The jury reasonably could have found the following facts. The defendant began dating the victim's mother in 2003 and moved in with the mother and her three children later that same year. In August, 2009, the victim, who was approximately ten years old at the time, told her mother's cousin that the defendant had squeezed her buttocks while she was washing dishes. The cousin alerted the victim's mother who then removed the defendant from the home. Approximately two weeks later, the victim's mother allowed the defendant back into the home. She did not call the police or alert the victim's father to the allegations. Seven months after the victim first disclosed her allegations of abuse, a member of the victim's extended family went to the victim's father and spoke to him about the allegations. Soon thereafter, the victim's father questioned the victim about the allegations, which she confirmed as true. Later that same day, he filed a report with Danbury Police Department.
After receiving the report, the police commenced an investigation. Officers interviewed the victim, who confirmed that the defendant had been touching her inappropriately.
The victim also underwent a physical examination at the request of the police. The examination did not reveal any physical evidence of abuse. The examining physician later testified at trial, however, that the lack of physical evidence did not prove the absence of abuse based on the victim's description of how the abuse occurred.
On the basis of the information gathered during their investigation, the police obtained a warrant for the defendant's arrest, and the state later charged the defendant with numerous crimes relating to sexual assault and risk of injury to a child.
At trial, the victim testified about the incidents in which the defendant grabbed her buttocks. At one point
The state presented expert testimony to explain why the victim's recollection of when the sexual abuse occurred might have varied. The state's expert, Larry M. Rosenberg, a clinical psychologist, testified that children view and experience time differently than adults. Rosenberg also testified that the effect of trauma on memory is commonly to make it less accurate. Noting that the victim was only approximately ten years old at the time of the assaults, Rosenberg testified that children between the ages of eight and ten years old were not as capable of the abstract
In his defense, the defendant presented witnesses to challenge the victim's credibility. The defendant primarily relied upon the testimony of the victim's mother, who
After the close of evidence, the state and defense counsel gave closing arguments to the jury. During the state's rebuttal argument, the prosecutor twice remarked to the jury that the defendant had not testified.
The prosecutor made the first remark while she reviewed the contents of the written statements that the defendant gave to the police, which had been admitted into evidence during trial. After summarizing portions of the testimony from the victim's mother, the prosecutor turned her attention to the defendant's statements to the police, telling the jury: "This is the other thing. Counsel did not present his client to testify. That's their right guaranteed by the constitution if any of us were accused. But there is evidence as to things [the defendant] said. His sworn statement. Also, testimony by a couple of police officers as to what he said to them, and that's before you." The prosecutor then discussed portions of the defendant's statements to the police, before returning to discuss additional portions of the testimony of the victim's mother and arguing that her testimony lacked credibility.
Thereafter, the prosecutor again turned her attention to the defendant's statements to the police, this time to argue that they also lacked credibility. Specifically, the prosecutor stated: "You've got to look at the credibility
Defense counsel did not object to either of the prosecutor's comments about the defendant's failure to testify, either during or after the state's argument. After the state's rebuttal argument, counsel did, however, make an unrelated objection about a different aspect of the prosecutor's rebuttal argument.
After resolving the unrelated objection, the court then instructed the jury on the law that applied to the case. Although the defendant had not objected to the prosecutor's comments, the court's charge nevertheless included the following instruction about the defendant's decision not to testify, as required by General Statutes § 54-84(b) : "Now, the defendant has elected not to testify in this particular case. An accused has the right and the option to testify
After receiving the court's instructions, the jury retired to deliberate and ultimately returned a verdict
The defendant appealed from the judgment of the trial court to the Appellate Court, claiming, among other things, that the prosecutor's references to the defendant's decision not to testify were improper and deprived him of his right to a fair trial.
As a threshold matter, we must revise the certified question and clarify the proper standard of review. The Appellate Court treated the defendant's claim as implicating his general due process right to a fair trial rather than as a claim arising under the fifth amendment right to remain silent. The Appellate Court thus decided the defendant's appeal using the due process standard for prosecutorial misconduct claims from
We held in Payne , however, that a different standard applies when the defendant claims that the prosecutorial impropriety "infringed a specifically enumerated constitutional right, such as the fifth amendment right to remain silent ...." (Emphasis added.) State v. Payne , supra,
Turning to the merits of the present case, we first consider whether the prosecutor's comments violated the defendant's fifth amendment right to remain silent.
