Thomas J. Holt appeals from the judgment convicting him of first-degree murder and first-degree sexual assault contrary to secs. 940.01(1) and 940.225(l)(a), Stats. He claims that the sexual assault prosecution was barred by sec. 939.71, Stats., that the circuit court erroneously failed to instruct the jury on second-degree murder and committed various additional evidentiary and other errors and that he was entitled to credit against his sentence. The state no longer disputes, and we agree, that Holt should receive credit for time spent in custody in Illinois, but we otherwise affirm the convictions.
On the night of June 20,1979, Holt followed Alice Alzner, a resident of Lake Forest, Illinois, when she and a friend drove home after spending the evening at a bar in Kenosha. After Alzner dropped her friend off, Holt followed Alzner to her house, forced her into his car and drove back to Kenosha. He apparently attempted to have sex with her but later claimed not to know whether they had sex or not because he was "totally out of it"
1
from drinking beer and smoking marijuana. He stated that Alzner kneed him in the groin and that he "must have freaked out," hit her in the face and "may have" choked her by tying her bra and sweater around her neck. He then buried her in his neighbor's yard. When Alzner's unclothed body was
Holt was convicted in Illinois of aggravated kidnapping, battery and felony murder and was sentenced to death. In 1982, the Illinois Supreme Court reversed the felony murder conviction, ruling that Illinois lacked jurisdiction over the crime since the murder occurred in Wisconsin. Holt was then tried and convicted in Wisconsin for first-degree murder, first-degree sexual assault and theft from a person and was sentenced to consecutive prison terms of life, ten years and three years, respectively.
Motion to Dismiss
Holt argues first that the trial court should have granted his motion to dismiss the sexual assault charge because it was barred under sec. 939.71, Stats., due to the prior Illinois convictions on two counts of aggravated kidnapping. Section 939.71 provides:
Limitation on the number of convictions. If an act forms the basis for a crime punishable under more than one statutory provision of this state or under a statutory provision of this state and the laws of another jurisdiction, a conviction or acquittal on the merits under one provision bars a subsequent prosecution under the other provision unless each provision requires proof of a fact for conviction which the other does not require.
Illinois Revised Statutes ch. 38, sec. 10-2(a)(3)(1978), provides that a kidnapper is guilty of aggravated kidnapping when he inflicts great bodily harm or commits another felony upon his victim. Holt was convicted of two counts of aggravated kidnapping,
Section 940.225(l)(a), Stats., provides that first-degree sexual assault is committed when a person has sexual contact or intercourse with another person without consent of that person and causes pregnancy or great bodily harm to the victim. The facts to be proved in the instant case were thus: (1) sexual contact or intercourse; (2) lack of consent, and (3) great bodily harm.
Holt contends that the Wisconsin charge of first-degree sexual assault requires proof of no fact which was not required for the two Illinois counts of aggravated kidnapping, taken together, and is therefore barred by sec. 939.71, Stats. He admits, however, that his argument succeeds only if the elements of the two aggravated kidnapping charges are added together. Because sec. 939.71 refers to individual provisions and does not allow the adding together of claims to circumvent the "additional fact" test, we reject Holt's argument.
Our supreme court has made clear that when multiple charges arise from a single course of conduct, the additional fact test is to be strictly construed; as long as conviction under each provision requires proof of a
Kidnapping aggravated by great bodily harm, kidnapping aggravated by rape and sexual assault aggravated by great bodily harm are three different offenses. None is a lesser-included offense of any of the others. The Wisconsin sexual assault charge does not require proof of kidnapping. The first count of aggravated kidnapping under the Illinois statute did not require proof of sexual assault and the second did not require proof of great bodily harm. The requirements of sec. 939.71, Stats., are met and the circuit court did not err in refusing to dismiss the first-degree sexual assault charge.
Sufficiency of the Evidence
Holt argues next that the sexual assault conviction was not supported by sufficient evidence. We disagree. The evidence, considered most favorably to the state and the conviction, is not so insufficient in probative value and force that it can be said as a matter of law that no reasonable jury could find guilt beyond a reasonable doubt.
See State v. Stanfield,
Circumstantial evidence may establish the fact of sexual intercourse.
Hagenkord v. State,
Holt argues that no scientific evidence was presented identifying the semen found in Alzner's vagina as his. While the presence or absence of such serological typing evidence is a matter for the jury to consider, it is not necessary for conviction.
See, e.g., Hagenkord,
Holt also contends that the testimony of one of the state's expert witnesses indirectly refutes that of another. Pathologist John Sanson testified that he performed the autopsy on Alzner less than three days after her death, that he found a high concentration of acid phosphatase in her vagina and that acid phosphatase begins to deteriorate after about four days. San-son's testimony thus raised the implication that the enzyme found in Alzner's vagina could be no more than three or four days old. Chemist Michael Johnson testified that he examined the stained blanket six days after the incident and that an acid phosphatase test allowed him to conclude that the stain was in fact a semen stain.
