STATE OF CONNECTICUT v. MICHAEL A. D‘AMATO
AC 36877
Connecticut Appellate Court
March 8, 2016
Gruendel, Alvord and Prescott, Js.
Argued December 1, 2015
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(Appeal from Superior Court, judicial district of New Haven, geographical area number twenty-three, B. Fischer, J.)
Mark Rademacher, assistant public defender, for the appellant (defendant).
Nancy L. Chupak, senior assistant state‘s attorney, with whom, on the brief, were Michael Dearington, state‘s attorney, and Kevin Shay, senior assistant state‘s attorney, for the appellee (state).
Opinion
ALVORD, J. The defendant, Michael A. D‘Amato, appeals from the trial court‘s judgment of conviction, rendered after a jury trial, of larceny in the second degree by defrauding a public community in violation of
The following facts, which the jury reasonably could have found, and procedural history are relevant to this appeal. On March 12, 2011, East Haven police Officer Dennis Spaulding arrested three suspects and seized drugs and more than $1300 in cash from their car. At the East Haven Police Department (department), Spaulding counted the money in front of his supervisor, DePalma. DePalma signed the department‘s evidence log and ensured that the seized money was properly recorded. According to DePalma, the money was placed in two plastic evidence bags. DePalma testified that he then watched Spaulding go into the department‘s evidence closet. Because of his positioning, he could not actually see Spaulding place the sealed bags in the evidence box, but he heard the evidence box open and close. The closet was located off of an evidence processing room, an area to which several officers had access. The locked closet was approximately six feet by six feet in dimension. The key for the closet was kept behind the duty supervisor‘s desk. Inside the closet was the evidence box, which was an old United States Post Office mailbox. Evidence was placed in a drawer at the top of the evidence box. Once the drawer was closed, the evidence dropped to the bottom of the evidence box and was retrieved by unlocking the bottom door.5
On March 17, 2011, five days after Spaulding seized the money, Sergeant George Kammerer, the department‘s evidence officer, went to retrieve evidence from the evidence box and discovered that the money was missing. Kammerer testified that he and another officer conducted a thorough search of the evidence closet, but they could not find the money. The state police were called in to investigate.
Within a few days after the money was discovered missing, East Haven police Captain Henry Butler III and East Haven
There were several surveillance cameras in the department, but none had a clear shot of the evidence box. The cameras took still pictures eight seconds apart and did not record continuous video.7 The state police reviewed footage of who entered and exited the closet during the five days from when the money was seized to when it was discovered missing. The investigation focused on the defendant, who at the time was a detective with the department.
The still shots from the surveillance cameras showed the defendant in the vicinity of the evidence closet on the morning of March 14, 2011. During that time, the closet door is seen opening and closing. The still shots do not actually show the defendant entering or exiting the closet, but they showed him leaving the area with something under his arm. Based on the still shots presented to the jury, it was not perfectly clear what the defendant was holding, but the state suggested that part of the item or items was colored red.8 The
Prior to the trial, the state included Spaulding on its witness list, but it was informed by his counsel that he would be invoking his fifth amendment privilege against self-incrimination. The state subpoenaed Spaulding, and during the trial but outside the presence of the jury, Spaulding stated that he would invoke his fifth amendment right if he was required to testify. After the time of the alleged theft and prior to the commencement of the trial, Spaulding had been charged and convicted of federal crimes for civil rights violations and the obstruction of justice in relation to his conduct as an East Haven police officer. Spaulding‘s counsel informed the court that he had advised Spaulding not to testify because he intended to appeal his conviction. Defense counsel conducted a voir dire of Spaulding, asking whether he would invoke his privilege against self-incrimination if she were to cross-examine him during
the trial. Spaulding stated that he would invoke the privilege. Defense counsel did not request that Spaulding make his invocation of the privilege in the presence of the jury.11
On February 3, 2014, the jury found the defendant guilty of larceny in the second degree and tampering with physical evidence. The trial court, B. Fischer, J., sentenced the defendant to five years imprisonment, execution suspended after eighteen months, followed by two years of probation. This appeal followed.
