Filing Date: September 5, 2000
Docket No. 25,726
STATE OF NEW MEXICO,
Plaintiff-Appellee,
v.
CHARLIE ALLISON,
Defendant-Appellant.
APPEAL FROM THE DISTRICT COURT OF BERNALILLO COUNTY
Albert "Pat" Murdoch, District Judge
Rothstein, Donatelli, Hughes,
Dahlstrom, Schoenburg & Enfield, LLP
Peter Schoenburg
Albuquerque, NM
for Appellant
Patricia A. Madrid, Attorney General
Joel Jacobsen, Assistant Attorney General
Santa Fe, NM
for Appellee
SERNA, Justice.
{1}
Defendant Charlie Allison appeals his convictions for
willful and deliberate first degree murder, aggravated
battery, aggravated assault, conspiracy, and tampering with
evidence. See Rule 12-102(A)(1) NMRA 2000 (appeals from
sentence of life imprisonment taken to the Supreme Court).
Defendant asserts six errors on appeal: (1) whether the trial
court abused its discretion by denying his motion to grant a
continuance; (2) whether the trial court erred in allowing the
prosecutor to impeach him with an unrelated arrest without
first disclosing the information to the defense; (3) whether
the trial court erred by admitting a tape and transcript of a
witness's out-of-court statement; (4) whether prosecutorial
misconduct deprived him of his right to due process and a fair
trial; (5) whether Defendant's trial counsel's performance
constituted ineffective assistance of counsel; and (6) whether
the errors constitute cumulative error. We conclude that the
prosecutor's failure to disclose Defendant's unrelated arrest and the failure of the trial court to cure the error were
prejudicial, and we must therefore reverse Defendant's
convictions and remand for a new trial. For guidance upon
remand, we address whether the trial court erred by admitting
a witness's out-of-court statement. Because we reverse on the
issue of disclosure, we do not review Defendant's other
contentions.
{2}
On July 3, 1997, Defendant and Chris Trujillo drove in
Defendant's car to apartments located in Albuquerque.
Defendant and Trujillo were standing on a first-floor balcony
of one of these apartments when they became involved in an
argument with four young men located at ground level in front
of the balcony: Joseph Ortiz, Juan Ortega, Jesus Canas, and
Javier Mendez. Shots were fired from the balcony at a
downward angle, all from the same gun. Mendez was killed, and
Canas was wounded. Defendant and Trujillo departed in
Defendant's car. Defendant admitted to changing the
distinctive rims on the car in order to make the car less
recognizable after he viewed a news report which included a
description of the car.
{3}
Trujillo was a member of the Barelas gang. The State
introduced evidence that Defendant was also a member of the
Barelas gang. Ortega testified that he, Canas, and Mendez
were all members of the Juaritos gang; Mendez stated,
"Juaritos," prior to being shot. Ortega stated that he,
Mendez, and Canas walked together to the apartments, unarmed,
and he identified Defendant as one of the men standing on the
balcony. He testified that he heard Defendant tell Mendez to
leave the area and that Defendant pulled out a gun and fired
two or three times at Mendez. Ortega testified that Trujillo
took the gun and shot at Ortega and Canas. He stated that
Trujillo and Defendant drove away in Defendant's car.
{4}
Ortiz, Defendant's cousin, was a former member of the
Barelas gang; he was expelled from the gang several years
prior to the shooting and warned that he was unwelcome in the
area. He testified that he planned to meet Mendez at the
apartments on the day of the shooting. The State claims that
the record supports an inference that the argument began when
the Barelas gang members on the balcony challenged Ortiz's
right to be in the neighborhood. Ortiz stated that he heard
an argument and gunshots, and then he saw Mendez on the
ground. He could not recall various details regarding the
incident; as a result, the prosecutor played a tape of an
interview between Ortiz and Detective Shawn. Ortiz told the
detective that he saw "two guys," that "they looked straight
at me, and they told me, 'What are you doing here,'" and,
"'You don't belong here.'" During the interview, Ortiz said
that he and Mendez exchanged a few words with the men on the
balcony, and then described the shooting. Ortiz said that he didn't recognize them, but he did describe a "big guy" wearing
black jeans and a black t-shirt, presumably Defendant, and a
shorter "skinny guy" wearing jeans and a striped shirt,
presumably Trujillo. According to Ortiz, the smaller man had
the gun. Although the larger man asked for the gun, the
smaller man did not want to give it to him. Ortiz recounted
that the smaller man said, "'Oh, you guys think I'm joking,'"
and then began shooting. Ortiz told the detective that Mendez
saw the gun and said, "Well no, no, you don't have to do that,
you don't have to do that."