The state argues, however, that despite the prosecutor's direct reference to the defendant's failure to testify, the comments nevertheless did not violate the protections of the fifth amendment. According to the state, we must apply what is known as the " 'naturally and necessarily' " test to determine whether a prosecutor's comments violate the fifth amendment. That test asks whether "the language used [by the prosecutor was] manifestly intended to be, or was ... of such a character that the jury would naturally and necessarily take it to be a comment on the failure of the accused to testify." (Emphasis added; internal quotation marks omitted.) State v. Haase ,
First, the state's reliance on the "naturally and necessarily" test is misplaced. The "naturally and necessarily" standard applies only when it is unclear whether the prosecutor's comments at issue referred to the defendant's failure to testify, not when the prosecutor makes comments that explicitly refer to the defendant's silence. See, e.g., United States v. Tanner ,
In the present case, however, there is no question that the prosecutor referred directly to the defendant's failure to testify. There is, therefore, no need to apply the "naturally and necessarily" test to determine whether the comments violated the fifth amendment.
Second, to violate the fifth amendment, the prosecutor's comments need not imply that the jury should draw an adverse inference from the defendant's silence. It is enough that the comment by an adverse party calls the jury's attention to the defendant's silence because any such comment "heighten[s] the jury's awareness of the defendant's silence, namely, his failure to answer to the state's charges ... [and] is improper." State v. Smalls ,
Because the defendant here has established that the prosecutor violated his fifth amendment rights by directly referencing his failure to testify, we next must determine whether the state has proven beyond a reasonable doubt that the violation was harmless. "[T]here may be some constitutional errors which in the setting of a particular case are so unimportant and insignificant that they may, consistent with the [f]ederal [c]onstitution, be deemed harmless, not requiring the automatic reversal of the conviction." Chapman v. California ,
First, as we noted previously, there is no question that the comments of the prosecutor were not invited by either the argument or conduct of defense counsel. Second, the remarks of the prosecutor were particularly severe. The state argues that the prosecutor's remarks were not of such a character that the jury would "naturally and necessarily" have taken them to be an adverse comment on the defendant's failure to testify. It argues that their context diluted any impropriety and demonstrated a purpose unrelated to the impropriety, namely, to focus on the statements given by the defendant to the police. We disagree. The statements of the prosecutor were particularly severe in this case because the prosecutor, as an officer of the court, violated a state statute, § 54-84(a), by commenting on the fact that the defendant did not testify, in open court, and did it on two occasions. The prosecutor then went on to tell the jurors that they could evaluate the credibility of the defendant through the statements he gave to the police, yet the only charge that the judge gave regarding credibility related to witnesses who testified.
State v. Maguire, supra, at 541,
While it may be argued that the remarks in both Angel T. and Maguire may be explained by the overexuberance of counsel in the "heat of battle," there can be no such explanation for the statements of the prosecutor in the present case that are specifically forbidden by state statute and which the prosecutor is presumed to
Third, we turn to the frequency of the prosecutor's remarks. Although it may be argued that the prosecutor only mentioned the defendant's failure to testify on two occasions, in our opinion, the violation of a specific state statute forbidding the comments means that two occasions of such violations is two too many. Indeed, we could not condone even one violation of such an extreme nature. Therefore, we conclude that, given the context of the remarks, they were frequent.
