Lead Opinion
OPINION
1 Raymond L. Bedell challenges his conviction of sexual battery, a class A misdemeanor, see Utah Code Ann. § 76-9-702(B)-(4) (Supp.2011).
BACKGROUND
2 On October 1, 2008, Bedell, a physician specializing in pain management, met with the alleged victim (the Complainant) regarding her chronic knee and ankle pain and a bruised rib. The Complainant alleges that during that first visit, while she and Bedell were alone in the examining room, Bedell fondled her breasts for approximately ten minutes and "pressed up against [her] leg and ... had an erection." Following this incident, the Complainant continued to see and receive prescriptions from Bedell for three months. During this time and afterward, the Complainant was abusing prescription medication. Several years after she stopped seeing Bedell, the Complainant was arrested for prescription fraud.
{3 In May 2004, the Logan City Police Department began investigating allegations of sexual abuse against Bedell. Between that time and the time the Complainant brought her allegations to the police in fall 2006, at least nine women asserted allegations of sexual impropriety against Bedell.
15 Bedell was charged with two counts of forcible sexual abuse arising from the incident with Complainant. These charges were tried separately from those relating to Be-dell's other accusers, but prior to trial, the State moved the trial court to admit evidence of the other nine women's allegations (the 404(b) evidence) under rule 404(b) of the Utah Rules of Evidence in order to show Bedell's "intent, motive, opportunity, absence of mistake or accident and a pattern of improper touching of women in a variety of settings and in a medical facility." The trial court denied the State's motion, determining that in light of the fact that Bedell was not asserting that the touching was justified by a medical purpose, the proposed bad acts evidence was only minimally probative and its value was outweighed by the danger of unfair prejudice. Nevertheless, the trial court promised to revisit its ruling if Bedell "admits to any element of the sexual assault charges but professes a specific or general medical purpose in such an [admission]" or otherwise " 'opens the door' " to the evidence. The record does not show that the trial court ever revisited this ruling.
T6 At trial, both the State's direct examination and Bedell's eross-examination of the Detective alluded to the previous allegations by mentioning that Bedell was being investigated prior to the Complainant's disclosure and by referring to the markers that allegedly bolstered the Complainant's credibility. At one point during eross-examination, the State interrupted to request a bench conference. The bench conference was unrecorded, and the topic of the bench conference was never discussed on the record. On redirect, the State questioned the Detective regarding the specific allegations of six different women against Bedell, emphasizing the markers that were common among the women's allegations. Defense counsel did not object to this line of questioning. Bedell was ultimately acquitted of the two felony counts of forcible sexual abuse but was convicted of one lesser included offense of sexual battery, a class A misdemeanor.
ISSUES AND STANDARDS OF REVIEW
T7 Bedell first requests that we reverse his conviction on the ground that the statute of limitations on the lesser included offense had expired prior to his being charged. Alternatively, he requests that we reverse his conviction and remand for a new trial based on the inappropriate admission of the 404(b) evidence in contravention of the trial court's pretrial ruling excluding such evidence.
18 In order to prevail on grounds of plain error, an appellant must show that "() [aln error exists; (#) the error should have been obvious to the trial court; and (iii) the error is harmful, {e., absent the error, there is a reasonable likelihood of a more favorable outcome for the appellant, or phrased differently, our confidence in the verdict is undermined." State v. Dunn,
ANALYSIS
I. The Statute of Limitations Did Not Preclude Charging Bedell with the Lesser Included Misdemeanor Offense.
T9 Bedell argues that it was plain error for the trial court to allow the lesser included class A misdemeanor charge for sexual battery to appear on the verdict form because the statute of limitations on that charge was two years, see Utah Code Ann. § 76-1-302(1)(b) (Supp.2011) ("[A] prosecution for ... a misdemeanor other than negligent homicide shall be commenced within two years after it is committed."), and the Complainant did not contact the police until three years after the alleged abuse took place. He also argues that his counsel performed ineffectively by failing to object to the instruction on the lesser included offense. But the Utah Code recognizes an exception to the statute of limitations:
Whenever a defendant is charged with an offense for which the period of limitations has not run and the defendant should be found guilty of a lesser offense for which the period of limitations has run, the finding of the lesser and included offense against which the statute of limitations has run shall not be a bar to punishment for the lesser offense.
