THE STATE OF UTAH, Respondent, v. CARLOS WALTER ARGUETA, Petitioner.
No. 20180814
SUPREME COURT OF THE STATE OF UTAH
Filed July 2, 2020
2020 UT 41
This opinion is subject to revision before final publication in the Pacific Reporter
2020 UT 41
IN THE
SUPREME COURT OF THE STATE OF UTAH
THE STATE OF UTAH, Respondent, v. CARLOS WALTER ARGUETA, Petitioner.
No. 20180814
Heard November 13, 2019
Filed July 2, 2020
On Certiorari to the Utah Court of Appeals
Third District, Salt Lake
The Honorable Mark S. Kouris
No. 151906605
Attorneys:
Sean D. Reyes, Att’y Gen., Christopher D. Ballard, Asst. Solic. Gen., Sandi Johnson, Salt Lake City, for respondent
Teresa L. Welch, Nathalie S. Skibine, Salt Lake City, for petitioner
ASSOCIATE CHIEF JUSTICE LEE filed an opinion concurring in part and concurring in the judgement, in which JUSTICE PETERSEN joined.
JUSTICE HIMONAS, opinion of the Court:
INTRODUCTION
¶1 Carlos Walter Argueta was caught in the middle of the night in A.C.’s apartment. At the scene, she complained to a police officer that Argueta had inappropriately touched her. That night, also at the scene, and after invoking his Miranda rights, Argueta refuted the allegation and offered a short, innocent explanation of
STATE v. ARGUETA
Opinion of the Court
what had occurred. He was later charged with burglary and forcible sexual abuse. At trial, he elaborated upon his prior explanation, while A.C. and other witnesses offered testimony to the contrary. During the trial, the State introduced two prior bad acts that Argueta committed in an attempt to rebut his innocent explanation. At the end of a two-day trial, a jury convicted Argueta on both counts.
¶2 Argueta argues that the prosecutor’s comments at trial about the differences between his initial statement at the scene and his trial testimony were a violation of his constitutional right to remain silent. He also argues against the admission of the two prior acts, claiming their admission prejudiced him.
¶3 We hold that any error found or assumed in this case was not prejudicial and, as a result, not reversible. In addition, we only address the issues that are preserved for appeal, and Argueta failed to preserve his argument that A.C.’s eyewitness testimony regarding an earlier encounter between them was so unreliable as to be inadmissible. We therefore affirm the judgment of the court of appeals and the conviction underlying it.
BACKGROUND
¶4 On the night of June 6, 2015, A.C., her boyfriend (J.W.) and several of their neighbors were drinking and socializing in
¶5
that “a figure . . . just kind of full rushing me . . . just from thin air, [came] running . . . trying to get out the door.”
¶72 Even taken at face value, without considering Argueta’s initial statement at all, his trial testimony version did not hold up against the overwhelming evidence against him. In addition, the jury heard testimony about the peeping incident and could have concluded from that testimony that, because Argueta had tried to peep on A.C. before, there was a non-innocent intent for his actions on the night of the charged act.
¶73 In sum, there was overwhelming evidence of Argueta’s guilt given the other trial testimony. Therefore, even if we assume that the prosecutor’s comments violated Doyle,21 that violation was harmless beyond a reasonable doubt.22
CONCLUSION
¶74 Argueta failed to preserve his challenge to the admissibility of the peeping incident. Additionally, all alleged errors in his trial, even assuming they all occurred, were not prejudicial to him under our relevant standards. Therefore, we affirm the court of appeals judgment and Argueta’s convictions.
