State of Arizona v. Erick Antonio Escalante
State of Arizona v. Erick Antonio Escalante
Opinion
¶1 When a defendant fails to object to trial error, he forfeits appellate relief absent a showing of fundamental error. Faced with conflicting decisions, we today clarify what that showing entails. A defendant must demonstrate that the error goes to the foundation of the defendant's case, takes away a right essential to the defense, or is of such magnitude that it denied the defendant a fair trial. To warrant reversal, the defendant must then show prejudice. But if the trial is found to have been unfair, prejudice is automatically established, and no further showing is required.
¶2 Here, the admission and pervasive use of drug-courier profile evidence during the defendant's trial on drug-related charges constituted fundamental error and prejudiced his ability to receive a fair trial. We therefore reverse and remand for a new trial.
BACKGROUND
¶3 Detectives in multi-agency task forces suspected Erick Escalante of selling methamphetamine in the Verde Valley area. After receiving several tips and surveilling Escalante, detectives obtained a search warrant and placed a GPS tracking device on his truck. On the evening of January 21, 2015, detectives saw that Escalante's truck was in Phoenix and suspected he might be picking up methamphetamine to sell. Anticipating the truck's return to Escalante's home outside Cottonwood, a detective called the Yavapai County Sheriff's Office and asked that deputies attempt to conduct a civil traffic stop.
¶4 Two deputies in patrol cars identified the truck near Cottonwood and followed as it exited Highway 260 at Prairie Lane and eventually turned onto Cliff View Drive, a two-lane residential road. The truck veered as if to make a U-turn and stopped perpendicular to the roadway. The deputies blocked the road with their cars and activated their lights to make a civil traffic stop. As a deputy approached the truck, Escalante shifted into reverse and started to back up. The deputy told him to stop, but Escalante shifted into drive saying he intended to "pull to the side of the road." The deputy pulled his gun and repeated his instruction to stop and turn off the truck. Escalante seemed agitated but eventually complied. Later, at a police station, Escalante told officers he had traveled from Camp Verde.
¶5 The deputies searched the truck and found a semi-automatic handgun, several knives, and a machete. They also discovered a digital scale, dryer sheets, coffee beans, a flip cellphone with limited data and no provider subscription (a "throw phone"), and $200 (another $150 was found in Escalante's wallet). A K-9 officer came to the scene, and his dog "alerted" on the truck, but no drugs were found.
¶6 Within a few hours after Escalante's arrest and removal of the truck, a deputy returned to the scene. He found a sandwich-size plastic baggie containing a white crystalized substance in the middle of Prairie Lane near Highway 260. The bag appeared to have been run over, and some of the contents had spilled onto the roadway. A criminologist later determined that the bag contained 47.8 grams of methamphetamine (about one-tenth of a pound) and that the digital scale found in Escante's truck contained methamphetamine residue.
¶7 The State charged Escalante with four drug-related offenses: count one: sale or transport of a dangerous drug (methamphetamine); count two: possession or use of drug paraphernalia (the digital scale); count three: tampering with physical evidence (throwing the bag of methamphetamine out the truck window); and count five: possessing a deadly weapon while committing a felony (transportation of a dangerous drug for sale). He was also charged with four counts of misconduct involving weapons for possessing the handgun, the machete, and two knives as a convicted felon (counts four, six, seven, and eight). The trial court severed the four drug-related counts from the remaining counts.
¶8 Before trial, the State moved in limine to introduce evidence that Escalante had engaged in behaviors "indicative of and consistent with drug trafficking," such as driving in a manner designed to avoid police scrutiny ("heat runs"), using surveillance cameras at home, and traveling to areas of "known drug activity." Escalante's counsel did not object. At an evidentiary hearing on this and other motions, he stated only that "I think they're going to be allowed to testify as to in their training and experience what they believe that information means." The trial court ruled that the evidence was admissible as either intrinsic to the charged crimes or as "other act" evidence. See Ariz. R. Evid. 404(b).