Id. § 76-1-805 (2008).
II. Bedell Is Entitled to a New Trial Based on the Improper Admission of the 404(b) Evidence.
[ 10 The State contends that defense counsel's performance was not deficient and that the trial court did not err by permitting the Detective to testify regarding the 404(b) evidence because it can be inferred that the trial court reversed its ruling excluding the 404(b) evidence during the unrecorded bench conference. Furthermore, the State asserts that we should construe the lack of record evidence regarding what happened during the bench conference against Bedell by assuming the regularity of the proceedings, ie., by assuming that the trial court's failure to exclude the evidence was appropriate and supported by an off-the-record reversal of its original ruling. We decline to do so because it is the State, not Bedell, that seeks to support its argument by relying on the incomplete portions of the record. Furthermore, we can see no basis in the record for the trial court to have reversed its original ruling, as there is nothing to indicate that Bedell opened the door to the 404(b) evidence. Ultimately, we conclude that in light
A. We Will Not Assume that the Trial Court Reversed Its Original Ruling in the Absence of Record Evidence.
111 As a general rule, "record inadequacies result in an assumption of regularity on appeal," and "[where the record appears inadequate in any fashion, ambiguities or deficiencies resulting therefrom simply will be construed in favor of a finding that counsel performed effectively." Litherland,
12 In State v. McClellan,
113 This court reached a similar conclusion in State v. Wagenman,
{115 Yet the State asks that we construe record inadequacies in its favor and presume a lack of error. Such an approach is directly contrary to the reasoning behind our general rule that we construe record ambiguities and inadequacies against the party asserting error: "Absent [al record, defendant's assignment of error stands as a unilateral allegation which the review court has no power to determine. This [clourt simply canmot rule on a question which depends for its existence upon alleged facts unsupported by the record." Wulffenstein,
B. There Was No Basis for the Trial Court to Reverse Its Original Ruling.
116 Even if we were inclined to accept the State's argument that the unrecorded bench conference could be inferred to
1 17 In its direct examination of the Detective, the State alluded to the prior allegations by eliciting testimony that, while in jail and prior to reporting abuse, the Complainant had been informed by the Inmate of "an ongoing investigation with Dr. Bedell"; that the Detective was looking for specific markers in the Complainant's testimony that might indicate her veracity; that specific aspects of the Complainant's testimony conformed to the markers the Detective was looking for; that "these consistencies or markers" led the Detective to believe the Complainant to be credible; and that 90-95% of the investigation into Bedell was completed before the Complainant came forward with her allegations. Defense counsel used this same information, already brought up by the State, to point out that the Complainant learned of the investigation from the Inmate prior to disclosing and that she could therefore have falsified her allegations. He also suggested that the Detective's investigation was faulty because, having other complaining witnesses to rely on, he neglected to test the Complainant's veracity by seeking out and interviewing the Inmate. In the process of this questioning, defense counsel referred to the existence of other allegations and the Detective elaborated on the relevance of the markers discussed during direct examination by explaining that he was looking for similarities between the Complainant's allegations and other allegations that had previously come up against Bedell. The explicit use of the word "allegations," which the State avoided on direct examination by referring more benignly to an "investigation," appears to be the only difference between the information elicited on direct examination and that elicited on cross-examination and did not open the door to the State's exploring the details of the allegations on redirect.
