden on Lozano to prove that he reasonably believed A.B. could consent, which is a statutory defense to the crime.
The “reasonable belief” defense may coexist with the charged crime because the elements of the crime are based on the inability of the person to consent, whereas the defense is concerned with the reasonableness of the defendant‘s belief that the person was able to consent. The “reasonable belief” defense is merely an excuse for conduct that would otherwise be punishable. Therefore, the trial court‘s instruction did not violate due process.
II. INEFFECTIVE ASSISTANCE OF COUNSEL
Lozano next argues that his counsel was ineffective for failing to propose jury instructions outlining his affirmative defense of consent. We disagree. Consent is not an affirmative defense to the charge of rape in the second degree where, as here, the State solely charges the defendant of having sexual intercourse with a person incapable of consent by reason of being physically helpless or mentally incapacitated. Therefore, defense counsel‘s performance was not deficient.
“‘Consent’ means that at the time of the act of sexual intercourse or sexual contact there are actual words or conduct indicating freely given agreement to have sexual intercourse or sexual contact.”
As discussed in Lough, if the State proves beyond a reasonable doubt that a person cannot consent to sexual intercourse, the victim‘s words or conduct indicating freely given agreement to
Because consent is not an affirmative defense to rape in the second degree as charged here, Lozano‘s counsel‘s decision not to seek an instruction on consent was not deficient. Lozano has neither shown that his counsel‘s performance was deficient nor that it prejudiced Lozano‘s case. Therefore, Lozano‘s ineffective assistance claim fails. We affirm the conviction.
A majority of the panel having determined that only the foregoing portion of this opinion will be printed in the Washington Appellate Reports and that the remainder shall be filed for public record in accordance with
I. ADDITIONAL FACTS
Lozano told his friend, Mohamed Young, about meeting A.B. Young also knew A.B., and he contacted her after speaking with Lozano. A.B. told Young what had happened with Lozano the night of February 7. When Young asked A.B. if she was going to report Lozano to law enforcement, she told Young that she was not planning on it and that she just wanted Lozano to stay away from her. A few weeks later, Young found out that Lozano had been arrested so he
Young made an oral statement to law enforcement in which he discussed his conversation with Lozano. Law enforcement recorded and transcribed Young‘s statement. Lozano attempted to admit a portion of Young‘s transcribed statement at trial after the State used a selection of the statement to refresh Young‘s memory while he testified. The trial court sustained the State‘s objection that the statement constituted inadmissible hearsay.
Lozano also sought to introduce photographs depicting C.C. and A.B. engaging in sexually suggestive poses and acts that were displayed on C.C.‘s MySpace page7 at the time she communicated with Lozano. The trial court excluded the photographs as irrelevant; the trial court further held that even if the photographs had slight probative value, it was substantially outweighed by the danger of unfair prejudice.
As part of the jury instructions at the close of evidence, the trial court instructed the jury that evidence of Lozano‘s prior arrest may be considered only for the purpose of what effect, if any, it had on A.B.
II. EVIDENTIARY RULING — YOUNG‘S STATEMENT
Lozano argues that the trial court erred by not allowing him to admit the entirety of Young‘s statement after the State introduced an allegedly misleading fragment of the statement during Young‘s testimony. Lozano asserts that the trial court‘s ruling violated ER 106, the common law rule of completeness, and his constitutional right to present a defense (including his right to confront adverse witnesses). We disagree.
The federal and state constitutions guarantee defendants the right to present a defense, including the right to introduce relevant evidence and to confront adverse witnesses through meaningful cross-examination.
An out-of-court statement admitted for the truth of the matter asserted is hearsay, which is inadmissible unless an exception applies. ER 801(c); ER 802. The rules of evidence do not specifically prohibit the admission of self-serving statements; but, “self-serving” is a shorthand way of saying that the statement is hearsay and does not fit recognized exceptions to the hearsay rule. State v. King, 71 Wn.2d 573, 577, 429 P.2d 914 (1967); State v. Pavlik, 165 Wn. App. 645, 653-54, 268 P.3d 986 (2011). Therefore, a statement‘s admissibility must be addressed under the recognized exceptions to the hearsay rule. Pavlik, 165 Wn. App. at 654. An admission by a party-opponent is expressly excluded from the hearsay rule, but to qualify, the statement must be offered against a party and be the party‘s own statement. ER 801(d)(2).
When a writing or recorded statement or part thereof is introduced by a party, an adverse party may require the party at that time to introduce any other part, or any other writing or recorded statement, which ought in fairness to be considered contemporaneously with it.