ASSOCIATE CHIEF JUSTICE LEE, concurring in part and concurring in the judgment:
¶75 I concur in the judgment of the court and in most of the majority opinion. I applaud the court’s refinement and clarification of the doctrine of chances. And I agree with its conclusion that no prejudice resulted from either of the errors alleged by Argueta—(a) the prosecutor’s questions and comments about differences between Argueta’s statements at the scene of the crime and his testimony at trial (allegedly in violation of Argueta’s Fifth Amendment rights), and (b) the admission of Argueta’s prior trespassing conviction (purportedly in contravention of
¶76 Normally I would agree that the lack of prejudice is a sufficient basis for disposition of this case. But the fact-intensive prejudice inquiry is not the reason we granted certiorari. We granted certiorari to consider whether the court of appeals erred in concluding that Argueta’s Fifth Amendment rights were not violated when the prosecutor sought to impeach his credibility by highlighting “exculpatory details” that Argueta mentioned at trial but omitted in earlier statements to police. This is an important question. And we should address it because it has a straightforward answer in controlling precedent of the United States Supreme Court and in a governing decision of this court.23
¶77 The court of appeals based its conclusion on the United States Supreme Court’s decision in Anderson v. Charles, 447 U.S. 404 (1980), which endorsed cross-examination that highlights inconsistencies between a defendant’s trial testimony and prior voluntary statements to police. That case held that in such circumstances, there is no Fifth Amendment violation under Doyle v. Ohio, 426 U.S. 610 (1976) because the prosecution is not commenting on a defendant’s silence (his failure to speak to police) but rather his statements to police. Charles, 447 U.S. at 408–09.
¶78 Argueta has challenged that determination on certiorari. He claims that his Fifth Amendment rights were infringed under Doyle because the prosecutor’s cross-examination drew “negative inferences” from his “silence,” not his “inconsistent statements.”
Argueta thus views Charles as governing only the limited circumstance in which the defendant is cross-examined about statements that are irreconcilable. In Argueta’s view, “Charles is inapplicable to this case because Argueta’s [trial] testimony provided only additional details, not inconsistent statements, when comparing Argueta’s trial testimony to his post-arrest statements to police.”
¶79 The State disagrees. It asserts that details given at trial but omitted in earlier statements to police are a kind of “inconsistency,” and that any cross-examination focusing on such statements is fair game under Charles. It also contends that we already resolved this question in State v. Velarde, 675 P.2d 1194 (Utah 1984), where we explained that Doyle has “no application to a case in which the defendant did not exercise his right to remain silent,” and emphasized that there is no Fifth Amendment bar on “cross-examination that merely inquires into [voluntary] prior inconsistent statements.” 675 P.2d at 1196 (citations omitted). The State contends that this is precisely the situation here since Argueta did not exercise his right to remain silent but instead spoke freely and voluntarily to the police. Because the prosecutor did not use Argueta’s “silence . . . to impeach an explanation subsequently offered at trial,” Doyle, 426 U.S. at 618 (emphasis added), but rather highlighted differences between his prior voluntary statements and trial testimony (embellishments added at trial), the State asks us to affirm the court of appeals under the standards set forth in Doyle, Charles, and Velarde.
¶80 I agree with the State’s reading of these cases. In the paragraphs below, I show that these decisions hold that there is no constitutional bar on a prosecutor’s comments highlighting inconsistencies between a story told voluntarily in a pretrial investigation and a story told voluntarily at trial. I then establish that there is no constitutional or logically tenable distinction between the inconsistency of (a) telling one story to police and a directly contradictory one at trial and (b) telling a limited story to police and embellishing it at trial. In neither circumstance has the defendant exercised his “right to remain silent.” He has voluntarily spoken at two different stages of the process—in a police investigation and at trial. And in so doing he has voluntarily subjected himself to cross-examination, without any infringement
contradictory, but inconsistent only in the sense that one added detail not previously provided. See infra ¶¶ 111, 111 n.26. In that situation, the Velarde court held that an “inconsistency” in a defendant’s stories “is a legitimate basis for a prosecutor’s testing the credibility of a witness by way of impeachment.” 675 P.2d at 1195. And it affirmed a conviction against a constitutional claim that such a move ran afoul of the defendant’s “right to remain silent.” Id. (citation omitted).
¶81 I find this holding controlling for reasons explained in greater detail below. The majority disagrees, asserting that Velarde does not “‘clear[ly]’ answer[] the question presented here.” Supra ¶ 51. Yet it does so in an opinion that offers no salient basis for rejecting my reading of Velarde or for effectively distinguishing it—and that simultaneously purports to be avoiding the constitutional question altogether. See supra ¶ 49 (stating that the court is “declin[ing]” to decide the constitutional question); supra ¶¶ 55, 55 n.14 (asserting that a decision on “the constitutional question would go against our approach to judging” under the doctrine of “constitutional avoidance”).
