State of Arizona v. Darren Lee Winegardner
State of Arizona v. Darren Lee Winegardner
Opinion
¶ 1 Arizona Rule of Evidence 609(a)(2) provides that when a party seeks to attack "a witness's character for truthfulness by evidence of a criminal conviction ..., the evidence must be admitted if the court can readily determine that establishing the elements of the crime required proving-or the witness's admitting-a dishonest act or false statement." We hold that a conviction for shoplifting, as codified in A.R.S. § 13-1805(A), is not automatically admissible under Rule 609(a)(2) because the crime does not necessarily require the prosecution to prove "a dishonest act or false statement" within the meaning of the rule. Evidence of a shoplifting conviction is admissible only when the court can readily determine that the conviction turned on such proof.
I.
¶ 2 The State indicted Darren Winegardner on one count of sexual conduct with a minor, alleging that he engaged in sexual intercourse with his stepdaughter, L.B. At trial, the prosecution called L.B. to testify. Winegardner told the court that he intended to impeach L.B. with a 2015 misdemeanor shoplifting conviction. He offered no details of the conviction other than stating that it was a crime of moral turpitude. Finding that the "probative value does not substantially outweigh the danger of unfair prejudice," the trial court refused to admit the impeachment evidence. The jury found Winegardner guilty, and the court sentenced him to a mitigated term of 3.5 years' imprisonment.
¶ 3 Noting that Rule 609(a)(2) requires courts to admit evidence of convictions involving dishonest acts or false statements, Winegardner argued on appeal that the trial court committed reversible error by precluding him from impeaching L.B. with evidence of the shoplifting conviction. The court of appeals disagreed and rejected classifying shoplifting as a "dishonest act or false statement" for purposes of Rule 609(a)(2).
State v. Winegardner
,
¶ 4 We granted review because the proper interpretation of Rule 609(a)(2) is of statewide importance. We have jurisdiction under article 6, section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
II.
¶ 5 Although we review a trial court's decision regarding the admission of evidence for abuse of discretion,
State v. Gill
,
A.
¶ 6 Arizona Rule of Evidence 609 governs impeachment by evidence of a criminal conviction. Subsection (a)(1) provides that felony convictions are generally admissible, subject to Rule 403 in civil cases or in criminal cases in which the witness is not a defendant. Subsection (a)(2) mandates the admission of evidence of any conviction "if the court can readily determine that establishing the elements of the crime required proving-or the witness's admitting-a dishonest act or false statement." In contrast to (a)(1), subsection (a)(2) mandates the admission of evidence of a prior conviction regardless of any consideration of its prejudicial effect under Rule 403.
¶ 7 This case turns on whether a shoplifting conviction under Arizona law necessarily requires proof of a "dishonest act" as that term is used in Rule 609(a)(2). Although words in rules generally are to be understood in their ordinary, everyday meanings, the context in which they are used may indicate they bear a technical meaning.
See
In re Nelson
,
¶ 8 Adopted in 1977, Arizona's evidentiary rules were modeled on the federal rules. Supreme Court of Arizona, Admin. Order No. 2010-42;
see also
State v. Malloy
,
¶ 9 Given our rule's origins and our desired conformity with the federal rules, we consider the federal rule's legislative history to see whether its drafters intended to give the terms "dishonest act" and "false statement" a particular meaning. "[W]here Congress borrows terms of art in which are accumulated the legal tradition and meaning of centuries of practice, it presumably knows and adopts the cluster of ideas that were attached to each borrowed word ... unless otherwise instructed."
Morissette v. United States
,
¶ 10 A conference committee developed the federal rule's final language to resolve differences between House and Senate versions of the rule.
United States v. Ortega
,
the phrase "dishonesty and false statement" ... means crimes such as perjury or subornation of perjury, false statement, criminal fraud, embezzlement, or false pretense, or any other offenses in the nature of crimen falsi, the commission of which involves some element of deceit, untruthfulness, or falsification bearing on the accused's propensity to testify truthfully.
H.R. Rep. No. 93-1597, at 9 (1974) (Conf. Rep.);
see also
Ortega
,
¶ 11 We considered Rule 609(a)(2)'s language in
Malloy
, when we reviewed whether burglary was a crime of dishonesty for purposes of the rule.
¶ 12 Because such a character trait is relevant to evaluating credibility, convictions for criminal offenses that demonstrate the trait of untruthfulness warrant mandatory admission under the rule. By contrast, criminal offenses that primarily involve stealth, such as burglary, or force, such as robbery or assault, do not inherently demonstrate a trait of untruthfulness and should not be admitted under Rule 609(a)(2).