ER 106.
Here, it is important to clarify what evidence the trial court actually excluded. At trial, the State used Young‘s transcribed statement to refresh Young‘s recollection about whether Lozano told him that A.B. and C.C. were mad at him. After silently reviewing his own statement, Young testified from memory, affirming that Lozano told him that one of the girls said “Oh, my god. Get the hell off of me.” I Report of Proceedings (RP) at 179. In response, Lozano‘s counsel attempted to have Young read into the record a portion of his own transcribed statement, including the sentence that the State had used to refresh his recollection. The State objected that Young‘s transcribed statement was self-serving hearsay because the offered portion of the statement was Young‘s recounting of what Lozano told him happened with A.B., i.e., Lozano‘s version of the facts. Lozano‘s counsel argued that the statement was admissible under ER 106 and should be allowed out of fairness to complete the portion admitted earlier. The trial court sustained the State‘s objection.
Lozano‘s reliance on ER 106 to admit the remaining portion of Young‘s transcribed statement is not well taken because the State did not introduce any portion of the statement. It was not admitted into evidence, and Young did not read any part of it into the record. Further, there is nothing about the content of Young‘s transcribed statement that ought in fairness to be considered contemporaneously with his testimony on the same topic. For these reasons, ER 106 is inapplicable to Young‘s transcribed statement.
III. STATEMENT OF ADDITIONAL GROUNDS
In his SAG, Lozano makes two assertions that we have already addressed, that the trial court denied him the right to confront and cross-examine Young by not admitting Young‘s statement, and that the trial court erred by instructing the jury on the “reasonable belief” defense. We, therefore, are not required to address these matters further. See RAP 10.10(a) (providing that the purpose of a SAG is to identify and discuss those matters which the defendant/appellant believes have not been adequately addressed by the brief filed by defendant/appellant‘s counsel). The remaining issues involve allegations of evidentiary error, ineffective assistance of counsel, and abuse of prosecutorial discretion.
A. Evidence of Lozano‘s Prior Arrest
Lozano argues that the trial court erred by allowing the State to introduce evidence of his prior arrest and that his counsel was ineffective for failing to request a mistrial when the State violated the trial court‘s order limiting evidence of the arrest to the conversation between Young and A.B. We disagree.
1. ER 404(b) Ruling
We review the decision to admit evidence of a defendant‘s prior bad acts for an abuse of discretion. State v. Brown, 132 Wn.2d 529, 571-72, 940 P.2d 546 (1997). The purpose of ER
Here, the State sought to introduce the content of a telephone conversation between Young and A.B., specifically the part of the conversation when Young advised A.B. that Lozano had been arrested for rape. The prior allegation of rape against Lozano was important to the State‘s case because it was the impetus for A.B. reporting the February 7 incident after a three-week delay. The trial court denied the State‘s motion to use the prior allegation of rape in its case in chief, ruling that the prejudicial effect of the prior rape allegation outweighed the probative value. However, the trial court allowed the State to introduce evidence that Lozano had been arrested as long as the State did not elicit that the arrest was for suspicion of rape. In addition, the trial court instructed the jury that Young‘s statement to A.B. that Lozano had been arrested may only be considered for the limited purpose of what effect, if any, this evidence had on A.B.
Given the significance of the evidence, the trial court had a tenable basis for concluding that the probative value of that information outweighed any prejudicial impact the prior arrest might have had. Accordingly, the trial court properly exercised its discretion.
2. Counsel‘s Failure to Request a Mistrial
Next, Lozano asserts that his counsel was ineffective for failing to request a mistrial when the State‘s law enforcement witness testified that she was assigned to Lozano‘s case because she previously investigated him. This testimony violated the trial court‘s ruling that evidence of
As discussed above, a defendant claiming ineffective assistance of counsel has the burden to establish deficiency and prejudice. Thomas, 109 Wn.2d at 225-26. To prevail on his claim that he received ineffective assistance of counsel because defense counsel failed to request a mistrial, Lozano must show that had defense counsel requested a mistrial, the outcome would have been different, i.e., that the trial court would have granted the motion for a mistrial. Thomas, 109 Wn.2d at 226.