¶82 The most the majority can say about Velarde is that it involved an “inconsistency” in which the defendant gave one version of his story prior to trial and a “different[]” version at trial. See supra ¶¶ 51–52. But that just underscores the parallelism between this case and Velarde. As in this case, the Velarde defendant’s stories did not directly contradict each other—they were “inconsistent” only in the sense that the defendant embellished his story at trial. See infra ¶¶ 111, 111 n.26. It was in that context that the Velarde opinion held that “in order to assert the [Doyle] privilege[,] there must be an initial and sustained silence after the
¶83 Constitutional avoidance makes sense when we are resolving a case on a statutory or other alternate ground while
declining to break new constitutional ground. If that’s what the majority were doing, I could understand it as an act of judicial restraint. But that’s not what’s afoot. We have already broken the constitutional ground at issue—in our decision in Velarde. And the majority is openly casting shade on that decision. It is doing so, moreover, without identifying any persuasive ground for questioning the scope of this important decision.
¶84 This is not an act of restraint or judicial “humility.” See supra ¶ 55 n.14 (quoting State v. Rowan, 2017 UT 88, ¶ 27, 416 P.3d 566 (Himonas, J., concurring)). It is an open challenge to the settled state of our case law and our doctrine of stare decisis. In questioning Velarde—and the reading of that clear decision outlined further below—the court is not declining to decide an unresolved issue. It is reopening a heretofore resolved question, introducing doubt and ambiguity on a point that until today was clearly established. Unless and until the court explains (1) how the “inconsistency” in Velarde is any more contradictory than the “inconsistency” in this case and (2) how Argueta can invoke Doyle after “br[eaking] the silence guaranteed constitutionally,” Velarde, 675 P.2d at 1196, it is in no position to claim to be engaged in an act of restraint or humility.
¶85 There is no Fifth Amendment right to tell one story to the police and a different one at trial—at least, not one that allows you to insulate yourself from cross-examination. There is only a right not to be compelled to be a witness against yourself. And that right
¶86 These conclusions follow clearly from three sets of controlling authorities: (1) longstanding United States Supreme Court precedent limiting the right against self-incrimination by allowing defendants to be cross-examined regarding voluntary statements made during direct examination, see Fitzpatrick v. United States, 178 U.S. 304, 315 (1900), or police interrogation, see Miranda v. Arizona, 384 U.S. 436, 469 (1966); (2) the Supreme Court’s decisions in Doyle and Charles, which establish that there is no Fifth Amendment bar on “cross-examination that merely inquires into prior inconsistent statements” made voluntarily during a police investigation, Charles, 447 U.S. at 408; and (3) our opinion in Velarde, which holds that Charles extends to the kinds of inconsistencies at issue here—details provided at trial but not given during the initial police investigation, see 675 P.2d at 1195–96. I set forth the specific grounds for these conclusions in the three sections that follow.
I. Fitzpatrick and Miranda
¶87 The Fifth Amendment establishes a right against compulsory self-incrimination. It says that “[n]o person shall be . . . compelled in any criminal case to be a witness against himself.”
¶88 The first application of this principle is deeply embedded in controlling case law, going back at least as far as Fitzpatrick v. United States, 178 U.S. 304 (1900). In Fitzpatrick, the Court held that an accused who “waives his constitutional privilege of silence” by “tak[ing] the stand in his own behalf” is subject to cross-examination. Id. at 315. So “[w]hile no inference of guilt can be drawn from [the defendant’s] refusal to avail himself of the privilege of testifying,” the defendant “has no right to set forth to the jury all the facts which tend in his favor without laying himself open to a cross-examination upon those facts.” Id. Statements made on direct examination are made voluntarily. And they are thus fair game on cross-examination. In other words, a defendant is treated “with the same latitude as would be exercised in the case of an ordinary witness.” Id.
¶89 The same goes for statements made voluntarily to police during an investigation. This is a core premise of Miranda v. Arizona, 384 U.S. 436 (1966). That case established a warning that informs suspects of their right “to remain silent.” Id. at 444 (emphasis added). But that warning also includes the famous “explanation” that “anything” they say “can and will be used against [them] in court.” Id. at 469 (emphases added).
