ROGER B. v. COMMISSIONER OF CORRECTION
AC 36149
Appellate Court of Connecticut
May 12, 2015
Beach, Alvord and Bishop, Js.
Argued January 13
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(Appeal from Superior Court, judicial district of Tolland, Cobb, J.)
James M. Ralls, assistant state’s attorney, with whom, on the brief, were David Shepack, state’s attorney, and Brenda L. Hans, assistant state’s attorney, for the appellee (respondent).
Opinion
ALVORD, J. The petitioner, Roger B., appeals following the denial of his petition for certification to appeal from the judgment of the habeas court denying his petition for a writ of habeas corpus. On appeal, the petitioner claims that the habeas court (1) abused its discretion in denying his petition for certification to appeal, (2) improperly rejected his claim that his trial counsel was ineffective in that he failed to raise a statute of limitations affirmative defense, and (3) improperly rejected his claim that his trial counsel was ineffective in that he failed to consult and present an expert. We agree with the petitioner’s first and second claims and, accordingly, reverse in part the judgment of the habeas court.
Our Supreme Court, in affirming the conviction, concluded that the jury reasonably could have found the following facts: ‘‘In 1995, the [petitioner] lived with his girlfriend, J.T., and her three children; two girls, S and J, and one boy, K. S was eight years old and J was four years old.1 There were two bedrooms on the first floor of the house. S and J shared a bedroom, as did the [petitioner], J.T. and K. The living room and kitchen were located on the second floor. Almost nightly, the [petitioner] would wake up S and take her upstairs to the living room, where he would sexually assault her.2
‘‘In May, 1996, the [petitioner], J.T. and her children and the [petitioner’s] mother moved to a new house. The kitchen, living room and S’s bedroom were on the first floor of the house. There were three bedrooms on the second floor. The [petitioner] and J.T. shared one bedroom, and J and K shared another. The [petitioner’s] mother also slept on the second floor. In the new house, the [petitioner] would wake up J and take her to the living room or to his bedroom and sexually assault her.3
‘‘In the fall of 1999, J.T. entered a psychiatric ward. S, J and K lived with the [petitioner], who was their sole caretaker4 until representatives from the department of children and families (department) removed the children because the [petitioner] was not a relative. In February, 2000, the department placed J in a foster home. The department subsequently placed S in the same fos-ter home. A few months after living in the foster home, S told her boyfriend that she had been abused by the [petitioner]. S later told her foster mother and her therapist that the [petitioner] had abused her. When J also told her foster mother that the [petitioner] had abused her, the foster mother reported the allegations to the department.’’ State v. Roger B., 297 Conn. 607, 609–10, 999 A.2d 752 (2010). Additional facts will be set forth as necessary.
On August 21, 2008, the petitioner filed his initial petition for a writ of habeas corpus. The petitioner filed an amended petition on August 25, 2011. In his amended petition, the petitioner alleged that his trial counsel, Christopher Cosgrove, had rendered ineffective assistance in numerous ways. Relevant to this appeal are the petitioner’s allegations that his trial counsel had rendered ineffective assistance in failing to (1) raise a statute of limitations affirmative defense, and (2) consult and retain an expert to review the
On appeal, the petitioner claims that the habeas court improperly concluded that he received effective assistance of counsel. We first set forth our standard of review. ‘‘Faced with the habeas court’s denial of certification to appeal, a petitioner’s first burden is to demonstrate that the habeas court’s ruling constituted an abuse of discretion. . . . A petitioner may establish an abuse of discretion by demonstrating that the issues are debatable among jurists of reason . . . [the] court could resolve the issues [in a different manner] . . . or . . . the questions are adequate to deserve encouragement to proceed further. . . . The required determination may be made on the basis of the record before the habeas court and the applicable legal principles.’’ (Citations omitted; emphasis in original; footnote omitted; internal quotation marks omitted.) Johnson v. Commissioner of Correction, 285 Conn. 556, 564, 941 A.2d 248 (2008).