{18 Furthermore, general testimony regarding the ongoing investigation was more than sufficient to fulfill the State's alleged purposes of rebutting Bedell's challenges to the Complainant's credibility and demonstrating the thoroughness of the Detective's investigation. There was nothing additional to be gained on these points by having the Detective testify regarding the details of the prior allegations. On direct examination, the State had already elicited testimony that the Complainant's allegations contained many of the same markers as the other victims and even testimony regarding what many of those markers were; the specific details of each prior allegation did little, if anything, to bolster that testimony. Similarly, the details did nothing to rebut Bedell's assertion that the Detective's investigation lacked thoroughness because that assertion was based
19 For these reasons, it does not appear that Bedell opened the door to the 404(b) evidence or that it was needed for the purposes asserted by the State. Thus, even if we were to accept the State's assertion that it would be appropriate to infer from the record that the trial court reversed its ruling regarding the 404(b) evidence in the unrecorded bench conference, we do not think such an inference can reasonably be made or that such a ruling would have been appropriate under the cireumstances.
C. The Admission of the 404(b) Evidence Was the Result of Ineffective Assistance of Counsel and Plain Error.
120 In light of the trial court's ruling excluding the 404(b) evidence and the lack of record evidence demonstrating that the ruling was reversed, we determine that Bedell received ineffective assistance of counsel at trial. We can conceive of no strategic reason for Bedell's counsel not to object to the Detective's testimony on redirect regarding the 404(b) evidence, and the State has suggested none. Given the trial court's 404(b) ruling and the prejudicial nature of the evidence, we conclude that counsel performed deficiently by failing to object. Furthermore, in light of credibility issues with the Complainant's testimony and the fact that the jury acquitted Bedell of the felony charges even in the face of the 404(b) evidence, we conclude that there is a reasonable probability that Bedell would have been acquitted of the lesser included offense had the 404(b) evidence not been presented to the jury and that counsel's deficient performance was therefore prejudicial.
121 We also conclude that it was plain error for the trial court to permit the questioning without reconsidering its earlier ruling. The pretrial ruling should have been treated as the law of the case unless and until it was changed by the trial court. See IHC Health Servs., Inc. v. D & K Mgmt., Inc.,
CONCLUSION
122 Because we conclude that the lesser included offense charge was not erroneous, we cannot dismiss Bedell's case. However, because we determine that Bedell received ineffective assistance of counsel and that it was plain error for the trial court to permit the State to question the Detective regarding the 404(b) evidence, we reverse Bedell's conviction and remand for additional proceedings.
283 I CONCUR: MICHELE M. CHRISTIANSEN, Judge.
Notes
. Where the relevant provisions have not substantively changed, we cite the current version of the Utah Code for the reader's convenience.
. Bedell also argues that the trial court should have granted a new trial based on newly discovered evidence. However, because we agree that the 404(b) evidence was improperly elicited and remand for a new trial on that ground, we need not consider this additional argument.
. Bedell relies on the Utah Supreme Court's 1943 holding in State v. Crank,
. The State points out the trial court's statement in its ruling on Bedell's motion for a new trial that "the Court concluded that [the Detective] could talk about other victims since the defense challenged the quality of his investigation." However, the motion for a new trial was decided by a different judge than the one who presided over the trial, and that judge was not privy to extra-record rulings that may have taken place. The second judge's conclusion that the court permitted the evidence is not supported by the record and appears to merely accept the State's assertion that the reversal of the court's original ruling excluding the 404(b) evidence could be inferred from the record. We therefore do not consider it to be record evidence that the 404(b) ruling was actually reversed.
. Additionally, the fact that defense counsel was questioning the Detective regarding his investigation into the Inmate at the time the bench conference was requested, not questioning him about markers or his investigation of the prior allegations, detracts from the State's argument that we should infer that the bench conference related to the 404(b) evidence.
. Bedell does not contest the propriety of using the 404(b) evidence for these purposes, so we assume without deciding that these purposes might have been proper under the circumstances.
. Not to mention that Bedell never raised a medical purpose defense, the primary consideration the trial court suggested might induce it to reverse its ruling.