¶90 These premises follow naturally from the core guarantee of the Fifth Amendment. The protected right is a right against compelled self-incrimination.24 That right is always subject to
waiver, as when the defendant decides to speak voluntarily about his involvement in a crime. See Berghuis v. Thompkins, 560 U.S. 370, 384 (2010) (“Where the prosecution shows that a
¶91 Argueta cannot and does not assert that his statements to the police were in any way compelled or involuntary. He gave them voluntarily after he received his
II. Doyle and Charles
¶92 Fitzpatrick and Miranda provide the context for and explain the Supreme Court’s subsequent decisions in Doyle v. Ohio, 426 U.S. 610 (1976), and Anderson v. Charles, 447 U.S. 404 (1980). Contrary to Argueta’s assertions, these decisions did not establish a right to give two different voluntary statements about a crime and then avoid cross-examination about the differences so long as the statements do not flatly contradict one another. They establish only a narrow limitation on the scope of permissible cross-examination. And they do so in a manner that confirms the propriety of the cross-examination challenged in this case.
¶93 Doyle prohibits the prosecution from seeking to impeach a defendant by commenting on his “silence” during a police investigation. 426 U.S. at 617–19. But that holding is tethered to and based on the
¶94 Taken together, Doyle and Charles sustain the decision of the court of appeals. They clarify that the prosecution is prohibited from commenting on a suspect’s invocation of and reliance on the
A. Doyle
¶95 The defendant in Doyle v. Ohio was arrested and convicted on charges of drug trafficking. 426 U.S. 610, 611 (1976). At the time of his arrest, he was advised of his
¶96 The prosecution sought to undermine the defendant’s “framing” defense by questioning the defendant about his silence at the time of the initial police investigation. Id. at 613–14. It was in this context that the Doyle Court held that “impeachment use of a defendant’s post-arrest silence,” id. at 616, is an infringement of
based its “fairness” inquiry on the content of the required
¶97 The Doyle Court acknowledged that cross-examination regarding a defendant’s voluntary “post-arrest statements” is entirely appropriate Id. (emphasis added). But it viewed commentary on a defendant’s post-arrest silence as a different matter. The Court noted that
¶98 This clear holding of Doyle has no purchase in a case like this one. Here, there was no commentary on a defendant’s invocation of silence, but only commentary about his voluntary statements. That is fair game under Doyle.
¶99 Doyle is based on fundamental fairness concerns rooted in a defendant’s reliance on the implied promises of the
B. Charles
¶100 This reading of Doyle is confirmed by the Court’s per curiam opinion in Anderson v. Charles, 447 U.S. 404 (1980). Charles reinforced the distinction between an impermissible inference from silence (in contravention of the
¶101 The defendant in Charles was arrested while driving a stolen car—a car that belonged to a man “who had been strangled to death in his Ann Arbor home less than a week earlier.” Id. at 404. The defendant, found with personal property belonging to the deceased man, was given his
¶102 The defendant subsequently filed a federal habeas petition. Id. The Sixth Circuit held that “the prosecutor’s questions about [the defendant’s] post-arrest failure to tell officers the same story he told the jury violated due process under the rule of Doyle v. Ohio.” Id. at 407 (citation and internal quotation marks omitted). But the Supreme Court reversed, emphasizing many of the points that I have highlighted above.
¶103 First, the Charles Court highlighted the limited nature of the Doyle holding. “Doyle bars the use against a criminal defendant of silence maintained after receipt of governmental assurances.” Id. at 408 (emphasis added). It “does not apply to cross-examination that merely inquires into prior inconsistent statements.” Id. “Such questioning makes no unfair use of silence because a defendant who voluntarily speaks after receiving
¶104 Second, the Charles Court acknowledged that the line between silence and prior statements could be considered fuzzy. It noted that the Sixth Circuit had adopted a reading of Doyle that would bar questions that concerned a defendant’s “failure to tell arresting officers the same story he told the jury.” Id. (emphasis added) (citation omitted). And it conceded that there is a sense in which the failure to tell the same story told on a previous occasion “may be said to involve ‘silence’ insofar as it omits facts included in the other version.” Id. at 409. But the Charles Court expressly repudiated this “formalistic understanding of ‘silence.’” Id. In place of that view, the Court reinforced the Fifth Amendment principles at the heart of Miranda and Doyle, holding that Doyle is implicated only when the prosecution makes reference to a defendant’s “exercise of his right to remain silent.” Id. at 408 (citation omitted); see also id. at 409 (noting that a question that seeks only “to elicit an explanation for a prior inconsistent statement” is not a question that seeks to “draw meaning from silence,” and is thus constitutional under Doyle).