‘‘In determining whether the habeas court abused its discretion in denying the petitioner’s request for certification, we necessarily must consider the merits of the petitioner’s underlying claims to determine whether the habeas court reasonably determined that the petitioner’s appeal was frivolous. In other words, we review the petitioner’s substantive claims for the purpose of ascertaining whether those claims satisfy one or more of the three criteria . . . adopted by this court for determining the propriety of the habeas court’s denial of the petition for certification. Absent such a showing by the petitioner, the judgment of the habeas court must be affirmed. . . .
‘‘Our standard of review of a habeas court’s judgment on ineffective assistance of counsel claims is well settled. In a habeas appeal, this court cannot disturb the underlying facts found by the habeas court unless they are clearly erroneous, but our review of whether the facts as found by the habeas court constituted a violation of the petitioner’s constitutional right to effective assistance of counsel is plenary.’’ (Citation omitted; internal quotation marks omitted.) Holloway v. Commissioner of Correction, 145 Conn. App. 353, 363–64, 77 A.3d 777 (2013).
‘‘A criminal defendant is constitutionally entitled to adequate and effective assistance of counsel at all critical stages of criminal proceedings. . . . This right arises under the sixth and fourteenth amendments to the United States constitution and
In order to determine whether the habeas court abused its discretion in denying the petition for certification to appeal, we must consider the merits of the petitioner’s underlying claims that his trial counsel provided ineffective assistance. With the foregoing principles in mind, we turn to the petitioner’s claims.
I
The petitioner first claims that his trial counsel’s failure to assert a statute of limitations affirmative defense constituted ineffective assistance of counsel. The petitioner argues, pursuant to State v. Crawford, 202 Conn. 443, 521 A.2d 1034 (1987), and State v. Ali, 233 Conn. 403, 660 A.2d 337 (1995), that the issuance of the warrant for his arrest did not toll the statute of limitations because the warrant was not executed without unreasonable delay. The basis for the petitioner’s claim is that although the warrant had been issued on July 6, 2005, within the applicable statute of limitations, the warrant was not executed until January 24, 2007, beyond the five year period established by
The following additional facts as found by the habeas court are relevant to the petitioner’s claim. The offenses of which the petitioner was convicted were committed over a period of time from 1995 to 2000. The department reported the allegations of sexual abuse to the New Milford Police Department on July 7, 2000. On July 17, 2000, New Milford Police Department Detective James Mullin watched a forensic interview conducted with the victims. Mullin obtained a statement from the petitioner on August 31, 2000. The petitioner gave police permission to conduct a search of his apartment and storage unit. The investigation was completed in 2000, and police did not discover any additional evidence between 2000 and 2005. On July 6, 2005, police obtained an arrest warrant for the petitioner. The petitioner
A statute of limitations affirmative defense on the basis of unreasonable delay in execution of the warrant is properly considered according to the framework set forth in Crawford and articulated in subsequent appellate decisions. In State v. Crawford, supra, 202 Conn. 450, our Supreme Court stated: ‘‘When an arrest warrant has been issued, and the prosecutorial official has promptly delivered it to a proper officer for service, he has done all he can under our existing law to initiate prosecution and to set in motion the machinery that will provide notice to the accused of the charges against him. When the prosecutorial authority has done everything possible within the period of limitation to evidence and effectuate an intent to prosecute, the statute of limitations is tolled. . . . An accused should not be rewarded, absent evidence of a lack of due diligence on the part of the officer charged with executing the warrant, for managing to avoid apprehension to a point in time beyond the period of limitation.