Dissenting Opinion
(dissenting):
124 I respectfully dissent. I agree with the majority opinion that there was no error in allowing the jury to be instructed on the class A misdemeanor sexual battery charge. However, I disagree with the majority's conclusions that the 404(b) evidence was improperly admitted and that the admission of this evidence entitles Bedell to a new trial on grounds of plain error and ineffective assistance of counsel. See generally Utah R. Evid. 404(b) (governing the admission of evidence of prior crimes, wrongs, or bad acts). I would also reject Bedell's other arguments on appeal, either on their substance or as
125 The erux of the majority's analysis is that Bedell had secured a pretrial ruling excluding from evidence nine prior allegations of sexual misconduct by Bedell against his female patients, that the district court never modified that ruling, and that both plain error and ineffective assistance of counsel occurred when the State was allowed to introduce the 404(b) evidence in the face of the unmodified pretrial ruling. My disagreement with the majority's analysis arises from Bedell's cross-examination of the Detective, which opened the door to evidence that would otherwise have been excluded under the district court's ruling. The district court's exclusion order expressly provided, "The State may seek to resubmit some or all of the 404(b) evidence at trial, if [Bedell] 'opens the door to the same." As this is exactly what happened, I see no plain error in the district court's failure to challenge, sua sponte, the Detective's 404(b) testimony. Further, Bedell's counsel's actions regarding the 404(b) evidence demonstrate a reasonable trial strategy and, as such, cannot constitute ineffective assistance of counsel.
26 "In order to demonstrate plain error, a defendant must establish that (1) the district court erred, (2) the error should have been obvious to the district court, and (8) the error was harmful." State v. Brooks,
127 Bedell's cross-examination of the Detective clearly opened the door regarding the other allegations of sexual misconduct. See generally State v. Lopez,
1 28 Bedell's ineffective assistance of counsel claim also must fail because there were sound strategie reasons for allowing the prior accusation testimony to come in. See generally State v. Dunn,
{29 For these reasons, I cannot agree with the majority opinion that either plain error or ineffective assistance of counsel occurred in this case as regards the 404(b) evidence. I would also reject Bedell's other claims of error on appeal. Accordingly, I would affirm Bedell's conviction, and I respectfully dissent from the majority opinion's reversal of that conviction.
. The Detective also testified on cross-examination, "[The similarities between [Complainant's statement] and the other complaining witnesses in this matter are-how do you say it? They-they bring-they bring a person to a conclusion that she's telling the truth."
. The Detective went into substantially greater detail about the prior accusations on redirect than he had on cross-examination. It is possible that Bedell could still have excluded some of these details upon further objection and argument, but the inadmissibility of the details is not so obvious that the district court committed plain error in allowing them to come in.
. In closing argument, Bedell's counsel made the following statement regarding the Complainant's interactions with the Inmate, another alleged victim of Bedell's who the Complainant had met in jail:
[The Complainant] says in her written statement here on page 15, that she said, referring to [the Inmate], that something similar had happened to her. Well, [the Inmate] came, and she-I didn't hear her say that she had been sexually assaulted by anybody. What she did say, however, was very similar language to the language that [the Complainant] used. And that is, "You look younger than your age." I asked {the Inmate], "Did you tell that to [the Complainant] when you guys were talking at the jail?['"] I mean that's exactly what she's saying that Dr. Bedell said to her.... And she says, "I might have."
"You look pretty." That's another concept that [the Complainant] says that Dr. Bedell did that was inappropriate, that's exactly what [the Inmate] said.
And then the concept, he made me feel dirty, like I wanted to wash my hands after visits. And that concept of feeling dirty is exactly the concept that's conveyed by [the Complainant] to [the Detective] in her interview, and she's kept that dirty theme through her testimony before us here.
[The Complainant] tells us that [the Inmate] explained what was going on regarding Dr. Bedell and he was being investigated. [The Inmate] said that they were discussing what they have read in the paper about-what they have read in the papers. What does that suggest? Not earth shattering stuff, but it does suggest that [the Complainant] was talking to [the Inmate] about what's been in the paper about Dr. Bedell. There's nothing wrong with that, it's in the paper, everybody could read it. But when [the Complainant] gets with [the Detective], she minimizes that concept with [the Detective].