Fourth, we turn to the centrality of the impropriety to the critical issues in the case. It is not contested that the prosecutorial impropriety in the present case went directly to the central issue, namely, credibility. The central issue for the jury was whether it would believe the allegations of the victim, particularly when there was no physical evidence. As this court previously has recognized, "[b]ecause there was no independent physical evidence of the assault and no other witnesses to corroborate [the victim's] testimony, her credibility was crucial to successful prosecution of the case." State v. Ritrovato,
Fifth, we examine the strength of the state's case. This court repeatedly has recognized that "a sexual assault case lacking physical evidence is not particularly strong, especially when the victim is a minor." State v. Ritrovato, supra,
The last Williams factor involves the strength of the curative measures taken by the court. The state argues that the court's charge to the jury that it could not consider the defendant's failure to testify in its deliberations cured any defect in the prosecutor's argument. We are not persuaded. As we noted previously, no curative instruction was given at the time the prosecutor uttered the remarks. In State v. Maguire, supra,
In our analysis regarding whether the state has proven that the remarks were harmless beyond a reasonable
Therefore, we conclude that all of the Williams factors weigh in favor of the defendant. Similar to the situation in State v. Maguire, supra,
The judgment of the Appellate Court is affirmed.
In this opinion ROGERS, C. J., and PALMER, McDONALD and ROBINSON, Js., concurred.
ZARELLA, J., with whom ESPINOSA, J., joins, dissenting.
In analyzing the comments in the present case, I am convinced that they did not influence the jury's decision. Even if the prosecutor violated the defendant's fifth amendment rights, the defendant is still not entitled to a new trial if the state establishes that the violation was harmless beyond a reasonable doubt. See, e.g., State v. Payne ,
When the statements at issue in the present case are examined in context, it becomes clear that they were harmless. The prosecutor did not ask the jury, explicitly or implicitly, to hold the defendant's silence against him but, instead, reminded the jury that it could consider the defendant's statements to the police in evaluating the defendant's credibility. Specifically, in the first statement at issue, the prosecutor stated: "This is the other thing. Counsel did not present his client to testify. That's their right guaranteed by the constitution if any of us were accused. But there is evidence as to things that [the defendant] said. His sworn statement. Also, testimony by a couple of police officers as to what he said to them, and that's before you." In the second statement at issue, the prosecutor stated: "You've got to look at the credibility of the defendant as well. I mean, he didn't testify. Again, that's his right, but there are some statements that are contained in the evidence. One [of] which that I've just referred to was his sworn statement as well as some statements by the police that he made the night he was arrested. Statements like, 'I've never seen her naked.' Three year olds in the house? We're all parents. Come on, never? Never? Never touched or tickled
These statements, even if improper, were isolated and not egregious. The prosecutor never asked the jury to draw a negative inference from the defendant's failure to testify or suggested that the jury should draw a negative inference from his silence. Instead, the prosecutor's statements were meant to convey to the jury that, even though the defendant did not testify at trial, his statements to the police were contained in the record, and that the jury could use the statements to
Furthermore, the prosecutor did not tell the jurors anything that they had not already perceived. The statements were made during closing arguments, and, at that time, the jury would have been well aware that the defendant had not testified and that no testimony from the defendant would be forthcoming.
The prosecutor's comments would not have influenced the jury for another reason, namely, that they conveyed precisely the same information that the trial court provided to the jury in its instructions on the law. In its jury charge, the trial court expressly reminded the jury that "the defendant has elected not to testify in this particular case," that the defendant "is under no obligation to testify," and that "[h]e has a constitutional right that is protected by the [United States] as well as the Connecticut constitutions not to testify ...." The prosecutor's comments mirrored this instruction.