¶105 These principles again reinforce the court of appeals’ analysis in this case. There may be a metaphysical sense in which questions about perceived differences between Argueta’s voluntary statements on the night of his arrest and his trial testimony comment on “silence”—one story “omits facts included in the other version.” Id. at 409. But this does not offend the Fifth Amendment under Charles. The “formalistic” sense in which the prosecution’s cross-examination amounts to commentary on Argueta’s “silence” is beside the point—the key question is whether the prosecution has asked the jury to infer guilt from a defendant’s invocation of the right to remain silent set forth in the
III. Velarde
¶106 The above establishes the propriety of the prosecution’s cross-examination and closing argument in this case under controlling precedent of the United States Supreme Court. But any arguable doubt on the matter is resolved by our decision in State v. Velarde, 675 P.2d 1194 (Utah 1984). Velarde is directly on point and directly controlling as a matter of stare decisis. The majority unsettles our law by suggesting otherwise.
¶107 Velarde accepts the above understanding of the Charles opinion. It also goes further, resolving any remaining doubts of relevance to this case. Velarde holds that Doyle may be invoked only after “an initial and sustained silence” once
¶109 Velarde later testified at trial. There, he gave additional details that he had not provided at the time of his arrest. He stated that another man had “picked him up [in the truck] in Salt Lake City,” “driven past” the defendant’s home, and “stayed on the freeway all the way to Morgan,” where the other man lived. Id. The prosecution then sought to impeach the defendant on the basis of the differences between the story he told at trial and the voluntary statements he had made to the police officer. Id.
¶110 On appeal, the defendant asserted that this cross-examination constituted commentary on his “silence” and therefore infringed his Fifth Amendment rights under Doyle. Id. We rejected that argument. We held that the “inconsistency of [the defendant’s trial] testimony with what defendant had told the officer” was a “legitimate basis for a prosecutor’s testing the credibility of a witness by way of impeachment.” Id. And we emphasized that the defendant had “waived” his “Fifth Amendment guarantee to remain silent” by “talking freely with the officer” about the crime after receiving his
¶111 That analysis is directly controlling here. Velarde makes clear that there is no Fifth Amendment bar on cross-examination or commentary that is aimed at highlighting differences between two stories told voluntarily by a defendant. And it emphasizes that the differences explored need not be limited to outright contradictions.
Velarde speaks of “inconsistency.” Id. But the inconsistency at issue there, as here, involved mere differences—additional details recounted at trial that were not given to police. In Velarde, after all, it was entirely possible for the defendant to have both (a) not owned the truck, arrived in Morgan in the truck, and not known he was in Morgan at the time of his arrest (as he told the police), and (b) been picked up in Salt Lake and driven to Morgan in the truck by another person (as he testified at trial).26 Yet we spoke of these differences as inconsistencies that opened the door to cross-examination. Id. And we emphasized that the defendant had
Notes
The two stories told by Velarde were not directly contradictory. By the time of trial, Velarde had of course discovered where he had been on the night in question—he was on trial for a charge on which he was arrested in Morgan. So in explaining that it was another man who had driven him to Morgan, Velarde wasn’t suddenly claiming that he had known he was in Morgan the night he was arrested. To the extent there was any inconsistency, it was in the embellishments and details relayed at trial (and not recounted during the pretrial investigation).