See
United States v. Hayes
,
B.
¶ 13 Malloy instructs that determining whether a prior conviction is admissible for impeachment purposes under Rule 609(a)(2) depends on the statutory language of the underlying offense and whether the conviction required proof of a dishonest act or false statement. Winegardner argues that Arizona's shoplifting statute contains elements of deceit and fraud and therefore satisfies Rule 609(a)(2)'s standard for admission.
¶ 14 Under A.R.S. § 13-1805(A), a person commits shoplifting when he or she knowingly obtains
merchandise ... displayed for sale ... with the intent to deprive [another] of such goods by:
(1) Removing ... the goods ... without paying the purchase price; or
(2) Charging ... the goods to a fictitious person or any person without that person's authority; or
(3) Paying less than the purchase price of the goods by some trick or artifice ...; or
(4) Transferring the goods from one container to another; or
(5) Concealment.
¶ 15 Although multiple subsections of the statute include elements of dishonesty and false statement, others do not. Winegardner unpersuasively contends that even subsection (1) of the statute includes elements of deceit because the "shoplifter consciously misleads the true owner and fails to reveal true ownership by taking the item from the store." Although purposefully leaving a store with an item without paying for it is dishonest in layman's terms, it does not meet Rule 609(a)(2)'s threshold of establishing a trait of untruthfulness.
See
Malloy
,
¶ 16 The State argues that when, as here, the record is devoid of any details regarding a witness's prior shoplifting conviction, the conviction might have rested on any of the five enumerated subsections. Because not all involve a dishonest act or false statement as contemplated by Rule 609(a)(2), the State reasons, courts properly preclude prior shoplifting convictions for impeachment purposes. Winegardner responds that shoplifting, as codified in § 13-1805, is a unitary offense that may be charged in the disjunctive, using "and/or" to allege conduct covered under any of the statute's subsections. Thus, any shoplifting conviction may involve a dishonest act or false statement, even if the indictment, jury instructions, or plea agreement do not list a specific subsection that itself indicates a dishonest act or false statement. Accordingly, Winegardner argues that shoplifting convictions should be per se admissible under the rule. The correct approach lies somewhere between these two all-or-nothing positions.
¶ 17 The shoplifting statute, § 13-1805, indicates that a conviction may or may not involve elements of dishonesty or false
statement. Therefore, shoplifting is not like perjury or criminal fraud, which require the state to prove a dishonest act or false statement before a defendant can be convicted. Consequently, shoplifting is not a conviction that is per se admissible under Rule 609(a)(2). This conclusion comports with federal evidentiary law.
See, e.g.
,
United States v. Dunson
,
¶ 18 Yet the statutory language shows that under certain circumstances a shoplifting conviction may evidence a witness's dishonest act or false statement for purposes of Rule 609(a)(2). Therefore, shoplifting is not like burglary, which is generally inadmissible because it involves no such statutory element.
See
A.R.S. § 13-1506 ;
see also
Malloy
,
¶ 19 Thus, even when the legal elements of an offense do not necessarily involve a dishonest act or false statement, a crime's factual basis may warrant admission of the conviction for impeachment purposes under Rule 609(a)(2).
See, e.g.
,
United States v. Estrada
,
¶ 20 In such cases, the party seeking admission of the prior conviction bears the burden of establishing the factual basis for its admission.
See
¶ 21 Winegardner advocates for a more permissive approach to admitting impeachment evidence, noting that under the modern evidentiary rules, a discredited witness has
the opportunity to rehabilitate, whereas under the common law, a prior conviction for crimen falsi resulted in the absolute disqualification of a witness. But Rule 609(a)(2)'s language counsels otherwise. Because the rule mandates the admission of convictions involving a dishonest act or false statement and thus precludes a trial court from weighing a conviction's prejudicial effect, it should be narrowly construed.
See
United States v. Fearwell
,
¶ 22 Likewise, the dissent argues that because some jurors might believe that a shoplifting conviction justifies an inference that a person will perjure himself in future proceedings, the conviction's mandatory admission is warranted under Rule 609(a)(2). Infra ¶ 34. But the admissibility of evidence is a question of law that is determined by court rules and judges, not jurors. See, e.g. , Ariz. R. Evid. 403 ; Ariz. R. Evid. 404 ; Ariz. R. Evid. 802. Indeed, the evidentiary rules strictly confine the admissibility of arguably material evidence that may be prejudicial. The jury's authority to weigh evidence only exists as to prior convictions that are admissible, and a judge does not encroach that authority by determining the admissibility of such a conviction. Given that Rule 609(a)(2) provides for mandatory admission of convictions and involves no judicial discretion under Rule 403, only those convictions that are inherently relevant to a witness's tendency to perjure himself are properly admitted under the rule.
