STATE OF CONNECTICUT v. KENNETH JAMISON
SC 19409
Supreme Court of Connecticut
Argued October 15, 2015—officially released March 15, 2016
Rogers, C. J., and Palmer, Zarella, Eveleigh, McDonald, Espinosa and Robinson, Js.
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Matthew A. Weiner, assistant state’s attorney, with whom, on the brief, were John C. Smriga, state’s attorney, and Richard L. Palombo, Jr., senior assistant state’s attorney, for the appellant (state).
John L. Cordani, Jr., assigned counsel, for the appellee (defendant).
Opinion
PALMER, J. The state appeals, following
The opinion of the Appellate Court sets forth the following facts, which the jury reasonably could have found, and procedural history. In 1995, ‘‘Maria Caban lived in a third floor apartment [at 400 Wood Avenue] in [the city of] Bridgeport. The defendant, her boyfriend at the time, would stay with her on occasion. On October 12, 1995, at approximately 8:40 p.m., eight police officers executed a search warrant [for] the apartment, which had front and rear entrances. One group of officers entered the rear of the apartment using a battering ram while the second group entered through the front. The group entering from the front encountered the defendant, dressed only in boxer shorts, on the stairs leading up to the apartment. The defendant was brought up into the apartment and read his Miranda2 rights.
. . .
‘‘The police searched the premises and found a pair of sneakers that contained a straw and [a] folded dollar bill. Inside of the bill was a white powdery substance that later was revealed through testing to be cocaine. When questioned,
‘‘The defendant was arrested and charged with two counts of possession of narcotics with [the] intent to sell, manufacturing a bomb, [illegal] possession of an explosive, and criminal possession of a firearm. Prior to trial, the defendant was ordered by the court to submit a handwriting exemplar for comparison with [writing in] the notebook found in the apartment. In October, 1996, the defendant was tried before a jury. [At trial, Caban testified that, although she was the one who had purchased the M-1000, she and the defendant both had glued the pennies to its exterior after watching a television program about ‘how . . . [to] make explosives out of things in your house and fireworks.’ Caban further testified that she had testified as a state’s witness in other criminal cases.] After the state [concluded its case-in-chief], the [defense] moved for a judgment of acquittal on all charges. The court granted the motion with respect to the two counts of possession of narcotics with [the] intent to sell and directed the state to file an amended information charging the defendant with [illegal] possession of [a narcotic substance]. The court denied the motion as to all other charges.
‘‘The jury found the defendant guilty of [illegal] possession of [a narcotic substance], manufacturing a bomb, and [illegal] possession of an explosive . . . [but not guilty] on the charge of criminal possession of a firearm. The court sentenced the defendant to a total effective term of thirty-seven years of incarceration, execution suspended after thirty-two years, [and] five years of probation.’’ (Footnotes altered.) State v. Jamison, supra, 152 Conn. App. 756–57.
The defendant appealed to the Appellate Court, claiming, inter alia, that, although the defense did not request an accomplice credibility instruction regarding Caban’s testimony, it was plain error for the trial court not to have provided one, sua sponte, to the jury. Id., 755, 760. The Appellate Court agreed, concluding, first, that, because Caban had testified that she purchased the M-1000 and helped the defendant attach pennies to it, the trial court’s failure to provide an accomplice credibility instruction was ‘‘a patent and readily discernible error’’; id., 762; in light of decades of case law mandating that such an instruction be given when, as in the present case, a person who aided in the commission of the offense with which the accused is charged testifies against the accused at trial. Id., 766 n.5.
The Appellate Court further concluded that the trial court’s error was sufficiently harmful as to require reversal of the defendant’s
We granted the state’s petition for certification to appeal, limited to the following question: ‘‘Did the Appellate Court properly reverse the defendant’s convictions under the plain error doctrine where the trial court failed to give an accomplice credibility instruction?’’ State v. Jamison, 314 Conn. 943, 102 A.3d 1117 (2014). Because we answer the certified question in the negative, we must consider the defendant’s alternative ground for affirmance, namely, that the trial court violated his rights under the Connecticut constitution when it required him to provide a handwriting exemplar. We need not address the merits of that claim, however, because we conclude that the use of the compelled handwriting exemplar at the defendant’s trial was harmless.