I
The defendant claims on appeal that “[w]here evidence before the jury implicates another suspect as the sole perpetrator of the crime, the court denie[d] [the defendant] his right to present a defense when the court prevent[ed] the suspect from invoking his fifth amendment right in front of the jury.” Specifically, the defendant claims that the trial court, sua sponte, should have required Spaulding to invoke his fifth amendment privilege in front of the jury. The defendant raises this claim for the first time on appeal and requests review pursuant to State v. Golding, 213 Conn. 233, 239–40, 567 A.2d 823 (1989).9 We conclude that the claim fails under the third prong of Golding; the defendant has
“It is true that ‘[t]he right to offer the testimony of witnesses . . . is in plain terms the right to present a defense, [and] the right to present the defendant‘s version of the facts . . . .’ Washington v. Texas, 388 U.S. 14, 19, 87 S. Ct. 1920, 18 L. Ed. 2d 1019 (1967). While this sixth amendment right is binding upon the state through the fourteenth amendment, it is also established that ‘the right to confront and to cross-examine [witnesses] is not absolute and may, in appropriate cases, bow to accommodate other legitimate interests in the criminal trial process.’ Chambers v. Mississippi, 410 U.S. 284, 295, 93 S. Ct. 1038, 35 L. Ed. 2d 297 (1973). The fifth amendment privilege against self-incrimination is one of those interests.” (Footnote omitted.) State v. Bryant, 202 Conn. 676, 685, 523 A.2d 451 (1987).
Our Supreme Court has concluded that a defendant‘s constitutional right to present a defense does not include the absolute right to present a witness to the jury for the sole purpose of invoking his fifth amendment privilege against self-incrimination. Id., 685–87. In Bryant, the defendant requested to present a witness, his brother, who he claimed was the culpable party, for the precise purpose of having him invoke his fifth amendment privilege against self-incrimination in the presence of the jury. Id., 681. Relying on the majority view that such testimony would have a disproportionately prejudicial impact on the jury, the Supreme Court concluded that the trial court correctly barred the jury
from hearing the witness invoke his privilege against self-incrimination. Id., 686–87. The court stated: “Neither side has the right to benefit from inferences capable of being drawn by the jury where the privilege is invoked by the witness. . . . Reason and human experience indicate that inferences are certainly suggested by such a tactic; the danger inherent in this circumstance is that the inference or inferences drawn may have little, if any, juristic relation to the issues before the jury. More important, however, is the fact that the inference, whatever it may be, cannot be attacked effectively by cross-examination.” (Citation omitted.) Id., 684.
Here, the defendant‘s right to present a defense was not violated. Furthermore, the defendant seeks to go a step beyond Bryant and require the trial court, sua sponte, to ensure that the jury hears the witness invoke his privilege against self-incrimination. We decline to deviate from the holding in Bryant.
Outside the presence of the jury, defense counsel was given an opportunity to question Spaulding, and she was satisfied that he would not answer any of her questions if he was called to testify before the jury. The defendant did not request
The defendant argues that the court in Bryant held out the possibility that there could be a case in which the defendant should be allowed to call a witness only for the purpose of invoking the privilege against self-incrimination, but we conclude that this is not that case.12 See id., 686. In Bryant, our Supreme Court put great emphasis on reviewing the third-party culpability evidence that was before the jury at the time that the defendant sought to call the witness to invoke the privilege on the witness stand. Id. In that case, the jury had heard a police detective testify that based on his investigation, “one of the Bryants, not specifically [the defendant], could be a suspect.” (Internal quotation
marks omitted.) Id. The court concluded that even this statement, leaving open the possibility that the defendant‘s brother had committed the crime, was not enough to require the trial court to grant the defendant‘s request that the brother invoke his fifth amendment privilege against self-incrimination in the presence of the jury. Id., 686–87.