‘‘We recognize, however, that some limit as to when an arrest warrant must be executed after its issuance is necessary in order to prevent the disadvantages to an accused attending stale prosecutions, a primary purpose of statutes of limitations. . . . Therefore, we adopt, what we think is the sensible approach of the model penal code, and conclude that, in order to toll the statute of limitations, an arrest warrant, when issued within the time limitations of
‘‘A statute of limitations claim is an affirmative defense for which the burden rests with the defendant to prove the elements of the defense by a preponderance of the evidence. . . . Despite this, once a defendant puts forth evidence to suggest that [he] was not elusive, was available and was readily approachable, the burden shifts to the state to prove that the delay in executing the warrant was not unreasonable.’’ (Citations omitted; internal quotation marks omitted.) State v. Woodtke, 130 Conn. App. 734, 740, 25 A.3d 699 (2011); see also State v. Derks, 155 Conn. App. 87, 93, A.3d (2015), cert. denied, 315 Conn. 930, A.3d (2015).
The petitioner raised his claim that trial counsel was ineffective in failing to raise a statute of limitations affirmative defense before the habeas court in his petition, in his briefs to the court, and through testimony and other evidence at trial. In his pretrial brief, the respondent, the Commissioner of Correction, countered that ‘‘[t]here is no viable statute of limitations defense because the arrest warrant was issued within the five year period from the victims’ reporting it to authorities.’’ In his posttrial brief, the respondent argued that the petitioner’s moves to Indiana and Alabama had made it difficult to apprehend him, and thus he would not have prevailed on a statute of limitations affirmative defense. Accordingly, our review of the record leads us to conclude that the petitioner adequately raised his claim in the habeas court.
We next examine the habeas court’s resolution of the petitioner’s claim. In a section of the habeas court’s memorandum of decision titled ‘‘Arrest Warrant Delays,’’ the habeas court found that ‘‘the petitioner has failed to provide any credible evidence to establish that he was prejudiced at trial by his counsel’s failure to challenge the warrant as stale or the delay in executing it.’’ The court further concluded that the ‘‘[p]etitioner’s trial counsel definitively and credibly testified that [the] petitioner’s defense was not hindered in any way by the delays, and the petitioner has not provided this court with any credible evidence to dispute this assertion.’’ It noted that trial counsel had determined that the defense was not hindered by the delays because ‘‘no new infor mation arose during the period, no witnesses went missing, and the witnesses were able to recall events.’’
In the following section titled ‘‘Statute of Limitations,’’ the habeas court concluded that trial counsel did not act deficiently in failing to file a motion to dismiss the charges on the basis of the statute of limitations.10 In discussing this claim, the
The petitioner claims on appeal that ‘‘[t]he habeas court failed to address the postwarrant delay, finding only that [trial counsel] reasonably calculated that the warrant had been issued within the period of limitation.’’ Our review of the record leads us to agree with the petitioner. We will set forth our reasoning.
We again note that ‘‘[a] claim of ineffective assistance of counsel consists of two components: a performance prong and a prejudice prong.’’ (Internal quotation marks omitted.) Gonzalez v. Commissioner of Correction, supra, 122 Conn. App. 279. This court has two instructive cases: Gonzalez and Thompson v. Commissioner of Correction, 91 Conn. App. 205, 880 A.2d 965 (2005), appeal dismissed, 280 Conn. 509, 909 A.2d 946 (2006). ‘‘To satisfy the performance prong . . . the petitioner must demonstrate that his attorney’s representation was not reasonably competent or within the range of competence displayed by lawyers with ordinary training and skill in the criminal law.’’ Gonzalez v. Commis-sioner of Correction, supra, 279. In Thompson v. Commissioner of Correction, supra, 215, this court determined that trial counsel’s representation ‘‘fell below an objective standard of reasonableness when she did not file the appropriate motion to dismiss . . . on the basis of the staleness of the arrest warrant.’’ The court further noted that trial counsel had not raised the statute of limitations as an affirmative defense, nor did trial counsel present any evidence of the delay in execution of the warrant. Id., 215 n.10. This court disagreed with the habeas court’s conclusion that the petitioner in that case had been difficult to apprehend because he had been out of state for only a short period after the issuance of the warrant, had been arrested a number of times in Connecticut and each time had provided his current address. Id., 214–15. This court further concluded that it could not say that the respondent ‘‘could show an absen[ce] [of] evidence of a lack of due diligence on the part of the officer charged with executing the warrant . . . .’’ (Internal quotation marks omitted.) Id., 215.