I
We begin our analysis of the state’s claim by setting forth the legal principles that govern our review of the claim. It is well established that the plain error doctrine, codified at
‘‘An appellate court addressing a claim of plain error first must determine if the error is indeed plain in the sense that it is patent [or] readily [discernible] on the face of a factually adequate record, [and] also . . . obvious in the sense of not debatable. . . . This determination clearly requires
‘‘Although a complete record and an obvious error are prerequisites for plain error review, they are not, of themselves, sufficient for its application. . . . [I]n addition to examining the patent nature of the error, the reviewing court must examine that error for the grievousness of its consequences in order to determine whether reversal under the plain error doctrine is appropriate. A party cannot prevail under plain error unless it has demonstrated that the failure to grant relief will result in manifest injustice. . . . In State v. Fagan, [280 Conn. 69, 87, 905 A.2d 1101 (2006), cert. denied, 549 U.S. 1269, 127 S. Ct. 1491, 167 L. Ed. 2d 236 (2007)], we described the two-pronged nature of the plain error doctrine: [An appellant] cannot prevail under [the plain error doctrine] . . . unless he demonstrates that the claimed error is both so clear and so harmful that a failure to reverse the judgment would result in manifest injustice.’’ (Citation omitted; emphasis in original; footnote added; internal quotation marks omitted.) State v. Sanchez, 308 Conn. 64, 76–78, 60 A.3d 271 (2013); see also State v. Coward, 292 Conn. 296, 307, 972 A.2d 691 (2009) (‘‘[I]t is not enough for the [party seeking plain error review] simply to demonstrate that his position is correct. Rather, [he] . . . must demonstrate that the claimed impropriety was so clear, obvious and indisputable as to warrant the extraordinary remedy of reversal. . . . [U]nder the second prong of the analysis we must determine whether the consequences of the error are so grievous as to be fundamentally unfair or manifestly unjust.’’ [Citations omitted.]). Finally, our review of the Appellate Court’s conclusion with respect to plain error is plenary. See, e.g., State v. Sanchez, supra, 80.
With regard to individualized credibility instructions, we consistently have held that ‘‘a defendant is not entitled to an instruction singling out any of the state’s witnesses and highlighting his or her possible motive for testifying falsely. . . . An exception to this rule, however, involves the credibility of accomplice witnesses. . . . [When] it is warranted by the evidence, it is the court’s duty to caution the jury to scrutinize carefully the testimony if the jury finds that the witness intentionally assisted in the commission, or if [he or she] assisted or aided or abetted in the commission, of the offense with which the defendant is charged. . . . [I]n order for one to be an accomplice there must be mutuality of intent and community of unlawful purpose. . . . With respect to the credibility of accomplices, we have observed that the inherent unreliability of accomplice testimony ordinarily requires a particular caution to the jury . . . .’’ (Citation omitted; emphasis omitted; internal quotation marks omitted.) State v. Moore, 293 Conn. 781, 823–24, 981 A.2d 1030 (2009), cert. denied, 560 U.S. 954, 130 S. Ct. 3386, 177 L. Ed. 2d 306 (2010); see also State v. Diaz, 302 Conn. 93, 115–16, 25 A.3d 594 (2011) (‘‘the rationale underlying the requirement of a special credibility instruction in cases involving accomplice or complainant testimony . . . [is] that the accomplice or complaining witness has a powerful motive to falsify his or her testimony’’ [internal quotation marks omitted]); State v. Stebbins, 29 Conn. 463, 473 (1861) (court’s failure to caution jury regarding accomplice testimony was ‘‘a clear omission of judicial duty’’). The trial court’s duty to caution the jury ‘‘is implicated only [when] the trial court has before it sufficient evidence to make a determination that there is evidence that [a] witness was in fact an accomplice.’’ (Internal quotation marks omitted.) State v. Gentile, 75 Conn. App. 839, 855, 818 A.2d 88, cert. denied, 263 Conn. 926, 823 A.2d 1218 (2003). With these principles in mind, we turn to the state’s claim.
With respect to the first prong of the plain error test, we agree with the defendant that the trial court’s failure to give an accomplice credibility instruction was an obvious and readily discernible error.6 As we have explained, however, the defendant also must demonstrate, under the second prong of the plain error test, that the omission was so harmful or prejudicial that it resulted in manifest injustice. State v. Sanchez, supra, 308 Conn. 77, 78. This stringent standard will be met only upon a showing that, as a result of the obvious impropriety, the defendant has suffered harm so grievous that fundamental fairness requires a new trial.