¶ 23 Accordingly, we conclude that shoplifting does not necessarily involve a dishonest act or false statement for purposes of Rule 609(a)(2) and therefore is not automatically admissible under the rule.
C.
¶ 24 Rule 609(a)(2) provides that admission of a conviction is only proper "if the court can readily determine that establishing the elements of the crime required proving-or the witness's admitting-a dishonest act or false statement." Ariz. R. Evid. 609(a)(2) (emphasis added). In most circumstances, the statutory elements of the offense will show whether a conviction required proving or admitting a dishonest act or false statement. However, in cases "[w]here the deceitful nature of the crime is not apparent from the statute and the face of the judgment ... a proponent may offer information such as an indictment, a statement of admitted facts, or jury instructions" to demonstrate that the conviction rested on the defendant admitting or the factfinder finding a dishonest act or false statement. Fed. R. Evid. 609 advisory committee's note to 2006 amendment. The rule does not permit, however, a "trial within a trial" delving into the factual circumstances of the conviction by scouring the record or calling witnesses.
¶ 25 Here, L.B.'s shoplifting conviction was not automatically admissible under Rule 609(a)(2), and Winegardner provided the trial court with no information showing that it involved a dishonest act or false statement. The trial court, although mistakenly considering the conviction's prejudicial effect, ultimately did not abuse its discretion when it precluded evidence regarding the conviction.
III.
¶ 26 For the reasons stated, we vacate the opinion of the court of appeals and affirm Winegardner's conviction and sentence.
LOPEZ, J., joined by BOLICK, J. and GOULD, J., dissenting in part and concurring in the result:
¶ 27 The majority holds that a shoplifting conviction is not automatically admissible under Rule 609(a)(2) because the crime "does not necessarily require the prosecution to prove 'a dishonest act or false statement' within the meaning of the rule." Supra ¶ 1. Consequently, such a conviction is not admissible for impeachment purposes unless the court can readily determine that it involved "a dishonest act" as narrowly construed under the Rule. Supra ¶ 1. I respectfully disagree and would instead hold that shoplifting, as codified in A.R.S. § 13-1805(A), should be automatically admissible because it clearly qualifies as a "dishonest act" under Rule 609(a)(2).
¶ 28 I do not contest the majority's analytical framework, as it is familiar terrain. The majority correctly notes that Arizona Rule 609 mirrors its federal counterpart, Federal Rule of Evidence 609,
supra
¶ 8, that we look to the federal approach for guidance, and that the federal rule's legislative history and its interpretation by federal courts support its holding,
supra
¶¶ 9, 17. I disagree, however, that the federal guidance compels the majority's narrow interpretation and application of Rule 609(a)(2)'s definition of "a dishonest act." Although we consult the federal approach for guidance, we are not bound to federal courts' interpretations of the Federal Rules of Evidence when considering similar provisions in the Arizona Rules.
State v. Bible
,
¶ 29 The plain language of the relevant part of Rule 609(a)(2) renders a conviction admissible if it involves "a dishonest act." As the majority notes, a federal conference committee limited "a dishonest act" to crimes "which involve[ ] some element of deceit, untruthfulness, or falsification bearing on the accused's propensity to testify truthfully."
Supra
¶ 10. In
State v. Malloy
, we adopted the conference committee's definition of "dishonest act" and held that "the phrase 'dishonesty or false statement' should be construed narrowly to include only those crimes involving some element of deceit, untruthfulness, or falsification."
¶ 30 We must apply the Rule, of course, to the specific statutory language that Arizona uses to define shoplifting. Even under the federal authorities' narrow definition of "dishonest act," adopted by Malloy , shoplifting remains admissible under Rule 609(a)(2) because its commission necessarily involves an element of "deceit." The majority concedes that subsections (2), (3), and (4) of A.R.S. § 13-1805(A)"might implicate dishonesty and false statement," but concludes that subsections (1) and (5) do "not necessarily establish a trait of untruthfulness" sufficient for admissibility under Rule 609(a)(2). Supra ¶ 15. I disagree with the majority's conclusion that subsections (1) and (5) do not necessarily establish a trait of untruthfulness. Instead, I would find that those sections qualify under the Rule because they, too, inherently involve deceit.