‘‘To satisfy the prejudice prong, [the petitioner] must demonstrate that there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.’’ (Internal quotation marks omitted.) Gonzalez v. Commissioner of Correction, supra, 122 Conn. App. 279. Accordingly, the prejudice analysis turns on whether the petitioner
In this proceeding, the habeas court’s discussion of the petitioner’s claim that trial counsel was ineffective in failing to assert a statute of limitations affirmative defense was limited to the issuance of the warrant within the statute of limitations. Although the court discussed the delay in execution of the warrant as it affected the petitioner’s defense, the court focused on Cosgrove’s testimony that no witnesses went missing and that the witnesses were able to recall the events in concluding that the petitioner’s defense had not been hindered.
Proper resolution of the petitioner’s claim pursuant to State v. Crawford, supra, 202 Conn. 443, and State v. Ali, supra, 233 Conn. 403, would instead require the court to consider whether there was a reasonable probability that the petitioner would have succeeded on a statute of limitations affirmative defense that was based on unreasonable delay in executing the warrant. Such an analysis would include considering whether the petitioner had ‘‘[put] forth evidence to suggest that [he] was not elusive, was available and was readily approachable,’’ such that ‘‘the burden [would have] shift[ed] to the state to prove that the delay in executing the warrant was not unreasonable.’’ State v. Woodtke, supra, 130 Conn. App. 740; see Gonzalez v. Commissioner of Correction, supra, 122 Conn. App. 286 and n.6 (rejecting petitioner’s claim that ‘‘he had not acted elusively or that his whereabouts were readily ascertainable by the police’’ and concluding that burden had not shifted to state to prove ‘‘it had not acted unreasonably in executing the warrant’’). When and if the petitioner put forth that evidence, the burden would shift, and the subsequent evidentiary analysis would include consideration of whether the respondent would have succeeded in proving that the delay was not unreasonable. This analysis would involve examination of the police actions leading up to the execution of the warrant. See State v. Derks, supra, 155 Conn. App. 95 (considering, inter alia, that police had entered warrant in FBI’s National Crime Information Center database and had conducted computer searches for defendant, but that error in database system prevented police from receiving notification of defendant’s arrests in Colorado).
Accordingly, having reviewed the petitioner’s claim, we conclude that the habeas court abused its discretion in denying certification to appeal.11 We further conclude
II
The petitioner next claims that his trial counsel was ineffective with regard to failures in connection with the forensic interviews conducted with the child victims. He argues that ‘‘effective counsel would have con sulted an expert on proper interviewing techniques for child sexual abuse complainants, would have intro duced an expert at trial to educate the jury about children’s suggestibility and proper interviewing techniques, and would have introduced the videotaped interview to cast doubt on the reliability and veracity of the allegations that S and J had made eight years earlier about events that, by 2008, had occurred up to thirteen years earlier.’’
The following additional facts as found by the habeas court are relevant to the petitioner’s claim. Forensic interviews were conducted with the victims on July 17, 2000. At that time, S was thirteen and J was eight. At the time of the criminal trial, S was twenty-one and J was sixteen. The petitioner’s trial counsel viewed the videotapes of the forensic interviews before the trial. Trial counsel informed the petitioner of the videotapes and suggested to the petitioner that he review them, but the petitioner declined to do so. Trial counsel was familiar with protocols for conducting forensic interviews, and he did not believe that he needed to consult an expert to educate him concerning the protocols. After viewing the videotapes, trial counsel concluded that the forensic interviews were very damaging to the petitioner’s case. His testimony was that the effect of the jury watching the videotapes would have been ‘‘devastating . . . .’’ The decision to keep the videotapes from the jury was a tactical one, and his testimony was that certain decisions were made during trial to avoid opening the door to the introduction of the videotapes. The state did not offer the videotapes of the forensic interviews into evidence during the petitioner’s criminal trial, but did introduce the testimony of S and J.