¶9 At the trial on the drug-related charges, multiple law enforcement officers testified, without objection, about their specialized drug interdiction training and described common drug-trafficking methods and drug-courier habits that were consistent with Escalante's behaviors. Officers also testified about what they were told by third parties concerning Escalante's suspected illegal drug activities. The jury found Escalante guilty on all counts. He waived his right to a jury trial on the remaining weapons charges, and the trial court found him guilty on those counts. The court sentenced Escalante to multiple, concurrent prison terms, the longest of which is fourteen years.
¶10 Escalante appealed the drug-related convictions and sentences, and the court of
appeals affirmed.
See
State v. Escalante
,
¶11 We granted review to clarify what a defendant must show to establish fundamental, prejudicial error, a recurring issue of statewide importance. We have jurisdiction pursuant to article 6, section 5(3) of the Arizona Constitution and A.R.S. § 12-120.24.
DISCUSSION
I. Fundamental error review
¶12 Escalante argues that the trial court committed reversible error by permitting the State to introduce drug-courier profile and hearsay evidence as substantive evidence of guilt. Because Escalante did not object to this evidence, we will not reverse unless the court committed error that was both fundamental and prejudicial.
See
State v. Henderson
,
¶13 In
Henderson
, this Court noted that prior appellate decisions had inconsistently described what is necessary to establish fundamental error.
A defendant who fails to object at trial forfeits the right to obtain appellate relief except in those rare cases that involve "[prong 1] error going to the foundation of the case, [prong 2] error that takes from the defendant a right essential to his defense, and [prong 3] error of such magnitude that the defendant could not possibly have received a fair trial." ... In addition, we place the burden of persuasion in fundamental error review on the defendant....
To prevail under this standard of review, a defendant must establish both that fundamental error exists and that the error in his case caused him prejudice.
¶14 Unfortunately, the word "and" in
Henderson
's three-prong test for fundamental error muddies its application. The Court may have used the term to mean that all three prongs must be shown (a conjunctive standard). Or the Court may have used the term in listing the "rare" types of error that are fundamental error, meaning only one prong must be shown (a disjunctive standard), as
Hunter
implied.
¶15 Since
Henderson
, this Court has exacerbated the confusion by variously treating the fundamental error standard as both conjunctive and disjunctive.
Compare
State v. Escalante-Orozco
,
¶16 We now clarify that the appropriate standard for fundamental error under
Henderson
is disjunctive. Simply put, requiring a defendant to establish all three prongs is overkill. For example, no purpose is served by requiring a defendant to establish the first two prongs if the third prong is established. An "error of such a magnitude that a
defendant could not possibly have received a fair trial" is always prejudicial and requires a new trial.
See
Henderson
,
¶17 Courts and parties have understandably grappled with the meaning of each
Henderson
prong and how they differ from each other. Precise definitions are elusive, as the prongs often overlap, and their application depends on fact-intensive inquiries.
See
Henderson
,
¶18 Prong one: An error generally goes to the "foundation of a case" if it relieves the prosecution of its burden to prove a crime's elements, directly impacts a key factual dispute, or deprives the defendant of constitutionally guaranteed procedures.
See, e.g.
,
Henderson
,
¶19 Prong two: An error takes away an "essential right" if it deprives the defendant of a constitutional or statutory right necessary to establish a viable defense or rebut the prosecution's case.
See, e.g.
,
State v. Valenzuela
,
¶20 Prong three: An error so egregious that a defendant could not possibly have received a fair trial encompasses either or both prongs one and two. But to satisfy prong three, the error must so profoundly distort the trial that injustice is obvious without the need to further consider prejudice.
See, e.g.
,
Sheppard v. Maxwell
,
¶21 To summarize, the first step in fundamental error review is determining whether trial error exists.
Henderson
,
II. Admission of drug-courier profile evidence
A. Error
¶22 Drug-courier profile evidence suggests that a defendant possesses one or more behavioral characteristics typically displayed by persons trafficking in illegal drugs.
See
State v. Haskie
,
¶23 The prosecutor here introduced drug-courier profile evidence. He elicited testimony from officers who, after relating their training and experience in drug interdiction, described typical behaviors of drug-traffickers, thereby suggesting that because Escalante also engaged in such behaviors, he too was a drug-trafficker.