Assuming, arguendo, that the defendant had sought to call Spaulding to testify,13 the third-party culpability evidence that was before the jury implicating Spaulding as the guilty party was no more fulsome than the evidence that had been presented in Bryant. See id. In this case, the jury reasonably could have found that Spaulding was the last person to have lawful custody of the money that went missing and no one actually saw Spaulding put the money in the evidence box. These limited facts were not enough to implicate Spaulding as potentially the culpable party. During closing argument, defense counsel raised the possibility that Spaulding did not put the money in the evidence box. She did not, however, (1) include Spaulding on her witness list, (2) move that Spaulding be required to invoke his fifth amendment privilege against self-incrimination
II
The defendant also claims that the prosecutor acted improperly by “telling the jury what Spaulding‘s testimony would have been,” and that the court failed “to tell the jury not to draw any inference from Spaulding‘s absence from the trial . . . .” We disagree. The prosecutor‘s comments regarding Spaulding were not improper because they constituted a fair response to defense counsel‘s comments regarding Spaulding, and the defendant waived his right to challenge the court‘s failure to include a neutralizing instruction as to Spaulding‘s unavailability.14
The following additional facts are relevant to the defendant‘s claim. Throughout the trial, defense counsel cross-examined the state‘s witnesses about Spaulding‘s actions on the night the money was seized and whether anyone actually saw him put the money in the evidence box. In her closing argument, defense counsel raised the possibility that Spaulding was responsible for the missing money: “Are you even sure based on what you heard last week that money was even placed in the mailbox by Officer Spaulding.”15 In the state‘s rebuttal, the
that? The money was in the mailbox.”
“[I]n analyzing claims of prosecutorial [impropriety], we engage in a two step analytical process. The two steps are separate and distinct: (1) whether [an impropriety] occurred in the first instance; and (2) whether that [impropriety] deprived [the] defendant of his due process right to a fair trial. Put differently, [an impropriety is an impropriety], regardless of its ultimate effect on the fairness of the trial; whether that [impropriety] caused or contributed to a due process violation is a separate and distinct question . . . .” (Internal quotation marks omitted.) State v. Andrews, 313 Conn. 266, 279, 96 A.3d 1199 (2014).
“To determine whether any improper conduct by the [prosecutor] violated the defendant‘s fair trial rights is predicated on the factors set forth in State v. Williams, 204 Conn. 523, 540, 529 A.2d 653 (1987), with due consideration of whether that [impropriety] was objected to at trial. . . . These factors include the extent to which the [impropriety] was invited by defense conduct or argument . . . the severity of the [impropriety] . . . the frequency of the [impropriety] . . . the centrality of the [impropriety] to the critical issues in the case . . . the strength of the curative measures adopted . . . and the strength of the state‘s case.” (Internal quotation marks omitted.) State v. Devito, 159 Conn. App. 560, 573, 124 A.3d 14, cert. denied, 319 Conn. 947, 125 A.3d 1012 (2015).
The prosecutor‘s comments regarding Spaulding were not improper because they were limited to responding to the defendant‘s assertion that Spaulding never deposited the money in the evidence box. The prosecutor was within his right to respond with an explanation of why he believed that the defense‘s theory was improbable. “A prosecutor may respond to the argument of defense counsel during rebuttal.” State v. Galarza, 97 Conn. App. 444, 471, 906 A.2d 685, cert. denied, 280 Conn. 936, 909 A.2d 962 (2006). The prosecutor‘s comments were not framed as a hypothetical, i.e., had Spaulding testified this is what he would have said. More importantly, the prosecutor did not comment on Spaulding‘s absence. See State v. Ayuso, 105 Conn. App. 305, 329–30, 937 A.2d 1211, cert. denied, 286 Conn. 911, 944 A.2d 983 (2008) (“Contrary to the defendant‘s assertion, the prosecutor did not comment on the absence of [the witness]. Rather, the prosecutor merely was responding to the closing argument made by defense counsel.“). The prosecutor‘s comments
III
Finally, the defendant claims that the trial court should have permitted him to impeach DePalma by questioning Kammerer as to a prior inconsistent state-
ment made by DePalma. The defendant claims: “The exclusion of this evidence violated [the defendant‘s] federal and state constitutional rights to confrontation, to cross-examination, and to present a defense.” We disagree. The trial court did not abuse its discretion in determining that the evidence was inadmissible hearsay.