We first note that our Supreme Court has ‘‘never adopted a bright line rule that an expert witness for the defense
‘‘We recently have stated: The second part of the Strickland analysis requires more than a showing that the errors made by counsel may have had some effect on the outcome of the proceeding. . . . Rather, [the petitioner] must show that there is a reasonable proba bility that, but for counsel’s unprofessional errors, the result of the proceeding would have been different. . . . When a [petitioner] challenges a conviction, the question is whether there is a reasonable probability that, absent the errors, the factfinder would have had a reasonable doubt respecting guilt. . . . Meeting this admittedly high standard is indeed a herculean task . . . .’’ (Citation omitted; internal quotation marks omitted.) Id., 79–80. ‘‘A court ruling on prejudice must consider the totality of the evidence before the judge or the jury. . . . Some errors will have had a pervasive effect on the inferences to be drawn from the evidence, altering the entire evidentiary picture, and some will have had an isolated, trivial effect. Moreover, a verdict or conclusion only weakly supported by the record is more likely to have been affected by errors than one with overwhelming record support. . . . The bench mark for judging any claim of ineffectiveness must be whether counsel’s conduct so undermined the proper functioning of the adversarial process that the trial cannot be relied on as having produced a just result.’’ (Inter nal quotation marks omitted.) Minor v. Commissioner of Correction, 150 Conn. App. 756, 762–63, 92 A.3d 1008 (2014), cert. denied, 314 Conn. 903, 99 A.3d 1168 (2014).
We find it helpful to review the contrasting circumstances of Michael T. v. Commissioner of Correction, 144 Conn. App. 45, 62, 71 A.3d 660 (2013), cert. granted, 310 Conn. 938, 79 A.3d 891 (2013), a case in which this court determined that the petitioner’s trial counsel had rendered ineffective assistance in failing to present expert testimony.12 Through expert testimony at the habeas trial in Michael T., the petitioner was able to show that an expert would have testified at the petitioner’s criminal trial to numerous problems with the forensic interviews conducted in that case. The testimony was that the interviews were conducted in an accusatory atmosphere that was based on an assumption that the child had been sexually abused because of an infection that experts testified at trial was a condition that was sexually transmitted. Id., 51. There was also testimony that the child’s disclosure had been tainted because she had been interviewed on at least six occasions, including by her mother and a department investigative social worker, before the forensic
In the present case, during his habeas trial, the petitioner presented the expert testimony of Nancy Eiswirth, a licensed clinical psychologist. Eiswirth testified generally as to, among other things, the evolution of protocols for conducting forensic interviews of children, the general structure of such interviews, and the types of questions. Eiswirth stated that she had reviewed the videotapes and transcripts of the interviews conducted with the victims in this case. She testified as to a number of issues with both interviews, including that the interviewers used leading questions. She opined that a critical error occurred in the interview with J, in that the interviewer’s demonstration using dolls was suggestive. With regard to S’s interview, Eiswirth testified that the interviewer had failed to explore whether S had acquired sexual knowledge from sources other than the petitioner. Eiswirth further testified as to concerns with both interviewers’ conclusions.