{5}
Defendant admitted that he was standing next to Trujillo
on the balcony when the shooting occurred, that he drove both
to and from the apartments with Trujillo, and that he changed
the appearance of the car in order to make it less
recognizable. However, Defendant claimed at trial that he was
not a gang member, that he was not involved with the shooting,
and that he altered the appearance of the car because he
feared gang retaliation.
State v. Mora, 1997-NMSC-060, ¶ 43, 124 N.M. 346, 950 P.2d
789.
1. Duty to Disclose
{7}
The first question is whether the State breached a duty
or intentionally deprived Defendant of evidence. Defendant
argues that the State was required to disclose any statement
by Defendant known to it as well as any prior criminal record
under Rule 5-501(A) NMRA 2000. Rule 5-501(A) provides that
the state shall disclose or make
available to the defendant:
(1) any statement made by the
defendant . . . within the possession,
custody or control of the state, the
existence of which is known, or by the
exercise of due diligence may become
known, to the district attorney;
(2) the defendant's prior criminal
record, if any, as is then available to
the state;
(3) any books, papers, documents . .
. or copies or portions thereof, which
are within the possession, custody or
control of the state, and which are
material to the preparation of the
defense or are intended for use by the
state as evidence at the trial, or were
obtained from or belong to the defendant;
. . . .
Rule 5-505(A) NMRA 2000 provides:
If, subsequent to compliance with Rule 5-501 . . . and prior to or during trial, a
party discovers additional material or
witnesses which he [or she] would have
been under a duty to produce or disclose
at the time of such previous compliance
if it were then known to the party, he
[or she] shall promptly give written
notice to the other party or the party's
attorney of the existence of the
additional material or witnesses.
{8}
The State argues that the context of Rule 5-501(A)(2),
which requires the State to disclose a defendant's prior
criminal record, supports the notion that "prior" refers to
the time preceding the arrest on the particular charge at
issue; thus, because Defendant's undisclosed arrest occurred
after his arrest for the crimes in the present case, the State believes it is under no obligation to inform defense counsel.See footnote 1
The State argues that any continuing duty only relates back to
events occurring prior to the time of the initial disclosure
but not known to the prosecutor at that time. We disagree.
To limit the duty to a criminal record prior to the arrest on
the charge at issue arbitrarily restricts Rule 5-501(A)(2).
Cf. Standards for Crim. Just.: Discovery and Trial by Jury §
11-2.1(a) commentary at 29 (1993) (commentary completed 1995)
(noting that disclosure of prior convictions or pending
charges "enables defense counsel effectively to advise the
defendant whether to plead guilty, and whether to testify at
any trial" and "puts the defense on notice of any need to move
to restrict the use of prior convictions for impeachment
purposes").
{9}
"The purpose of discovery in a criminal case, indeed the
purpose of a trial itself, is to ascertain the truth." State
v. Manus, 93 N.M. 95, 103, 597 P.2d 280, 288 (1979).
The articles regulating discovery are
intended to eliminate unwarranted
prejudice which could arise from surprise
testimony. Discovery procedures enable
the defendant to properly assess the
strength of the state's case against him
[or her] in order to prepare his [or her]
defense. If a defendant is lulled into a
misapprehension of the strength of the
state's case by the failure to fully
disclose, such prejudice may constitute
reversible error.
State v. Selvage, 644 So. 2d 745, 750 (La. Ct. App. 1994)
(concluding that, because defense counsel was aware of the
possibility of the defendant's prior convictions, defense
counsel's advice regarding the defendant testifying would not
have been different even if fully informed by the
prosecution). This rationale would logically apply whenever
the arrest occurred if the prosecutor actually possessed the
information, as is the situation in the case before the Court.
{10}
Further, the State does not address Defendant's
contention that the prosecution must disclose any statement by
a defendant which is known to the district attorney under Rule
5-501(A)(1).See footnote 2 The allegation that Defendant lied to a police
officer regarding his identity was a statement known by the
district attorney, contained in the arrest report. We
conclude that the statement was subject to disclosure.