In State v. Ruth, supra, 181 Conn. 187, this court first identified the following four factors that an appellate court should consider when evaluating whether the trial court’s decision not to give an accomplice credibility instruction deprived the defendant of a fair trial: ‘‘whether (1) the accomplice testimony was corroborated by substantial independent evidence of guilt, (2) the accomplice testimony was consistent, (3) the accomplices’ potential motives for falsifying their testimony were brought to the jury’s attention, and (4) the court’s instructions to the jury suggested that the witnesses might have an interest in coloring their testimony.’’ State v. Moore, supra, 293 Conn. 825; see State v. Ruth, supra, 199–200. As we explained in Moore, however, although we apply the Ruth factors to preserved and unpreserved claims alike, the standard of review is significantly more demanding when a claim is brought pursuant to the
On appeal, the state argues that the Appellate Court failed to apply this heightened standard of review in concluding that the defendant had met his burden of establishing a manifest injustice simply by demonstrating that three of the four Ruth factors weighed in his favor. The state first contends that only two of the four relevant factors support the defendant’s claim. The state further argues that, in any event, to prevail under the plain error doctrine, the defendant was required to establish, at a minimum, that the trial court’s omission likely resulted in the defendant’s conviction, which, the state claims, the defendant has failed to do. The state also maintains that the Appellate Court, in evaluating harm solely on the basis of the Ruth factors, failed to explain why the trial court’s omission so undermines public confidence in the verdict and in the judicial proceeding as a whole that a failure to reverse the defendant’s conviction would result in manifest injustice. Finally, the state argues that this court previously has determined, in State v. Diaz, supra, 302 Conn. 103–106, and State v. Ebron, 292 Conn. 656, 675–76, 975 A.2d 17 (2009), overruled in part on other grounds by State v. Kitchens, 299 Conn. 447, 10 A.3d 942 (2011), that, when the substantive concerns underlying a special credibility instruction are brought to the jury’s attention and the jury is given a general credibility instruction, it is unlikely that the omission of a special credibility instruction could be so grievous an error as to constitute plain error.
With respect to the state’s first contention, we agree that the Appellate Court incorrectly determined that three of the four Ruth factors favored the defendant when, in fact, only two of them weigh in his favor. Specifically, the state argues, with respect to the second Ruth factor, that the Appellate Court incorrectly concluded that it favored the defendant because Caban’s testimony was inconsistent. More specifically, the state takes issue with the Appellate Court’s statement that, ‘‘[o]n direct examination, [Caban] indicated that the gun belonged to the defendant but, later, on cross-examination, stated that it belonged to another person.’’ State v. Jamison, supra, 152 Conn. App. 763. A review of Caban’s testimony indicates that, on direct examination, the assistant state’s attorney (prosecutor) showed Caban a photograph of the gun found in her apartment and asked her whether she recognized it. Caban responded that it was ‘‘[the defendant’s] gun . . . . Well, the gun he was carrying.’’ Later, on cross-examination, Caban testified that she had seen the defendant with the gun in her apartment. In response, defense counsel stated, ‘‘as a matter of
More important, however, we agree with the state that this claim is governed by this court’s recent decisions in Ebron and Diaz, in which we rejected claims that the trial court committed plain error by failing to give, in accordance with State v. Patterson, 276 Conn. 452, 469–70, 886 A.2d 777 (2005), a special credibility instruction regarding the testimony of a jailhouse informant. In Patterson, this court concluded that ‘‘an informant who has been promised a benefit by the state in return for his or her testimony has a powerful incentive, fueled by self-interest, to implicate falsely the accused. Consequently, the testimony of such an informant, like that of an accomplice, is inevitably suspect.’’ Id., 469. We also concluded that, ‘‘[b]ecause the testimony of an informant who expects to receive a benefit from the state in exchange for his or her cooperation is no less suspect than the testimony of an accomplice who expects leniency from the state’’; id., 470; the trial court must instruct the jury that an informant’s testimony ‘‘[should] be reviewed with particular scrutiny and weighed . . . with greater care than the testimony of an ordinary witness.’’ (Internal quotation marks omitted.) Id., 465.