Holt argues that Johnson's identification of the enzyme after six days refutes Sanson's implication that the enzyme in Alzner's vagina could be only three or four days old. We reject this argument. Sanson stated that the enzyme begins to deteriorate after about four days but gave no limits as to how long deterioration takes under varying conditions or how much time can elapse before the enzyme is no longer identifiable. The testimony of the two experts is not irreconcilable.
Continuing his argument of insufficient evidence, Holt contends that a conviction for sexual assault requires the victim to have been alive during the alleged intercourse and that there is inadequate evidence in the present case to support a finding that Alzner was alive if and when intercourse occurred. The state agrees that sexual intercourse with a dead body does not violate Wisconsin's sexual assault laws but argues the jury could reasonably have believed that Alzner was alive when Holt had intercourse with her.
We conclude that in a rape-murder case where the exact sequence of events cannot be proved, the jury may reasonably infer, though it need not do so, that the victim was alive during the sexual assault, at least in the absence of evidence of necrophilic tendencies on the part of the accused.
See Hines v. State,
Holt argues that an assailant with no necrophilic tendencies could have intercourse with his victim without realizing that she was dead. In such a case, the defendant is free to conduct his defense accordingly, and the jury is free to believe him. No such defense was presented here.
Holt's next major contention is that the circuit court erred when it refused to instruct the jury on second-degree murder but did give an instruction on intoxication. The state concedes that if the evidence justified the intoxication instruction, it was error to refuse the second-degree instruction, since a successful intoxication defense negates intent and reduces first-degree murder to second-degree murder.
State v. Brown,
A threshold issue must be addressed before we reach the merits of the state's argument. At trial, the state did not object to Holt's request for the second-degree murder instruction and actually requested the intoxication instruction. Holt therefore contends that the state is estopped to argue that the intoxication instruction should not have been given. 2
The general rule on appeal is that failure to object to a jury instruction in timely fashion constitutes a waiver of the objection.
State v. Baldwin,
Given the tentative nature of the Brown court's holding on this issue, the fact that the court proceeded to address the merits of the state’s argument and the additional fact that the court neither specifically addressed nor even identified the question of whether the general waiver rule should apply to a respondent seeking to uphold the lower court's decision, we view the Brown language as in the nature of dicta.
When an appellate court intentionally takes up, discusses and decides a question germane to a controversy, such a decision is not a
dictum,
but is a judicial act of the court which it will thereafter recognize as a binding decision.
State v. Kruse,
We are persuaded that in the present case the state ought not to be held to have waived its right to argue that the intoxication instruction should not have been given because the purposes behind the rule requiring objection in the trial court to avoid waiver would not be advanced by its application here.
In contrast, a respondent on appeal seeks to uphold rather than reverse the result reached at trial. The very policies of judicial efficiency which underlie the general waiver rule argue against the rule's being applied to deny the respondent the right to assert a ground for upholding the trial court's decision. The respondent does not ask that the matter be tried again but merely asserts that the appellant's argument in favor of reversal is without merit.
It is well-established that if a trial court reaches the proper result for the wrong reason, it will be affirmed.
See State v. King,
We therefore hold that although the state joined in requesting the intoxication instruction, it, as respondent here, has not waived the right to claim that there was no error in failing to give the instruction on second-degree murder because the giving of the intoxication instruction, upon which the appellant's claim of entitlement is based, was error.
We emphasize that our holding is not to be construed as an uneven application of the waiver rule, favoring the state over a defendant-appellant. There are cases in which the state is the appellant. In such cases, the state seeks to reverse the trial court. We will without hesitation apply the waiver rule against the state where the issue was not first raised by it at the trial court. Similarly, in those situations, we will allow the defendant-respondent to raise any defense to the appeal even if that defense is inconsistent with the stand taken at the trial level.
Any appearance of unevenness only exists because in most criminal appeals the defendant is the appellant; therefore, the majority of times that waiver will
Additionally, we perceive a policy argument supporting our holding of not applying the waiver rule to the state as respondent. To apply the rule would encourage a hard-line approach against defenses and lesser-included offenses by district attorneys. As a practical matter, many district attorneys consent to instructions on defenses and lesser-included offenses when the issue is arguably close. This position avoids possible reversal in most cases.
If the waiver rule were applied against the state as respondent, prosecutors would be more wary of consenting to such instructions, fearing that if agreeing to an instruction on a defense or lesser-included offense were wrong, reversal would be automatic in a case such as the present one in which the appellant's argument for reversal depends upon that instruction having been given at trial.