{11}
Additionally, Rule 5-501(A)(3) requires the prosecutor to
disclose any documents which the prosecutor intends to use as
evidence at trial. We believe that the record supports an
inference that the prosecutor intended to use the arrest
report to impeach Defendant regardless of his testimony on
direct examination concerning the lack of any other arrests.
On direct examination, Defendant's attorney asked him if he
had "ever been arrested prior to this," to which Defendant
responded, "I have never been arrested, not in juvenile
offenses, not for adult offenses." On cross-examination, the
prosecutor followed up on the questions on direct regarding
other arrests. The prosecutor asked whether the arrest for
the present case was "the only time [Defendant had] ever been
arrested," to which Defendant answered affirmatively. The
prosecutor then raised a new topic by asking Defendant the
following series of questions:
Q. Have you ever lied about your name?
A. No.
Q. Never once?
A. No, none that I remember.
Q. You never lied about who you are?
A. No.
Q. Charlie Allison never said I'm
somebody else?
A. No.
Regardless of Defendant's lies at trial regarding other
arrests, the allegation that Defendant lied to a police
officer about his identity would have been admissible under
Rule 11-608(B) NMRA 2000 as a specific instance of conduct
which demonstrates untruthfulness. We believe that this line
of questioning concerning Defendant's lie to the police
officer about his identity, which went beyond the issue of whether Defendant had other arrests, demonstrates an intent on
the part of the prosecutor to use the evidence at the time the
prosecutor became aware of the arrest report.
{12}
In State v. Clark, 105 N.M. 10, 11-12, 727 P.2d 949, 950-51 (Ct. App. 1986), a defendant appealed his conviction of
receipt of stolen property. Following a hearing, the trial
court allowed the prosecutor to cross-examine the defendant
regarding the fact of the defendant's prior forgery conviction
pursuant to Rule 11-609 NMRA 2000 (impeachment by evidence of
conviction of a crime), if the defendant testified. Clark,
105 N.M. at 14, 727 P.2d at 953. During direct examination,
defense counsel elicited the fact of the forgery conviction
from the defendant; during cross-examination, the prosecutor
questioned the defendant as to whether he altered a driver's
license in order to carry out the forgeries. Id. Defense
counsel moved for a mistrial because of the prosecutor's
intentional failure to disclose the information about the
altered license to the defendant, but the trial court denied
the motion. Id. at 15, 727 P.2d at 954. The prosecutor
obtained the license alteration information from the
investigatory report of the prior forgery arrest, which had
been attached to the judgment and sentence for the prior
forgery conviction; the prosecutor disclosed the judgment and
sentence to defense counsel but withheld the investigatory
report. Id. The Court of Appeals noted,
Notwithstanding that the facts
surrounding the altered license would be
inadmissible as an underlying
circumstance of a prior conviction, those
same facts are admissible under [Rule 11-608(B)], as a specific instance of
conduct which is probative of
truthfulness.
Clark, 105 N.M. at 15, 727 P.2d at 954. The defendant argued
that the prosecutor had a duty to disclose the license
alteration information based on Rule 5-501(A). Clark, 105
N.M. at 15, 727 P.2d at 954. In Clark, the State argued "that
because the prosecutor intended to use the information to
impeach defendant's credibility, the [investigatory] report is
somehow not a statement or document required to be disclosed
by the rule." Id. at 15-16, 727 P.2d at 954-55. The Court
of Appeals rejected this argument and held that "[e]vidence
which the state intends to use at trial must be disclosed,"
and that "[t]he state must also disclose items which are
material to the preparation of the defense." Id. at 16, 727
P.2d at 955. We agree. "[T]he primary function of the
disclosure of the criminal record relates to potential
impeachment." 4 Wayne R. LaFave et al., Criminal Procedure §
20.3(e), at 860 (2d. ed. 1999).
{13}
In State v. Milto, 751 So. 2d 271, 277-78 (La. Ct. App.
1999), the prosecutor gave the defense counsel a copy of the
defendant's rap sheet which included numerous arrests but did
not include the defendant's arrest or conviction for resisting
arrest. Id. at 277. The Louisiana court rejected the state's
arguments that defense counsel had access to the records and
that the defendant was clearly aware of the conviction
himself. Id. at 277-78. In the present case, the State also
emphatically relates that Defendant was aware of his arrest.