See
Lee
,
¶24 We agree with Escalante and the court of appeals that admission of this testimony constituted error because the evidence was used as substantive proof of guilt.
See
Escalante
, 242 Ariz. at 383 ¶ 32,
¶25 Expert testimony about general behaviors is permitted if helpful to a jury's understanding of the evidence.
See
State v. Salazar-Mercado
,
B. Fundamental error
¶26 The admission of drug-courier profile evidence here went to the foundation of the case and therefore constitutes fundamental error. The pivotal factual issue in the case was whether Escalante had possessed the methamphetamine found on Prairie Lane with an intent to sell it (count one). (Proof of counts three and five also depended on resolution of that issue.) The evidence tying Escalante to the baggie of methamphetamine was circumstantial and not overwhelming. Methamphetamine residue was present on the scale found inside Escalante's truck. Two incoming text messages on the "throw phone" suggested Escalante was selling something ("Hey, bro. Give me a call. Need to place an order." and "If you've got any, let me know."). In the months before the arrest, multiple people made short-term visits to Escalante's apartment. Escalante lied about traveling from Phoenix when he was stopped. But the baggie was found in the middle of the road hours after Escalante's arrest, casting doubt on whether he had discarded the drug. Notably, jurors posed several questions about the drug's discovery and origins: "Do you think it is unusual that the white substance in the road was not spotted by all the law enforcement who went up and down the road that night of the arrest? Explain conditions that might have made this possible that it wasn't seen"; "Was the baggie from the road tested for fingerprints? Would it have been possible to find fingerprints on the bag?" Fingerprint analysis was not done, and DNA testing "revealed nothing" to indicate that Escalante had possessed the baggie.
¶27 Evidence that Escalante fit the profile of a drug trafficker greatly increased the likelihood the jury would find that he possessed the drug with the intent to sell it before discarding it to prevent detection.
See
Stevens
,
¶28 The court of appeals reached the opposite conclusion because "the jury had substantial evidence to convict Escalante on count 1."
See
Escalante
, 242 Ariz. at 384 ¶ 36,
C. Prejudice
¶29 Establishing prejudice from fundamental error varies depending on the nature of the error and the unique case facts.
See
Dalton
, 241 Ariz. at 186 ¶ 13,
¶30 The State urges us to require a defendant to show that a reasonable jury
would have
reached a different result but offers no compelling reason or authority for doing so.
Henderson
's "could have" standard is well-accepted and complements the state's burden in harmless-error review to prove "beyond a reasonable doubt that the error did not contribute to or affect the verdict or sentence."
See
Escalante-Orozco
, 241 Ariz. at 286 ¶ 126,
¶31 This is not to say that the "could have" standard is easily satisfied. In keeping with
Henderson
's pronouncement that appellate relief for fundamental error occurs in "rare cases" and such error is "curable only via a new trial," the "could have" inquiry necessarily excludes imaginative guesswork. The standard is an objective one, and requires a showing that without the error, a reasonable jury could have plausibly and intelligently returned a different verdict. A "reasonable jury" is "composed of persons of average intelligence and judgment" who "use[ ] common sense in considering the evidence presented in connection with the instructions given by the court."
Citizens Utils. Co. v. Firemen's Ins.
,
¶32 We decline to adopt Amicus's suggestion that we apply a subjective standard to determine whether the jury that rendered the verdict could have reached a different result without the error. An appellate court cannot know what did or did not guide a particular jury's determination. Because that jury and a hypothetical "reasonable jury" share the same presumptive traits, however, any questions posed by jurors during trial or deliberation may be pertinent in applying the standard objectively.
¶33 The court of appeals concluded, without citation to authority, that "[a] defendant cannot show prejudice, and thus cannot obtain reversal under fundamental error review ... where the record suggests the defendant did not object to the impermissible evidence as part of his defense strategy, and there is otherwise substantial evidence of his guilt."