¶ 31 Subsection (5) requires knowingly obtaining goods belonging to another by "[c]oncealment." A.R.S. § 13-1805(A)(5). "Concealment" is defined as the "practice or fact of concealing what ought to be revealed; improper secrecy." See Concealment , Webster's Second New International Dictionary 552 (1949). Shoplifting by "concealment" plainly connotes "deceit" because the shoplifter removes a storekeeper's property by exiting the store while improperly hiding an unpurchased item. This is the essence of deceit.
¶ 32 Subsection (1) presents a closer call. That provision defines shoplifting as "[r]emoving ... the goods ... without paying the purchase price." A.R.S. § 13-1805(A)(1). The
State argues that various methods of shoplifting covered by subsection (1) do not involve deceit, such as brazenly stealing a case of beer while under the watchful eye of employees or eating grapes throughout the grocery store while shopping. But the State and the majority ignore the fact that shoppers have only a limited license to enter a store and it is premised on the understanding that the shopper will take merchandise only after he purchases it.
See
Wright v. State
,
¶ 33 Other jurisdictions have declined to follow the federal courts' narrow definition of "a dishonest act" and have held that shoplifting convictions are admissible under their respective versions of Rule 609.
See, e.g.
,
State v. Brown
,
¶ 34 Because shoplifting qualifies as a dishonest act, it is admissible as a matter of law under Rule 609(a)(2). We should decline to follow the federal authorities' interpretation of Rule 609(a)(2) because it unnaturally narrows the meaning of "a dishonest act." This narrowing is not without consequence: by rendering some shoplifting convictions inadmissible for impeachment purposes, it needlessly curtails the factfinder's ability to determine the impeachment value, or weight, of a witness's shoplifting conviction. The majority reasons that "[a]lthough purposefully leaving a store with an item without paying for it
is dishonest in layman's terms
, it does not meet Rule 609(a)(2)'s threshold of establishing a trait for untruthfulness."
Supra
¶ 15 (emphasis added). The majority, like the court of appeals, invokes
Ortega
's oft-cited proclamation that "[h]uman experience does not justify an inference that a person will perjure himself from proof that he was guilty of petty shoplifting," to support its legal conclusion concerning a shoplifting conviction's admissibility.
Supra
¶ 17. But
Ortega
supplants the common experience of judges for that of jurors (as laymen) under the guise of "human experience" to bolster its legal conclusion. While it may be the experience of
some
judges that a demonstrably dishonest person, namely a shoplifter, is not more likely to lie under oath than an honest person,
we cannot know whether jurors share this counterintuitive proposition. What "human experience" tells us about a witness's shoplifting conviction is better suited for a judgment about the conviction's weight, in context, than its categorical admissibility.
See
State v. Fischer
,
¶ 35 Despite the considerable value of conforming Arizona's evidentiary rules to the federal rules, supra ¶ 8, which I acknowledge, we retain the prerogative to determine the scope of our rule. The federal approach loses itself in its hyper-technicality and subtly chips away at the truth-seeking purpose of our evidentiary rules. See Ariz. R. Evid. 102 (explaining the purpose of Arizona Rules of Evidence as the fair and efficient "development of evidence law, to the end of ascertaining the truth and securing a just determination"). Although the majority quotes Justice Frankfurter's observation that "if a word is obviously transplanted from another legal source ... it brings the old soil with it," supra ¶ 9, in this unique context of interpreting our own rule we are free to shake the old soil loose to give the words "dishonest act" truer purchase. In a close admissibility case like this one, I respectfully submit that the better approach is to allow jurors to determine, under the unique circumstances of each case, the weight of a witness's shoplifting conviction.
¶ 36 From a practical standpoint, the majority endeavors to streamline its case-by-case approach for admissibility of shoplifting convictions under Rule 609(a)(2) and cautions that the "rule does not permit ... a 'trial within a trial' delving into the factual circumstances of the conviction by scouring the record or calling witnesses." Supra ¶ 24. This may prove easier said than done. Inevitably, the majority's approach will result in additional or prolonged contested trial court hearings for no meaningful purpose. A per se rule of admissibility would be a more efficient approach. See Ariz. R. Evid. 102 ("These rules should be construed so as to administer every proceeding fairly, [and to] eliminate unjustifiable expense and delay....").
¶ 37 Because I would find that a shoplifting conviction is automatically admissible under Rule 609(a)(2), I would vacate the court of appeals' opinion. I would, however, affirm Winegardner's conviction because the trial court's error in refusing to admit L.B.'s shoplifting conviction for impeachment purposes was harmless beyond a reasonable doubt.
See
State v. Valverde
,
Reference
- Full Case Name
- STATE of Arizona, Appellee, v. Darren Lee WINEGARDNER, Appellant.
- Cited By
- 5 cases
- Status
- Published