"These arguments do not address the fact that the prosecutor
was clearly in possession of the information prior to his
cross-examination of the defendant and had a [continuing] duty
to disclose the conviction as soon as he became aware of it."
Id. at 278. Indeed, the State's argument that Defendant's
awareness of the arrest relieves any discovery violation would
frustrate the purposes of Rule 5-501(A)(2). A criminal
defendant, having been personally subjected to police custody,
will always be aware of prior arrests. A defendant, however,
might not recall a particular arrest or be aware of the
significance of an arrest to impeachment through cross-examination.
{14}
Defendant analogizes his situation with cases in which a
defendant is impeached with his or her own statement regarding
the matter upon which the defendant is accused. Although the
State distinguishes these cases without discussion or
authority, we believe that they are similar to the present one
in that the defendants are aware of their own statements. The
actions of the prosecutor and trial court are at issue, not
whether Defendant knew or should have known of his own arrest
or statement. The discussion in United States v.
Sukumolachan, 610 F.2d 685 (9th Cir. 1980), is instructive:
[Defendant] argues that the appropriate
remedy for such a discovery violation is
a new trial, citing United States v.
Lewis, 511 F.2d 798 (D.C. Cir. 1975), and
United States v. Padrone, 406 F.2d 560
(2d Cir. 1969). In these cases
convictions were reversed and remanded
for new trials where incriminating
statements were not disclosed until after
defendants had taken the stand, and were
then used for impeachment. Had the
defendants in those cases known of the
statements, they might have chosen not to
testify and thus to avoid impeachment. A
new trial was required because there was
no other way to correct the prejudice
resulting from the failure to disclose
until after the defendants had taken the
stand and exposed themselves to
impeachment.
Id. at 687-88 (concluding that there was no abuse of
discretion because the defendant received the statement before
he would have taken the stand and he avoided impeachment by
not testifying).
{15}
The trial court also believed that the prosecutor
intentionally kept the information from defense counsel,
stating, "You held onto this because you knew it would be
thunder, right?" "In a criminal case, the district attorney
should not hesitate to show his [or her] entire file to the
defendant. It is not the primary duty of the district
attorney to convict a defendant. It is his [or her] primary
duty to see that the defendant has a fair trial, that justice
is done." Manus, 93 N.M. at 103, 597 P.2d at 288 (quotation
marks and quoted authority omitted); Clark, 105 N.M. at 16,
727 P.2d at 955 ("The process is far too important and the
goal too dear to allow this kind of trial maneuvering.").
{16}
We conclude that the prosecutor had a duty to disclose
the arrest report to defense counsel before Defendant
testified. Rule 5-501(A) creates a duty on the part of the
prosecutor to disclose any statement by Defendant, his prior
criminal record, and any document which is material to the
defense or that the State intends to use as evidence at trial.
Rule 5-505(A), as a continuing duty to disclose, obligated the
prosecutor to disclose the arrest report to defense counsel
when he became aware of it and intended to use it at trial.
2. Materiality of the Arrest Report
{17}
The second Mora factor is whether the improperly non-disclosed evidence was material. "Whether evidence is material
depends on 'if there is a reasonable probability that, had the
evidence been disclosed to the defense, the result of the
proceeding would have been different. A 'reasonable
probability' is a probability sufficient to undermine
confidence in the outcome.'" State v. Fero, 107 N.M. 369, 371,
758 P.2d 783, 785 (1988) (quoting United States v. Bagley, 473
U.S. 667, 682 (1985)). The State argues that "proof that
Defendant lied on the stand tended to resolve, not create,
doubts about his guilt. Because it bolstered rather than
undermined confidence in the outcome of Defendant's trial, it
was not material in the operative sense of that word."
However, this assertion supports the importance of the
information to Defendant, and the impact of the prosecutor's
tactic on the jury, even though the evidence is not
exculpatory. In Clark, the Court of Appeals rejected a
similar prosecution argument that this type of information is
not material:
As to the assertion that the
[investigatory] report was not material
to the defense, the state offers no authority for the proposition that
information that would certainly impact a
defense counsel's tactical trial
decisions is not material to the defense.