The majority incorrectly asserts that "the egregiousness of the remarks in this case [was] equal to, if not greater than" the egregiousness of the prosecutor's remarks in State v. Maguire ,
The majority also never explains how the prosecutor's statements in the present case were harmful. Instead, the majority concludes that the statements were severe simply because the statements violated the fifth amendment and § 54-84. The mere existence of a constitutional violation, however, is not indicative of harmful error. See, e.g., United States v. Hasting , supra,
The lack of any prejudicial effect is further demonstrated by defense counsel's failure to object to the statements at trial. If the prosecutor's statements were truly as severe as the majority would have us believe, surely, defense counsel would have moved for a mistrial
When considering the impact of a prosecutor's improper comments, "this court consider[s] it highly significant that defense counsel failed to object to any of the improper remarks, request curative instructions, or move for a mistrial. ... A failure to object demonstrates that defense counsel presumably [did] not view the alleged impropriety as prejudicial enough to jeopardize seriously the defendant's right to a fair trial." (Citation omitted; internal quotation marks omitted.) State v. Luster , supra,
Notably, after the prosecutor's rebuttal argument, defense counsel did make an unrelated objection after
The majority places virtually no weight on defense counsel's failure to object to an impropriety that the majority would now have us believe was "particularly egregious." Because we are able to review only a transcript of the words used at trial, we must rely on the parties' actions during the trial, and defense counsel's failure to object indicates that the prosecutor's comments had no discernible impact on those in the courtroom who witnessed the argument as it unfolded. The majority excuses defense counsel's failure to object by classifying the failure as a tactical decision. The majority claims that defense counsel may have chosen not to object because counsel did not wish to draw the jury's attention to the prosecutor's statements. There simply is no rational reason why competent counsel would have ignored these statements if they actually were "particularly egregious." If defense counsel did not want to object in the presence of the jury because he thought that it would highlight the fact that the defendant did not testify, he could have objected after the jury left the courtroom. In fact, defense counsel did object to other aspects of the rebuttal argument after the jury left the courtroom. Therefore, defense counsel's failure to object is " 'highly significant' " evidence that the prosecutor's statements were not severe.
Even if the prosecutor's comments could have caused harm, which they did not, the trial court's instructions dispelled that risk. Although defense counsel did not object to the comments or ask for any curative instructions, the trial court, pursuant to § 54-84(b), expressly instructed the jury that it could "draw no unfavorable inferences from the defendant's choice not to testify in this particular instance." If the prosecutor's statements had some effect on the jury, the court's instruction cured that effect. In State v. Jones ,
The majority claims that "no general charge would have sufficed" because the remarks were "so egregious ...." For the foregoing reasons, I disagree with the majority's claim that the prosecutor's remarks were egregious. But for the fact that the comments were a technical violation of § 54-84, they were not improper at all, and, therefore, the court's general jury instruction completely cured the impropriety. The reason is simple: the jury instructions and the statements by the prosecutor were correct statements of the law.
Finally, although the majority claims that the state's case was so weak that the prosecutor's statements likely impacted the jury's decision despite any curative
I disagree that Ceballos supports the majority's broad contention, namely, that a lack of physical evidence necessarily makes the state's case so weak that it automatically weighs in favor of the defendant. In Ceballos , we also stated that the "absence of conclusive physical evidence of sexual abuse does not automatically render [the state's] case weak ...."
Moreover, my review of the trial evidence convinces me that the state's case was strong enough that the comments would not have influenced the jury's verdict or impacted the outcome of the proceedings. Although the outcome of the present case turned largely on the credibility of the victim's accusations and the defendant's denials, the state presented evidence to support the victim's credibility and additional evidence to impeach the truth of the defendant's statements to the police and the defendant's general character.
The majority ignores the fact that the jury had a substantial opportunity to evaluate the victim's credibility on the basis of her in-court demeanor. The victim testified on three separate occasions, and defense counsel was able to cross-examine her regarding
Later, defense counsel called the victim's mother to testify regarding the defendant's good character, but much of her testimony was contradictory. The victim's mother testified that she had never seen the defendant "be fresh around women" but later admitted that the defendant had a history of violent behavior toward women. Specifically, she acknowledged that she had once called the police after the defendant punched her in the face. She also testified that, on a separate occasion, another woman had told her that the defendant was having an affair; when the defendant found out, he went to the woman's home and smashed her car windshield.
The testimony of the victim's mother was also inconsistent with the defendant's own statements to the police. In his sworn statement to the police, the defendant claimed that he never had been alone in the home with the victim since she made her first allegations. Contrary to the defendant's claim that he was never in the home alone with the victim after August, 2009, the victim's mother stated that there were still times when the defendant was alone with the victim.
The prosecutor also pointed out that the defendant's own statements to the police were contradictory. The defendant claimed that he had not hugged or kissed the victim since she was "very young ...." In the very same statement, he said that, after the victim's mother had kicked him out of her home, he returned
Considering that defense counsel failed to object to the prosecutor's comments and that the trial court instructed the jury that it could not consider the defendant's decision not to testify, I am convinced beyond a reasonable doubt that the prosecutor's comments did not impact the jury's decision. The jury had before it ample evidence from which to consider the credibility of the victim and the strength of the defendant's case. The jury was able to observe the victim's demeanor in court during her testimony, including during extensive cross-examination. Additionally, the state presented evidence to discredit the victim's mother's description of the defendant's character and to impeach the credibility of the defendant's own statements to the police.