“A trial court should grant a mistrial only when the defendant has been so prejudiced that nothing short of a new trial can ensure that the defendant receives a fair trial.” State v. Jungers, 125 Wn. App. 895, 901-02, 106 P.3d 827 (2005). Declaration of a mistrial is a “drastic measure,” and there are other options a trial court may choose to exercise based on the individual situation. State v. Falk, 17 Wn. App. 905, 908, 567 P.2d 235 (1977). For example, a continuance or curative instruction may be preferred to mistrial. See State v. Linden, 89 Wn. App. 184, 195, 947 P.2d 1284 (1997); State v. Johnson, 124 Wn.2d 57, 76-77, 873 P.2d 514 (1994). In deciding whether a trial irregularity should result in a mistrial, courts examine (1) its seriousness, (2) whether it involved cumulative evidence, and (3) whether an instruction could cure the irregularity. State v. Bourgeois, 133 Wn.2d 389, 409, 945 P.2d 1120 (1997).
We are not convinced that the trial court would have granted a mistrial had Lozano‘s counsel moved for one. Because the fact of Lozano‘s prior arrest was admissible and Young and A.B. both referenced the prior arrest in their testimony, the law enforcement officer‘s brief
B. Exclusion of MySpace Photographs
Lozano next asserts that the trial court erred in excluding sexually suggestive photographs which he viewed on MySpace depicting C.C. and A.B. partying on occasions unrelated to the February 7 crime for which he was convicted. We disagree.
We review a trial court‘s evidentiary decision under the rules of evidence for an abuse of discretion. Griffin, 173 Wn.2d at 473. “An abuse of discretion occurs if the court‘s decision is manifestly unreasonable or rests on untenable grounds.” Griffin, 173 Wn.2d at 473. The trial court conducted an exhaustive and comprehensive analysis on the admissibility of the photographs. The trial court concluded that the photographs were irrelevant to the issues at trial because there are no factual similarities between the incident on February 7 and the situations depicted in the photographs; the photographs did not shed light on whether A.B. was physically and mentally capable of consenting to sexual intercourse on the night in question; and, the photographs did not make it more or less likely that Lozano reasonably believed that A.B. could consent. Next, the trial court ruled that even if the photographs were minimally relevant, the photographs should be excluded under ER 403 because the danger of unfair prejudice substantially outweighed its
On appeal Lozano argues that the photographs show that C.C. lied about only having seen A.B. drunk a few times. He also argues that excluding the photographs was unfair because it deprived him of the ability to show “who these women really are.” SAG at 3.
Lozano‘s first argument—that the photographs were relevant to show that C.C. lied about A.B.‘s drinking habits—was not brought to the trial court‘s attention, and therefore it cannot be used to undermine the trial court‘s ruling on appeal. See State v. Greiff, 141 Wn.2d 910, 924, 10 P.3d 390 (2000). Lozano‘s second argument—that excluding the photographs was unfair because it deprived him of an opportunity to show “who these women really are“—is not persuasive. A.B.‘s and C.C.‘s character (other than for truthfulness as witnesses) were not issues at trial. See State v. Hudlow, 99 Wn.2d 1, 10-11, 659 P.2d 514 (1983) (a person‘s consent to sexual activity in the past, without more, such as particularized factual similarities to the present occasion, does not meet the bare relevancy test). The scenes depicted in photographs are not similar to the facts of this case. Because the trial court had a tenable basis for concluding that photographs were not relevant to any issues at trial and that the danger of unfair prejudice to the State‘s case substantially outweighed any minimal relevance of the photographs, the trial court did not abuse its discretion in excluding the photographs.
C. Exclusion of Expert Testimony
Next, Lozano argues that the trial court erred by excluding his expert‘s testimony on confabulation. Lozano is mistaken about the trial court‘s ruling. The prosecutor and defense
D. Overcharging
Next, Lozano argues that the prosecutor abused its discretion by overcharging him. We disagree.
Prosecutors have discretion in their charging decisions. State v. Korum, 157 Wn.2d 614, 625, 141 P.3d 13 (2006). We may not substitute our judgment for the prosecutor‘s. Korum, 157 Wn.2d at 625-26.
Specifically, Lozano argues that he should have been charged with indecent liberties rather than rape in the second degree because the crimes are similarly worded. Lozano is likely referring to a charge of indecent liberties under
We affirm.
Melnick, J.
We concur:
Worswick, J.
Johanson, C.J.
Notes
In any prosecution under this chapter in which lack of consent is based solely upon the victim‘s mental incapacity or upon the victim‘s being physically helpless, it is a defense which the defendant must prove by a preponderance of the evidence that at the time of the offense the defendant reasonably believed that the victim was not mentally incapacitated and/or physically helpless.