Receipt of the report would clearly
affect counsel's decisions on further
suppression motions; on whether defendant
should testify; on the preparation of
defendant for cross-examination; and on
the extent of information elicited by
defense counsel on direct.
Clark, 105 N.M. at 16, 727 P.2d at 955. We agree. We
conclude that the information regarding Defendant's prior
arrest was material to the defense.
3. Prejudice
{18}
The third factor is whether Defendant was prejudiced by
the prosecutor's failure to disclose his arrest. In both
Clark and Milto, the appellate courts, although concluding
that there was a discovery violation, affirmed the convictions
at issue because the discovery violation did not cause
prejudice to the defendants. See Clark, 105 N.M. at 16, 727
P.2d at 955 (concluding that the defendant did not show
prejudice, and thus affirming the trial court's denial of a
mistrial); Milto, 751 So. 2d at 278 (concluding that because
of the defendant's extensive criminal record and defense
counsel's awareness of it, no actual prejudice resulted,
stating that "there is little support for the concept that the
advice of counsel as to whether or not to testify would have
been different had he been aware of one additional misdemeanor
conviction"). Here, however, defense counsel was attempting
to portray Defendant as an individual without any criminal
record, and had counsel been aware of Defendant's arrest, he
may have altered his strategy. Defendant argues that the
disclosure of his prior arrest prejudiced him greatly because
his credibility was critical to his defense. He asserts that
the disclosure was devastating both at the time of cross-examination and when the prosecutor referred to it in closing
arguments. The State argues that "[t]he question before this
Court is whether loss of the ability to lie on the stand
without having one's lies exposed constitutes prejudice for
purposes of the Mora test." We reject this characterization;
had defense counsel been aware of the arrest, he may have
chosen not to have Defendant testify or may have questioned
him differently on direct, and the prosecutor's intentional
actions prevented that opportunity. Cf. State v. Wells, 639
S.W.2d 563, 566 (Mo. 1982) (en banc) ("The state cannot
logically contend that it was unaware this information
[regarding contradictory statements by a state witness] would
be meaningful to appellant's counsel. By withholding disclosure until its opening statement at trial, the state
achieved the very result the discovery rules were designed to
prevent--surprise and deception. The discovery rules seek to
foster informed pleas, expedited trials, a minimum of
surprise, and the opportunity for effective
cross-examination."); Sukumolachan, 610 F.2d at 688 (noting
that "the court denied appellant the opportunity to testify
without impeachment" because the evidence, although excluded
from the government's case in chief, would have been
admissible for impeachment had the defendant taken the stand).
{19}
The prosecutor used the arrest both in cross-examination
in order to impeach Defendant and in closing in order to
characterize Defendant as a "liar," supporting Defendant's
claim that he was prejudiced by the prosecutor's failure to
disclose the arrest. The prosecutor, in closing argument,
stated:
This is a man that would lie about his
own name in January of 1998, a man who
would lie about his own name and say my
name is Michael Barns when he was stopped
driving a car that didn't have a license
plate on it. If you think that he'll lie
about his name because of a stop with no
license plate, do you think he would lie
about what happened on July 3d in front
of 1200 Coal, Southwest? You bet, you
bet you he would lie, big time.
Cf. United States v. Camargo-Vergara, 57 F.3d 993, 999 & n.5
(11th Cir. 1995) (concluding that the prejudicial impact of the
government's failure to disclose defendant's statement was
emphasized by prosecutor's reference to it in closing
argument). Thus, the prosecutor was using the undisclosed
evidence not merely to counter Defendant's testimony regarding
other arrests, but instead as a specific instance of conduct
to demonstrate untruthfulness, to assert that Defendant would
lie regarding the murder as he lied to the police officer. We
conclude that Defendant was prejudiced by the prosecutor's
failure to disclose the arrest report.
4. Trial Court's Duty to Cure
{20}
"In determining prejudice to a defendant where the state
initially deprives defendant of the evidence but later
produces the evidence, the reviewing court should consider
whether the failure to timely disclose the evidence was cured
by the trial court." Mora, 1997-NMSC-060, ¶ 44 (quotation
marks and quoted authority omitted). The trial court granted
defense counsel's motion to continue the case until the
following morning, but denied Defendant's motion for a
mistrial. The trial court judge noted that the prosecutor's actions were "inappropriate:"
This is cross-examination material of the
Defendant in a murder trial and it's my
belief that you should not walk the
ethical edge in something as important as
a murder trial; that you should be as
clean and above board as you possibly can
in fear that you are going to lose a good
solid conviction based upon something you
didn't have to do.