See
Escalante
, 242 Ariz. at 385 ¶ 45,
¶34 We disagree with the court of appeals for two reasons. First, whether "substantial evidence of guilt" exists is not the standard for deciding prejudice. As just explained, the proper inquiry is whether, without the error, a reasonable jury could have reached a different result, even if substantial evidence of guilt exists. Of course, the amount of error-free evidence supporting a guilty verdict is pertinent to that inquiry.
See, e.g.
,
State v. Ramos
,
¶35 Second, putting aside the practical problems associated with divining whether defense counsel's silence was strategic or neglectful, tactical reasons for remaining silent in the face of trial error do not preclude a finding of prejudice. The consequence for strategically failing to object to trial error is bearing the formidable burden of showing that the error was fundamental and warrants the "rare case" remedy of reversal and a new trial.
See
Henderson
,
¶36 Prior decisions from this Court cited by the State do not persuade us to reach a different decision. None of these cases suggests that a defendant necessarily loses the ability to obtain appellate relief for fundamental, prejudicial error if defense counsel strategically failed to object to trial error.
See
State v. Miller
,
¶37 The State also cites cases from other jurisdictions that conclude or suggest that when a failure to object could have been strategic, it is more appropriate to consider the issue in post-conviction relief proceedings than in fundamental error review.
See
Johnson v. State
,
¶38 Importantly, if defense counsel invited trial error, strategically or carelessly, the defendant cannot obtain appellate relief even if the error was fundamental and prejudicial.
See
State v. Logan
,
¶39 The court of appeals also concluded that Escalante failed to show that without the profile evidence a reasonable jury could have reached a different verdict.
See
Escalante
, 242 Ariz. at 384-85 ¶¶ 40-41,
¶40 We disagree with the court of appeals and instead conclude that Escalante has
demonstrated that the erroneous admission of drug-courier profile evidence prejudiced his trial on counts one, three, and five. Guilty verdicts on those counts depended on the jury finding that Escalante possessed the methamphetamine found in the road with the intent to sell it.
See
A.R.S. §§ 13-2809, -3102, -3407. As previously explained, the admissible evidence supporting the prosecution's case on these counts was circumstantial and prompted several questions from the jury about the baggie's ownership.
See
supra
¶ 26. That Escalante's behaviors fit the drug-courier profile laid out by law enforcement officers trained in illegal drug interdiction greatly enhanced the likelihood that jurors would conclude that Escalante had possessed the methamphetamine with the intention of selling it. Also, the profile evidence permeated the trial from start to finish.
See
supra
¶ 23;
see also
Escalante
, 242 Ariz. at 384 ¶ 38,
¶41 The State points out that defense counsel used the profile evidence to support his theory that law enforcement officers targeted Escalante with no "real evidence." Specifically, defense counsel argued in closing that the State "spent three days blowing a lot of smoke from a lot of law enforcement officers" and "a parade of police officers" was convinced Escalante was a drug dealer with "no hard evidence that he really is." It is appropriate to consider how inadmissible evidence impacted a defense theory when considering prejudice.
Cf.
Escalante-Orozco
, 241 Ariz. at 278-79 ¶ 83,
¶42 Escalante did not prove that the admission of profile evidence prejudiced his defense or rendered the trial unfair on count two, possession of drug paraphernalia. A person commits that crime if he knowingly possessed drug paraphernalia with the intent to use it.
See
A.R.S. § 13-3415(A). "Drug paraphernalia" includes a digital scale if used to weigh illegal drugs.
CONCLUSION
¶43 Escalante's trial was infected with fundamental, prejudicial error that deprived him of a fair trial on counts one, three, and five. We therefore reverse his convictions and sentences on those counts and remand for a new trial. Because the error did not prejudice him on the remaining counts, we affirm Escalante's convictions and sentences on those counts. We vacate paragraphs 11, 25, 33-53 and 57 of the court of appeals' opinion. In light of our decision, we do not address Escalante's hearsay challenges, none of which concern count two.
Reference
- Full Case Name
- STATE of Arizona, Appellee, v. Erick Antonio ESCALANTE, Appellant.
- Cited By
- 36 cases
- Status
- Published