We applaud the actions of those district attorneys who consent to defenses and lesser-included offenses being given in close cases. We fear a contrary result were we to rule otherwise on the waiver issue.
We turn then to the merits of the state's contention.
The intoxication instruction is properly given only where, viewing the evidence in the light most favorable to the defendant, a jury could reasonably find that he was so intoxicated that he lacked the intent to kill.
Larson v. State,
"In order to place intoxication in issue in a given case, it will be necessary for the defendant to come forward with some evidence of his impaired condition."
State v. Strege,
In Holt's statements to the police on June 23 and 24,1979, he said he was drinking heavily and smoking marijuana on the night of June 21 (sic), became "totally blitzed" and was sick four or five times. Holt's sister's
At about 1:30 a.m., Holt stated that he saw Alzner get into her car and drive away and he pulled out after her. He said he observed her car weaving from side to side on the road and he decided to follow her to see that she got home safely. He in fact did follow Alzner's car to her house in Lake Forest, Illinois, a drive of about thirty minutes. He remembered that when he approached her they spoke of his concern for her safety; he asked if she remembered him and she said yes. She asked if he wanted a drink and he said no; she asked him if he smoked and he said yes; he asked if she wanted to go out for a bite. The next thing he knew, she screamed, he "freaked out," hit her and told her, "let's go." He recalled that they both got into his car by the door on the driver's side. He then made a Y-turn in a driveway and drove back to Kenosha, arriving at about 3:00 a.m.
On the way, he recalled that they were smoking joints and that he stopped at a bar and bought a six-pack of Old Style beer. He parked near his mother's
He then buried her in a hole he dug in his neighbor's yard and later described the location of the site sufficiently well that Kenosha police detective Myhre drew a diagram of where to look. Holt got home at about 4:30 a.m., according to his wife's testimony, and washed up. They had a discussion, during which she testified that she could understand what he said and he seemed to understand her. He was not stumbling, getting sick, or passing out, as she had seen him on one or two other occasions when he was very drunk.
The undisputed facts, therefore, show that although Holt may have consumed a large quantity of alcohol and certain controlled substances on the night of June 20, he was functioning at a level inconsistent with his claim of impairment. He was able to recount in considerable detail most of the events of the evening, despite claiming lapses of memory at certain brief but crucial times. Neither his sister nor his wife noticed his level of functioning to be significantly impaired.
We note that in the present case there was evidence on when and over what period of time Holt in
Where, as here, the undisputed evidence as to the defendant's conduct demonstrates a level of functioning inconsistent with the claimed level of intoxication, it may be held as a matter of law that even in the face of expert opinion testimony favoring the defendant's claim, a jury could not have reached a different conclusion.
See Loveday v. State,
We hold, therefore, that the evidence of intoxication was insufficient to support a jury finding that Holt was incapable of forming the intent to kill Alice Alz-ner. There was thus no error in the trial court's failure to give the instruction on second-degree murder which
Holt claims that even if the intoxication instruction should not have been given, an instruction on second-degree murder was independently warranted by evidence that he did not in fact intend to kill Alzner. We hold that the trial court properly denied the instruction.
In order to submit a lesser-included offense instruction to the jury, there must be reasonable grounds in the evidence for both acquittal on the greater charge and conviction on the lesser.
Hawthorne v. State,
The reasons given by the trial court for not instructing on second-degree murder are basically the same as those which we have held made an intoxication instruction not justified. The trial court refused to instruct on second-degree murder:
because of all of the facts in this case, and the testimony of seeing the defendant at the tavern, the fact that the defendant drove down, that he danced and had presence of mind to leave the place at around 11 o'clock, picked up his wife, dropped his wife back again going out in the car, driving down to Lake Forest in an area that is sufficiently far from Kenosha, about 30 miles and following a car down there, then coming back to Kenosha, allegedly burying the body ....
Absent the defense of intoxication, there was no evidence or theory presented to explain how Alzner's death by strangulation, in which two items of clothing were tightly knotted around her neck, was unintended. Holt's statements that "I do not believe that I would
Admission of Evidence
Holt next argues that the trial court made several erroneous evidentiary rulings.
He claims that he was denied due process when the prosecution was allowed to introduce testimony concerning the pathologist's analysis of vaginal swabs taken from the victim at the autopsy because the state had not preserved the swabs for analysis by him. Holt desired to have the swabs tested to determine the blood and enzyme type of the semen found in the swabs, no such tests having previously been performed. He claims that destruction of the swabs deprived him of a meaningful opportunity to present a complete defense, since it is possible that had such tests been performed, he would have been ruled out as the source of the semen.
Due process does not require the state to preserve evidence which is merely potentially exculpatory.