The judge believed that he had "fashioned what [he] perceived
to be a fair remedy at the time." However, merely continuing
the case and excluding the circumstances surrounding the
arrest is an inadequate cure for the prosecutor's failure to
disclose the evidence to Defendant, especially considering the
manner in which the prosecutor used the information in
closing.
{21}
The trial judge could have cured the error but did not do
so, apparently because of his feelings regarding Defendant's
testimony. Both the trial court and the State focused on
Defendant's possible lie during direct, and his further lies
on cross-examination, asserting that he opened the door to the
subject of his prior arrests. As discussed above, the
prosecutor's use of the information went beyond Defendant's
testimony on direct examination by inquiring into the
allegation that Defendant lied about his identity. But even
assuming Defendant lied regarding his other arrest, the
question is not whether the other arrest and allegation about
Defendant's identity were otherwise admissible; the proper
question is, instead, whether the prosecutor should have
disclosed the arrest report to defense counsel as soon as he
was aware of it and planned to use the information at trial.
See Selvage, 644 So. 2d at 750 ("We agree with the trial court
that, by testifying, a defendant subjects himself [or herself]
to being questioned about previous convictions. However, a
discovery violation by the state presents a separate issue
regarding the admissibility of the evidence.") (citation
omitted).
{22}
After the prosecutor questioned Defendant about whether
he had other arrests and whether Defendant ever lied to
another about his identity, the prosecutor asked to approach
and show the arrest report to Defendant in order to refresh
his recollection, asking him to identify himself in the
photograph and to state when the photograph was taken.
Defendant responded, "I believe it was . . . when they booked
me into the jail." The prosecutor continued with some
questions regarding when the picture was taken and how his
hair appeared in the photograph. During a bench conference
regarding the length of Defendant's hair, the trial court finally asked, "Was he arrested in 1998 for something?" The
prosecutor responded, "For concealing ID." Defense counsel
objected, and the court asked if the report had been disclosed
to defense counsel. After the bench conference ended, the
court continued the case until the following morning.
{23}
At this stage in the case, little information regarding
the arrest had gotten before the jury. It seems that the
extreme remedy of a mistrial was not needed to cure the
failure to disclose. In order to cure the error, the trial
court could have excluded any further information or reference
to the arrest. Instead, the court concluded that the
prosecutor should have disclosed the information "as a matter
of form" but was not under any duty to do so. The court,
mistakenly referring to "[Rule 5-] 505," apparently
distinguished between a duty to disclose "priors" and a duty
to disclose "a subsequent arrest that happened after the
alleged incident;" however, as previously mentioned, Rule 5-505 implicates a continuing duty to disclose. The judge
stated that Defendant, who "took the stand yesterday and
lied," did something much more "severe" than the prosecutor
and that he would "not do anything at this point to protect
him from his lies." The trial court judge appears to have
assumed that defense counsel was not aware of the arrest,
stating that "[c]ertainly if you had known about this, you
would have asked the question more carefully I think, but your
client went way out on a limb," and that "it's also poor form
for your client not to tell you about that stuff before he
takes the stand." The court then decided that the
circumstances surrounding the stop and arrest would not be
allowed in, but that the prosecutor would be allowed to ask
Defendant about the arrest and about giving a false name.
{24}
The prosecutor again asked about the other arrest:
Q. Now, you testified yesterday that you
had never ever been arrested other than
in connection with this case, this
shooting; is that right?
A. I thought that you were talking about
- -
Q. Could you answer that question? You
did say that, didn't you?
A. Yes.
The prosecutor questioned Defendant as to whether he gave a
false name to the police officer, the details of the actual
arrest, and whether he told the officer that he had a driver's
license under the false name.