The following additional facts are relevant to the defendant‘s claim. During the state‘s presentation of evidence, DePalma testified that he was within six feet of Spaulding when he was supposedly putting the money in the evidence box. Although he did not actually see the money deposited, he testified that he heard the evidence box door open and close. During cross-examination, DePalma admitted that when the money was discovered missing, he immediately contacted Spaulding and asked him if he had actually deposited the money in the evidence box.17 Later, during defense counsel‘s cross-examination of Sergeant Kammerer, the state objected on hearsay grounds to a question in regard to whether Kammerer heard DePalma questioning Spaulding at the police station when it was first discovered that the seized money was not in the evidence box.18 At the
“The legal standards governing the review of alleged violations of a criminal defendant‘s sixth amendment right to cross-examine witnesses are well established. The sixth amendment to the [United States] constitution guarantees the right of an accused in a criminal prosecution to confront the witnesses against him. . . . The primary interest secured by confrontation is the right to cross-examination . . . . Indeed, if testimony of a witness is to remain in the case as a basis for conviction, the defendant must be afforded a reasonable opportunity to reveal any infirmities that cast doubt on the reliability of that testimony.” (Internal quotation marks omitted.) State v. Jordan, 305 Conn. 1, 27, 44 A.3d 794 (2012).
However, “[a] defendant is . . . bound by the rules of evidence in presenting a defense. . . . Although exclusionary rules of evidence cannot be applied mechanistically
is plenary. . . . We review the trial court‘s decision to admit [or exclude] evidence, if premised on a correct view of the law, however, for an abuse of discretion.” (Citation omitted; internal quotation marks omitted.) Id., 10–11.
The defendant‘s constitutional rights were not violated. The defendant was able to cross-examine DePalma and specifically confront him about his initial instinct to question Spaulding when the money was first discovered missing. See footnote 20 of this opinion. We review the court‘s decision to deny defense counsel the opportunity to question a later witness, Kammerer, as to DePalma‘s out-of-court statement regarding Spaulding under the abuse of discretion standard.21 See State v. Winot, 294 Conn. 753, 776, 988 A.2d 188 (2010). “[T]he trial court has broad discretion in ruling on the admissibility . . . of evidence. . . . The trial court‘s ruling on evidentiary matters will be overturned only upon a showing of a clear abuse of the court‘s discretion. . . . We will make every reasonable presumption in favor of upholding the trial court‘s ruling, and only upset it for a manifest abuse of discretion.” (Internal quotation marks omitted.) State v. Martinez, 295 Conn. 758, 769–70, 991 A.2d 1086 (2010). Section 6-10 of the
The defendant argues that the inconsistency rested within DePalma‘s testimony that he trusted that Spaulding had deposited the money in the evidence box, yet he questioned him the moment he learned that the money was missing. “In deciding whether the statement is admissible, the trial court must review it in light of the witness’ entire testimony to determine whether it is, in fact, inconsistent with that testimony . . . and, if so, whether such inconsistency is substantial and relate[s] to a material matter. . . . Such a determination as to inconsistency lies within the discretionary authority of the trial court.” (Citations omitted; internal quotation marks omitted.) State v. Christian, 267 Conn. 710, 756, 841 A.2d 1158 (2004). DePalma testified that he “trusted” Spaulding and that he heard the evidence box open and close when Spaulding was allegedly depositing the evidence, but he also testified that he did not actually view the money being put in the evidence box. The fact that DePalma later questioned Spaulding as to whether he had deposited the money was not inconsistent with his testimony at trial, and DePalma consistently admitted that he had questioned Spaulding. The trial court did not abuse its discretion by barring the defendant from eliciting hearsay testimony from Sergeant Kammerer.
