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PUBLISHED OPINION

COURT OF APPEALS

DECISION

DATED AND FILED

NOTICE

December 30, 1998

This opinion is subject to further editing. If published, the official version will appear in the bound volume of the Official Reports.

Marilyn L. Graves

Clerk, Court of Appeals

of Wisconsin

A party may file with the Supreme Court a petition to review an adverse decision by the Court of Appeals. See § 808.10 and Rule 809.62, Stats.

BACKGROUND

DISCUSSION

Kathleen's Mental Health History2

1. Kathleen's Mental Health Records

I will be looking at these records myself ... with the idea of determining if there is any medical confirmation that she is unable to perceive reality. And I'll test that by either medical opinions to that effect or information in the medical records that indicate that she has falsely given information, and then the medical records confirm that the information was false and there is a suggestion that it was false because she did not understand ... the difference between truth and falseness.

If I don't find any of that, then I will conclude that there is no exculpatory evidence ... and will not reveal any portion of it. If I do find that, then I will convene both parties to talk about what I find and even let them look at it independently.

[E]vidence is material only 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. Findings of fact made by a trial court in determining whether information in the records is material are reviewed under the clearly erroneous standard. However, to ensure consistency in the scope of constitutional protections, we independently apply the constitutional principles involved to the facts as found by the trial court.

Id. (citations omitted). This statement was based, in part, on an earlier decision of the court of appeals, State v. Shiffra, 175 Wis.2d 600, 605, 499 N.W.2d 719, 721 (Ct. App. 1993).

2. Preclusion of Kathleen's Other Mental Health History

Exclusion of Expert Testimony

Character evidence not admissible to prove conduct; exceptions; other crimes.

(1) Character Evidence Generally. Evidence of a person's character or a trait of the person's character is not admissible for the purpose of proving that the person acted in conformity therewith on a particular occasion, except:

(a) Character of accused. Evidence of a pertinent trait of the accused's character offered by an accused, or by the prosecution to rebut the same ....

Such character evidence may be presented through testimony as to reputation or by testimony in the form of an opinion. See § 904.05, Stats. Any testimony presented is then subject to cross-examination. See id.

In offering the expert testimony of the psychologist, as it related to the defendant's character, the defendant was properly relying upon the provisions of sec. 904.04(1)(a), Stats., and sec. 904.05(1).... Thus in this first-degree murder case, the defendant was entitled to place into evidence not only opinion testimony but expert opinion testimony concerning his general character trait of nonhostility and nonagressiveness.

Id . at 38-39, 248 N.W.2d at 464-65.

[Defense Counsel]: Do you have an opinion concerning [Richard's] character traits for sexual deviancy with children?

[Carlson]: I do.

[Defense Counsel]: What is that opinion?

[Carlson]: I do not believe that he has the characteristics that sexual abusers, pedophiles, have.

The only difference the state can conceive of is that Dr. Lodl would have been asked about the various tests he administered to the defendant, whereas Dr. Carlson was not asked such questions since he was testifying as a layperson.

Although, Jon Carlson is a psychologist, he was not presented as an expert witness. He was presented as a lay witness.... And the point is, how really reliable [are] ... lay witness insights into whether or not a person ... is a pedophile?

How does a lay person find out if someone has a sexual interest in children?

CONCLUSION

1 Richard additionally argues that the trial court committed reversible error by summarily disqualifying two prospective jurors, without voir dire, solely on the basis of their probationary status and by refusing to strike for cause a prospective juror who expressed uncertainty as to whether she could give an honest judgment in the matter because she had been sexually assaulted as a child. Based on our conclusion that Richard is entitled to a new trial due to the court's erroneous exclusion of expert testimony, we need not reach these issues.

However, as to the prospective jurors who were on probation, we advise the trial court that the case of State v. Mendoza, 220 Wis.2d 803, 584 N.W.2d 174 (Ct. App. 1998), is now pending before the Wisconsin Supreme Court. One of the issues in that case concerns the trial court's removal of four jurors for cause solely on the basis of their status as convicted criminals. See id. at 807, 584 N.W.2d at 176. The court of appeals concluded that the trial court erroneously exercised its discretion by removing the four jurors, after vior dire, solely on the basis of their status as convicted criminals. See id. If Mendoza is still pending at the time of the retrial in this case, and if similarly situated prospective jurors are on the jury panel, the trial court must abide by the court of appeals decision in Mendoza. And, in any event, we suggest that the trial court permit voir dire of the prospective jurors, rather than summarily disqualifying them solely on the basis of their status.

As to the juror who expressed an alleged bias, we note that the better practice is for the trial court to strike such a prospective juror. See State v. Ferron, 219 Wis.2d 481, 495-96, 579 N.W.2d 654, 660 (1998).

2 Although we conclude that Richard is entitled to a new trial based on the trial court's erroneous exclusion of expert testimony, we nevertheless address his arguments pertaining to Kathleen's mental health records and history. See State ex rel. Jackson v. Coffey, 18 Wis.2d 529, 533, 118 N.W.2d 939, 942 (1963) (issues briefed may be considered if they are likely to recur on remand even though other issues are dispositive of the appeal).

3 Based upon our independent review of Kathleen's mental health records and the social worker's notations therein, it appears that the latter two categories were based upon statements which may not pertain to Kathleen, but rather to two other members of Kathleen's therapy group. Upon remand, the trial court should clarify this matter.

4 Richard also complains that the trial court applied too restrictive a test when it stated that it would look for information indicating that Kathleen had a motive to lie, that she was unable to perceive reality and that she could not understand the difference between truth and falsity. Regardless, the court's actual release of certain information in the records reveals that it did not adhere to this restrictive test.

5 Ironically, in State v. Solberg, 211 Wis.2d 372, 386, 564 N.W.2d 775, 781 (1997), the supreme court cited to State v. Shiffra, 175 Wis.2d 600, 499 N.W.2d 719 (Ct. App. 1993), in support of its standard of review, but only as to the "clearly erroneous" portion of the inquiry.

6 Despite Solberg, we have considered whether we are nonetheless permitted to analyze the issue as one of constitutional law under a de novo approach because decisions of the United States Supreme Court on federal questions are binding on state courts. See State v. Mechtel, 176 Wis.2d 87, 94, 499 N.W.2d 662, 666 (1993). However, we conclude that while the ultimate question of materiality is a federal constitutional issue, the applicable standard of review is a separate question of state law.

7 We note that the trial court permitted cross-examination as to possible motives for Kathleen to fabricate the alleged facts relating to the event. For example, the defense was permitted to inquire as to Kathleen's dislike for Richard and his marriage to her mother.

8 Section 907.02, Stats., provides the general rule governing the admissibility of expert testimony:

If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise.

9 At oral argument, the State argued that if we accepted Richard's position, then the State also would have the right to use character profile evidence as part of its case-in-chief. We disagree. Section 904.04(1)(a), Stats., instructs that character evidence about the accused may only be offered by the accused. Only in that situation may the State, by way of rebuttal evidence, introduce countervailing evidence. Thus, any risk associated with the presentation of character evidence by the State is triggered by the defendant.