{25}
Under the Mora test, we conclude that Defendant is
entitled to a new trial. The prosecutor has a duty to disclose this type of information to the defense; the
prosecutor intentionally kept this information from defense
counsel in order to impeach Defendant. See Clark, 105 N.M. at
16, 727 P.2d at 955 ("The [Supreme Court of New Mexico]
criticized, however, as we do today, the 'gamesmanship'
inherent in this type of litigation tactic."). The
information was material to Defendant's case. The knowledge
of the arrest may very well have affected defense counsel's
decision to question Defendant regarding his criminal record
or even to advise Defendant to testify. Finally, the trial
court did not adequately cure the error.
{26}
The State's case centered on the issue of credibility.
The State presented eyewitness testimony regarding the
incident, but the testimony differed as to whether Defendant
or Trujillo fired the gun. Ortega testified that Defendant
fired shots towards them and then Trujillo took the gun and
continued firing, while Ortiz stated that Trujillo fired shots
and Defendant attempted and failed to get the gun from
Trujillo. Either scenario supports Defendant's liability,
whether as the principal or the accomplice. However, given
the inconsistent versions of the incident by the State's
witnesses and Defendant's denial of involvement in the
shooting, the jury's assessment of Defendant's credibility was
critical to this case. Cf. Lewis, 511 F.2d at 803 ("Although
the government presented a strong case even without the use of
the statement, we cannot say that the error was harmless or
did not prejudice Lewis, as use of the statement not only
impeached Lewis's credibility in general, but undermined a
significant element in his defense--namely that he had not
been addicted at the time of his arrest."). The State was
able to undermine Defendant's credibility through the use of
non-disclosed information. We conclude that there is a
reasonable possibility that the State's impeachment of
Defendant and use of the undisclosed arrest in closing
argument contributed to the jury's verdict. Cf. Clark v.
State, 112 N.M. 485, 487, 816 P.2d 1107, 1109 (1991).
{27}
The State called Ortiz as a witness to the shooting, and
after Ortiz stated that he could not recall particular details
of the crime, the prosecutor played an audio tape of Ortiz's
July 3rd statement for the jury and placed the transcript of
the tape into evidence. The prosecutor offered the tape as a
prior recollection recorded under Rule 11-803(E) NMRA 2000, to
which defense counsel properly objected. Noting that defense
counsel did not object to the tape as a prior consistent
statement, Defendant argues on appeal that Ortiz's earlier
statement was inconsistent with his in-court testimony and
thus inadmissible as a prior consistent statement under Rule
11-801(D)(1)(b) NMRA 2000. However, the trial court did not admit the evidence under Rule 11-801. The court admitted the
evidence under Rule 11-803(E) and under Rule 11-803(X)
(providing an exception to the hearsay rule for "[a] statement
not specifically covered by any of the foregoing exceptions
but having equivalent circumstantial guarantees of
trustworthiness"). The court found "that the circumstances
of the original statement, the proximity in time to the
shooting itself, all are indicia of reliability in that
statement."
{28}
As the State notes, Defendant's argument regarding
whether he may assert on appeal that Rule 11-801 prohibits
admission of this evidence in spite of the fact that it was
admitted by the trial court under Rule 11-803 was addressed in
State v. Padilla, 118 N.M. 189, 197, 879 P.2d 1208, 1216 (Ct.
App. 1994). In Padilla, the Court of Appeals held that the
prior statements were properly admitted under Rule 11-803(E)
and stated:
Defendants argue on appeal that [the
witness's] testimony is not covered by
[Rule] 11-801(D)(1)(b). We see no error
in the admission of this testimony since,
as we have discussed, the evidence is
admissible under [Rule] 11-803(E). See
State v. Mata y Rivera, 115 N.M. 424,
429, 853 P.2d 126, 131 (Ct. App. [1993])
("[E]vidence admissible for one purpose
is not to be excluded because it is
inadmissible for another purpose.").
Padilla, 118 N.M. at 197, 879 P.2d at 1216. Further, the
trial court judge did not admit the evidence under Rule 11-801(D)(1), noting that "I'm not admitting it as a prior
inconsistent statement." Thus, Defendant's argument regarding
Rule 11-801(D)(1)(b) is both misplaced and unpersuasive.