That is exactly the situation here. Argueta, like Velarde, “freely told the officer that arrested him,” supra ¶ 51, that he had met the victim at a bar, come to her apartment, noticed the keys in the door, and entered to place the keys on the dresser. “Then, at trial, he testified altogether differently . . . .” Supra ¶ 51. He not only provided elaborate details about meeting both the victim and her ex-boyfriend at a bar—driving home together, sharing a beer, and lending twenty dollars to the victim’s ex-boyfriend—he claimed that he had tried to collect the debt some five or six times before, and that recovering that eighteen-month-old debt had been the reason for his presence at the apartment. Like Velarde’s additional details, Argueta’s embellishments were surprising and arguably suspicious, but ultimately reconcilable. It was perfectly possible for every statement to be true. And if Velarde involved an “inconsistency” on which it was fair game for the prosecutor to comment, then the same holds true here.
waived his right to remain silent by speaking “freely with the officer.”27 Id.
¶112 The majority asserts that Velarde “tells us little to nothing about cases” where the alleged inconsistency involves details told at trial that were not relayed previously. Supra ¶ 54. But that is incorrect. This case is on all fours with Velarde. The inconsistency we encounter today is exactly the kind of inconsistency we encountered in Velarde. See supra ¶¶ 111, 111 n.26.
¶113 The majority resists this conclusion. It says that Velarde could not have addressed whether “inconsistent” statements include differences as well as outright contradictions, seesupra ¶ 53, because Velarde did not use the “key words” “‘supplemental,’ ‘different,’ or ‘reconcilable,’”28 supra ¶ 54 n.12. I don’t follow. The
doctrine of stare decisis “requires,” at a minimum, “that a decision rendered by a court in a particular factual context govern later decisions by that court arising under the same or similar facts.” State v. Sims, 881 P.2d 840, 843 n.7 (Utah 1994). And that principle requires our application of the Velarde holding here—a decision giving “inconsistent” the content it must have had in order for the Velarde court to come to the decision it did. Both Argueta’s and Velarde’s statements were (1) voluntary and (2) ultimately reconcilable, supra ¶¶ 111, 111 n.26—and Velarde’s were deemed “inconsistent.” 675 P.2d at 1196 (citation omitted). That should be the end of the matter. See Steiner Corp. v. Auditing Div. of Utah State Tax Comm’n, 1999 UT 53, ¶ 12, 979 P.2d 357 (“Stare decisis means that like facts will receive like treatment in a court of law.” (citation omitted)).
¶114 The majority also claims that we have not decided where embellishments like Argueta’s “‘fall’ within the spectrum between Doyle and Charles.” See supra ¶ 49. But I’m not sure how Velarde could have been any clearer. That opinion went to great lengths to distinguish the circumstance presented in a case like this one (and Charles and Velarde) from the situation in Doyle. It noted that “[t]he rationale which the Supreme Court [had] adopted for its decision in Doyle” was that it was “fundamentally unfair for the prosecution to impose a penalty at trial on a defendant who has exercised [his] right by choosing to remain silent.” Velarde, 675 P.2d at 1195–96 (quoting United States v. Agee, 597 F.2d 350 (3d Cir. 1979)). It reasoned that “[t]he very statement of that rationale demonstrates that Doyle can have no application to a case in which the defendant did not exercise his right to remain silent.” Id. at 1196 (quoting Agee, 597 F.2d 350). And it reinforced the straightforward reading of Charles that allows “cross-examination that merely inquires into prior inconsistent statements,” given that “a defendant who voluntarily speaks after receiving
unfair use of silence.” 675 P.2d at 1196 (quoting Charles, 447 U.S. at 408).
¶115 These are precisely the circumstances of this case. And Velarde is accordingly controlling and entitled to respect as a matter of stare decisis. If the majority wishes to walk back Velarde it should do so transparently—and with something more than the truism that Velarde is less than two pages long and has been cited only once for the proposition that a defendant’s “inconsistent testimony is legitimate basis for prosecutor’s questioning his credibility.” See supra ¶¶ 53–54 (citation omitted). I don’t see how a case being short or cited only for its holding undermines its holding. If the court has doubts about Velarde, it should own that position and justify it under our doctrine of stare decisis. In the absence of such justification, Velarde is controlling.
¶116 I would so hold. And I would affirm the court of appeals’ analysis under Velarde’s authority.