Christopher Cosgrove, the petitioner’s trial counsel, also testified. He stated that he had attended seminars on child sexual abuse that included the area of forensic interviewing of children and had viewed dozens of forensic interview tapes. He testified that he had consulted with forensic experts in previous cases, explaining that he had ‘‘gone over [videotapes of forensic interviews] in other cases with [the expert] and shown them to her and she has gone over with me what the protocol should be, you know, as far as leading questions or suggestive behavior . . . .’’ As to the videotapes in the present case, he had viewed them ‘‘probably two or three times at least’’ and the audiotapes once. He explained that he did not think that ‘‘there was anything in those tapes that would [have] helped my client. I think there was a lot in there that would [have] hurt my client.’’ He stated that he thought that the victims were very effective in what they said during their interviews and that the effect on a jury would have been ‘‘devastating’’ for the petitioner. He indicated that he did not see the need to retain an expert in this case. He further testified that he made a tactical decision to avoid cross-examining the victims on their interviews to avoid introduction of the videotapes into evidence.
The petitioner claims that trial counsel was ineffective in failing to introduce the videotapes into evidence. The habeas court found that the petitioner failed to prove that trial counsel’s conduct was deficient. In considering the petitioner’s claim, we note that ‘‘[c]ounsel is strongly presumed to have rendered adequate assistance and made all significant decisions in the exercise of reasonable professional judgment.’’ (Internal quotation marks omitted.) Watson v. Commissioner of Correction, 111 Conn. App. 160, 170–71, 958 A.2d 782 (2008), cert. denied, 290 Conn. 901, 962 A.2d 128 (2008); see also Adorno v. Commissioner of Correction, 66 Conn. App. 179, 183, 783 A.2d 1202 (2001) (‘‘[b]ecause of the difficulties inherent in making the evaluation, a court must indulge a strong presumption that counsel’s conduct falls within the wide range of reasonable professional assistance; that is, the [petitioner] must overcome the presumption that, under the circumstances, the challenged action might be considered sound trial strategy’’ [internal quotation marks omitted]), cert. denied, 258 Conn. 943, 786 A.2d 428 (2001). In Watson, this court
In this case, the habeas court concluded that ‘‘the tactical decision to avoid the introduction of the forensic interviews was an objectively reasonable trial tactic.’’ In so concluding, it expressly noted that it agreed with trial counsel’s assessment that the videotapes were ‘‘highly damaging to the petitioner.’’ The court’s conclusions are supported by the record. The petitioner’s trial counsel testified that ‘‘[i]t would be devastating for the jury to see [J] this little girl in the context of the same age and size she was at the time of the alleged incident . . . . And S was thirteen, but in many ways acted quite a bit older than that, and I believe that they were both very . . . effective . . . .’’ Accordingly, we cannot conclude that the petitioner has overcome the presumption that his trial counsel acted reasonably in deciding not to introduce the videotapes. We agree with the habeas court that counsel’s conduct in that respect was not deficient.
With regard to the failure to consult13 or present an expert, the habeas court concluded that the petitioner had failed to show prejudice. To prevail on his claim, the petitioner would have had to prove that the interviews were so improperly conducted that had trial counsel consulted an expert and presented expert testimony as to the alleged improprieties, the jury would have concluded that the victims’ memories had been tainted to the extent that their later in-court testimony was unreliable, thereby causing the jury to have reasonable doubt respecting guilt.14
We agree with the habeas court that the petitioner failed to prove prejudice. Although the petitioner provides a number of examples of instances during the interviews in which he claims that the interviewer acted improperly, the petitioner failed to show a reasonable probability that expert testimony concerning such improprieties would have altered the result of his trial.15 The habeas
We turn to the petitioner’s remaining argument, which is that trial counsel’s failure to consult an expert caused the petitioner’s inability to counteract the state’s expert.16 We first note that the
We conclude that the habeas court properly deter mined that the petitioner failed to establish that he was prejudiced by his trial counsel’s failure to consult with or present an expert.
The judgment is reversed only as to the petitioner’s claim of ineffective assistance of his trial counsel in connection with the failure to assert an affirmative defense of the statute of limitations and the case is remanded to the habeas court for further proceedings on that claim in accordance with this opinion. The judgment is affirmed in all other respects.
In this opinion the other judges concurred.