{29}
The State asserts that Defendant has waived any argument
regarding Rule 11-803. Although Defendant argues in his reply
brief that he "clearly established in his opening brief that
the trial court erred in admitting Mr. Ortiz's prior statement
as a recorded recollection because it lacked an adequate
foundation," Defendant, in his brief in chief, merely stated
that the evidence was inadmissible under Rule 11-803(E),
without argument or citation to any case law. However,
Defendant makes a cursory argument in his reply brief, relying
on Padilla.
{30}
Under Rule 11-803(E),
A memorandum or record concerning a
matter about which a witness once had
knowledge but now has insufficient recollection to enable him [or her] to
testify fully and accurately, shown to
have been made or adopted by the witness
when the matter was fresh in the
witness's memory and to reflect that
knowledge correctly.
Ortiz appeared to deny that the information in his statement
to Detective Shawn regarding people on the balcony was
correct: "Yes, I read the statement and I said I did see two
guys, but I don't know why I said it. I guess I said it out
of scaredness [sic] or something. But I didn't see nobody."
Ortiz, when confronted with his earlier statements regarding
descriptions of the individuals on the balcony, stated that he
didn't recall them and repeatedly said, "I must have said it
because it's on the tape, but I don't remember." Because it
appears that the witness was denying the information from the
tape, the trial court erred in admitting the evidence under
Rule 11-803(E). See Padilla, 118 N.M. at 197, 879 P.2d at
1216 (upholding the admission of a past recollection recorded
and noting that the witnesses "testified that they once had
knowledge they no longer possessed but which they had
accurately conveyed to [a detective] at the time of the
incident") (emphasis added); see also 5 Jack B. Weinstein &
Margaret A. Berger, Weinstein's Federal Evidence §
803.10[4][c], at 803-52 to -53 (Joseph M. McLaughlin ed., 2d
ed. 2000) ("[T]he witness must testify either that the witness
recalls having made an accurate memorandum or that, though the
witness now does not recollect his or her state of mind when
making the record, the witness would not have made it unless
it were correct."). However, the trial court also found the
evidence admissible under Rule 11-803(X) and Defendant fails
to challenge this basis of the trial court's ruling.
We remind counsel that we are not
required to do their research, and that
this Court will not review issues raised
in appellate briefs that are unsupported
by cited authority. When a criminal
conviction is being challenged, counsel
should properly present this [C]ourt with
the issues, arguments, and proper
authority. Mere reference in a
conclusory statement will not suffice and
is in violation of our rules of appellate
procedure.
State v. Clifford, 117 N.M. 508, 513, 873 P.2d 254, 259 (1994)
(citations omitted).
{31}
The trial court has discretion regarding the
admissibility of evidence, and this Court will not disturb the trial court's ruling absent an abuse of that discretion. See
State v. Brown, 1998-NMSC-037, ¶ 32, 126 N.M. 338, 969 P.2d
313. We must conclude that the trial court's decision to
admit testimony was obviously erroneous, arbitrary, or
unwarranted in order to find an abuse of discretion. Brown,
1998-NMSC-037, ¶ 39. Because Defendant has not advanced
persuasive arguments on this issue, and in fact failed to
address all grounds upon which the trial court admitted the
evidence, he has not demonstrated that the trial court abused
its discretion by admitting the audio tape and transcript.
{32}
We conclude that the trial court did not abuse its
discretion by admitting the audio tape and transcript of
Ortiz's statement. We conclude that Rule 5-501(A) creates a
duty for the prosecutor to disclose any statement by
Defendant, Defendant's prior criminal record, and material
which the State intends to use as evidence at trial.
Defendant's arguments that this information would have
affected his decisions regarding trial strategy are
persuasive. Further, the prosecutor's use of this information
during closing to reason that a person who "would lie about
his name because of a stop with no license plate" would lie
regarding the crimes at issue supports Defendant's assertion
that he suffered prejudice as a result of the prosecutor's
failure to disclose the evidence. Finally, the trial court's
grant of a continuance was an inadequate cure under the facts
of this case. For these reasons, we reverse Defendant's
convictions and remand to the trial court for further
proceedings consistent with this opinion.
{33}
IT IS SO ORDERED.
___________________________
PATRICIO M. SERNA, Justice
WE CONCUR:
_________________________________
PAMELA B. MINZNER, Chief Justice
_________________________________
JOSEPH F. BACA, Justice
_________________________________
GENE E. FRANCHINI, Justice
_________________________________
PETRA JIMENEZ MAES, Justice