The judgment is affirmed.
In this opinion the other judges concurred.
Notes
“[Defense Counsel]: Mr. Spaulding, if I were to question you in this matter is it my understanding that you would invoke your fifth amendment privilege?
“[The Witness]: Yes it is.
“[Defense Counsel]: Okay. I‘m satisfied, Your Honor.
“The Court: All right. And the court is too. So, Mr. Spaulding, you would not answer any questions from the state of Connecticut based on the concerns that [your counsel] put on the record concerning your other case that is on appeal as I understand it, and also you would not answer any questions on cross-examination for the same reasons from [defense counsel]. Is that correct, Mr. Spaulding?
“[The Witness]: Yes, it is Your Honor.”
“[Defense Counsel]: Now, isn‘t it true that when you found out that the evidence was missing you were upset?
“[The Witness]: Correct.
“[Defense Counsel]: And in fact, didn‘t you get Dennis—you got Dennis Spaulding‘s phone log? Did you—Didn‘t you contact Dennis Spaulding?
“[The Witness]: Yes.
“[Defense Counsel]: And isn‘t it true that you were talking to him over the radio?
“[The Witness]: Over the phone.
“[Defense Counsel]: Over the phone. And—And did you direct him to call you, correct?
“[The Witness]: Yes.
“[Defense Counsel]: And at some point did you say [to Officer Spaulding], call me immediately?
“[The Witness]: Correct.
“[Defense Counsel]: And did you, in fact, ask him, what did you do?
“[The Witness]: Correct.
“[Defense Counsel]: And did you, in fact, ask him, did you forget the money?
“[The Witness]: I don‘t recall, but it‘s very possible.”
Defense counsel provided DePalma with a transcript of a recorded interview between himself and state police Sergeant William Bundy. After DePalma reviewed the transcript, defense counsel resumed her questioning.
“[Defense Counsel]: Does that refresh your recollection as to whether when you spoke to Dennis Spaulding at the time that you discovered the evidence missing, that you in fact asked him, did you forget the money?
“[The Witness]: Correct.”
“[Defense Counsel]: Is it true that you were present when Officer Spaulding was at the station and being confronted by Sergeant DePalma?
“[The Witness]: Yes.
“[Defense Counsel]: And isn‘t it true that Sergeant DePalma was irate?
“[The Witness]: Yes.
“[Defense Counsel]: And was he yelling at Dennis Spaulding?
“[The Prosecutor]: Objection.
“The Court: Your objection, what?
“[The Prosecutor]: Well, how does he know what was in the mind of this other individual?
“The Court: No, I‘m going to sustain the objection. It‘s hearsay.
“[Defense Counsel]: I‘m—I‘m going to ask what—I‘m just asking what Sergeant DePalma‘s demeanor was.
“The Court: Demeanor—Demeanor is fine.
“[Defense Counsel]: What was Sergeant DePalma‘s demeanor towards Dennis Spaulding?
“[The Witness]: Well, he was upset about the situation.
“[Defense Counsel]: Okay. And was Sergeant DePalma questioning Dennis Spaulding—
“[The Prosecutor]: Objection.
“The Court: Well, hold on. Let her finish the question.
“[Defense Counsel]: Was Sergeant DePalma questioning whether or not Officer Spaulding actually placed the evidence into the mailbox?
“[The Prosecutor]: Objection, that‘s hearsay.
“The Court: Right.
“[Defense Counsel]: I think it goes—
“The Court: I‘m going to sustain it, it‘s hearsay what—
“[Defense Counsel]: Well, it‘s an inconsistent statement from—I‘m offering it because Sergeant DePalma testified that Officer Spaulding placed the evidence into the mailbox essentially, that was the inference he wanted the jury to make and here we have Sergeant DePalma yelling at Officer Spaulding—
“[The Prosecutor]: Objection to the characterization of it, it‘s not—
“The Court: No. I‘m going to sustain the objection. It‘s hearsay. I‘m going to strike the question. Go ahead.”