For all of the foregoing reasons, I would conclude that the prosecutor's statements did not impact the outcome of the trial and, thus, were harmless. Accordingly I would reverse the judgment of the Appellate Court, and, therefore, I respectfully dissent.
Notes
Although the defendant did not preserve his prosecutorial impropriety claim by objecting at trial, such claims are nevertheless reviewable on appeal. See State v. Payne,
We acknowledge that in State v. Ruffin,
The fifth amendment to the federal constitution, although addressed to the federal government, also applies to the states under the due process clause of the fourteenth amendment. State v. Ruffin,
Section 54-84 (a) also prohibits a prosecutor from commenting on the "neglect or refusal of an accused party to testify ...." In the past, however, we have treated the protections of the statute as being synonymous with those of the fifth amendment. See, e.g., State v. Parrott, supra,
We note that the United States Supreme Court has held that a direct comment by a prosecutor on the defendant's silence will not violate the fifth amendment when a "prosecutor's reference to the defendant's opportunity to testify is a fair response to a claim made by [a] defendant or his counsel ...." United States v. Robinson,
"In determining whether prosecutorial misconduct was so serious as to amount to a denial of due process, this court, in conformity with courts in other jurisdictions, has focused on several factors. Among them are the extent to which the misconduct was invited by defense conduct or argument ... the severity of the misconduct ... the frequency of the misconduct ... the centrality of the misconduct to the critical issues in the case ... the strength of the curative measures adopted ... and the strength of the state's case." (Citations omitted.) State v. Williams,
The trial court instructed the jury as follows: "I now want to discuss the subject of credibility, by which I mean the believability of testimony. You have observed the witnesses. The credibility or the believability of the witnesses and the weight to be given to their testimony are matters entirely within your hands. It is for you alone to determine their credibility. Whether or not you find a fact proven is not to be determined by the number of witnesses testifying for or against it. It is the quality and not the quantity of testimony which should be controlling. As I previously indicated, a single witness' testimony may be sufficient to justify a conviction, provided, of course, that such testimony satisfies you beyond a reasonable doubt that the state has sustained its burden of proving each and every element of the given charge or charges beyond a reasonable doubt."
We note in this case that, since the improprieties occurred during rebuttal argument, defense counsel would not have had the opportunity to rebut the arguments. Further, after closing argument, although defense counsel objected to certain portions of the prosecutor's argument, he did not object to the statements regarding the failure of the defendant to testify.
The fifth amendment privilege against self-incrimination is made applicable to state prosecutions through the due process clause of the fourteenth amendment. See, e.g., Malloy v. Hogan,
The majority asserts that these two statements were "two too many" and also asserts that it "could not condone even one violation of such an extreme nature." The majority concludes that the remarks were frequent not because they were pervasive or repeated but, rather, because the prosecutor's comments violated the fifth amendment and § 54-84. Such a conclusion turns the meaning of the word "frequent" on its head. The majority's position means that this factor will always support reversal, because even a single violation would constitute a frequent occurrence.
Defense counsel was not reluctant to move for a mistrial when he believed that doing so was appropriate. Throughout the course of the trial, defense counsel moved for a mistrial on five different occasions.
The majority mentions that the court's charge on credibility related only to witnesses who testified at trial and not to the defendant's written statements to the police. This is irrelevant when determining the curative effect of the court's general jury instructions. The alleged impropriety was the prosecutor's reference to the defendant's failure to testify, not that the prosecutor asked the jury to examine the defendant's written statements.
The jury's decision to find the defendant not guilty of one of the charges against him strongly indicates that the prosecutor's remarks did not lead the jury to condemn the defendant for his refusal to testify, and that the jury instead properly applied the court's instructions in reaching its verdict. See, e.g., State v. Lucas,