California v. Trombetta,
In the present case, there was no bad faith on the part of the state. The state did not have possession of or destroy the swabs; rather, they were destroyed after three years in the normal course of business at the independent hospital in Kenosha where they were stored.
Furthermore, the swabs possessed no exculpatory value that was apparent at the time they were destroyed, since blood type and enzyme tests had neither been performed nor requested. Any claim that such tests would have ruled out Holt as the source of the semen found in Alzner's vagina is speculative at best. Thus, the first prong of the Trombetta analysis is not met and the claim fails.
Even if the Trombetta elements could be established, we would affirm the circuit court's ruling that Holt's request was not timely. The swabs were preserved for approximately three years, during which time Holt apparently made no demand for further testing. Sexual intercourse was an issue in the Illinois prosecution on one of the aggravated kidnapping charges, so Holt had as much reason to desire further analysis of the swabs at that time as he had during the Wisconsin prosecution, when the swabs had already been destroyed. The circuit court ruled that, in order to be timely, a demand should have been made during
Holt next argues that the trial court erred in admitting testimony concerning chemist Michael Johnson's analysis of the semen-stained blanket because the blanket could not be connected to the assault or murder and therefore the testimony was irrelevant and its probative value outweighed by its prejudicial impact. Holt concedes that the decision to admit or exclude this evidence lay within the trial court's discretion but contends that the exercise of that discretion is not reflected in the record.
If the trial court fails to set forth its reasoning in exercising its discretion to admit evidence, the appellate court will independently review the record to determine whether it provides a basis for the trial court's exercise of discretion.
State v. Pharr,
The blanket itself had already been admitted into evidence, and there was testimony that the blanket was found by police with the shovel used to bury Alz-ner. Both were in the trunk of the car Holt had driven on the night in question and Holt's wife, who owned the car, said she had never seen the blanket before. Johnson's testimony that the blanket tested positive for acid phosphatase raised the implication that the stain was a semen stain and recently made.
Holt claims the suggestion that the semen was deposited on the blanket during the assault was "false." This claim alone cannot lead us to conclude, as he urges, that the testimony would thereby tend to confuse the jury. Neither do we deem as significant Holt's concern that testimony about a semen-stained blanket which was unfamiliar to Holt's wife was highly prejudicial because it suggested that Holt customarily and spontaneously engaged in extra-marital intercourse. The testimony was properly admitted.
Holt also claims the court erred in requiring that both Dr. Gale and the prosecution be shown a letter written by Dr. Ronald Baron, a psychiatrist who had been retained by Holt's Illinois counsel to assist in his defense but who was not eventually used as a defense witness. After the letter was disclosed to the prosecution, the court allowed the state to call Dr. Baron as a rebuttal witness. Holt argues that these rulings violated the attorney-client privilege and his constitutional right to counsel.
Because the letter and rebuttal testimony were relevant only to the issue of Holt's intoxication defense, any error in their admission was harmless since we have held there to have been no basis in the evidence
Holt similarly claims that it was error in light of sec. 971.18, Stats., to admit rebuttal testimony from the psychiatrist, Dr. Frederick Fosdal, who was appointed by the court to examine Holt in connection with his original, subsequently withdrawn, plea of not guilty by reason of mental disease or defect. Again, because this rebuttal testimony was relevant only to the issue of Holt's intoxication defense, any error in admitting it was harmless.
Improper Prosecutorial Comment
The penultimate question on appeal is whether Holt was denied a fair trial by a comment of the prosecutor during closing argument. Shortly after District Attorney Zapf began his closing argument, the following exchange occurred:
MR. ZAPF: If you stop and think about it for a moment, I shouldn't have to stand before you at this point. I shouldn't have to say anything. Maybe the case is over. The evidence is in. That presumption of innocence that attended the defendant throughout the trial, when does that go away? It goes away when the evidence is closed.
MR. EGRE: Objection. Not an accurate statement of the law. The presumption of innocence attends Mr. Holt up to and including the time the jury begins deliberations.
It is well-established that in order to preserve for appeal an objection to an allegedly improper prosecu-torial comment during closing argument, a defendant must move for a mistrial upon those grounds.
Haskins v.
State,
Sentence Credit
Finally, Holt seeks credit against his Wisconsin sentences for time spent in custody in Illinois for the same course of conduct. The trial court denied such credit. The state concedes that this denial was erroneous.
See
sec. 973.155, Stats.;
State v. Gilbert,
By the Court. — Judgment affirmed and cause remanded with directions.
Notes
Holt did not testify at trial. His statements made to Kenosha and Lake Forest police on June 23 and 24,1979 were placed in evidence by the state.
We certified this issue to the supreme court on September 18, 1985. The certification was denied on October 15, 1985.
In
State v. Brown,