In rejecting the defendant’s claim of plain error in Diaz, we explained that, in Ebron, this court concluded that ‘‘the trial court’s failure to give, sua sponte, a jailhouse informant instruction pursuant to Patterson does not constitute plain error when the trial court has instructed the jury on the credibility of witnesses [generally] and the jury is aware of the witness’ motivation for testifying [falsely].’’ State v. Diaz, supra, 302 Conn. 103, citing State v. Ebron, supra, 292 Conn. 675–76. In light of Ebron, we concluded in Diaz that, even though the trial court had a duty to caution the jury regarding the informant’s testimony, ‘‘the court’s failure to do so sua sponte did not rise to the level of reversible plain error . . . because the trial court gave a general credibility instruction and the jury was made aware of [the informant’s] motivation for testifying.’’ State v. Diaz, supra, 105.
As in Diaz and Ebron, the jury in the present case was well aware of Caban’s motivation for testifying against the defendant. Indeed, the central theme of defense counsel’s cross-examination of Caban and closing argument was that Caban had falsely implicated the defendant in order to avoid being prosecuted for the offenses with which the defendant was charged. With respect to that cross-examination, defense counsel questioned Caban in relevant part:
‘‘[Defense Counsel]: And you’re claiming that you’re not receiving any special treatment for your testimony here today?
‘‘[Caban]: I’m not.
‘‘[Caban]: Yes.
‘‘[Defense Counsel]: That explosive [was] in your apartment, correct?
‘‘[Caban]: Yes.
‘‘[Defense Counsel]: And you were never charged with either one of those [possession] crimes, were you? You weren’t charged with possession of a gun, were you?
‘‘[Caban]: No.
‘‘[Defense Counsel]: Okay. And you weren’t charged with possession of a bomb, were you?
‘‘[Caban]: It was brought up, yeah.
‘‘[Defense Counsel]: But were you ever charged with it?
‘‘[Caban]: I’m not sure. You’ll have to ask my public defender.
‘‘[Defense Counsel]: You’re not sure what you’re charged with?
‘‘[Caban]: I’m not sure if I was charged with [possession of] the explosive or not. I know I was brought up with it. It was a charge, and I’m not sure.
‘‘[Defense Counsel]: Okay.’’
Following this colloquy, the prosecutor agreed to stipulate that, although Caban initially had been charged with possession of an explosive device, that charge was subsequently dropped in light of Caban’s statement to the police that the device belonged to the defendant. Specifically, the prosecutor stipulated that ‘‘right now, as of today, she’s not charged with possession of an explosive . . . .’’ Thereafter, during closing argument, defense counsel argued to the jury that Caban had a powerful motive to testify against the defendant. Specifically, defense counsel stated: ‘‘We know that it’s her apartment, okay? It’s her apartment in which they found the gun, but she wasn’t charged with possession of a gun, was she? Oh, that’s right, she was at first, but then later [the charge was dropped].
‘‘What else do we know? We know that she wasn’t charged with possession of a bomb, even though it was in her apartment.
* * *
‘‘She stated she bought this. She helped make it, but she’s not charged with manufacturing . . . a bomb. We know that, originally, she might have been or she was, but she was not [charged at the time of her testimony], but she claims that she did not get anything for her testimony. . . . How could you have all of this evidence found in your apartment and not possess it? And, as a jury, you can say to yourself, that doesn’t make sense, and I don’t believe it.
* * *
‘‘Caban is an admitted drug dealer. . . . She bagged up cocaine for sale, yet she’s pointing to [the defendant], he’s the one, not me. It’s not my drugs, guns or bombs. I don’t know anything. It’s him.’’
Thus, defense counsel argued to the jury that it was highly suspicious that Caban could admit to purchasing, possessing and manufacturing an explosive device but not be charged with any crime in connection with those acts. Her motive to testify, he concluded, ‘‘stands for itself . . . and you can take [her motive] into account and say, well, of course she’s going to say . . . none of it is hers. What do you think she’s going to say, it’s all mine?’’
Thereafter, in its final charge, the court instructed the jury that ‘‘[t]he credibility of witnesses and the weight to be given their testimon[y] are matters which are especially within your [province] to determine.
* * *
‘‘In weighing the testimony of an expert, you apply to him the same general rules that you apply to all witnesses, such as bias and interest in the case.’’
In light of the foregoing, we cannot conclude that the omission of the accomplice credibility instruction was so harmful that a failure to reverse the defendant’s conviction of possession of an explosive device and manufacturing a bomb would result in a manifest injustice. As we have explained, the fundamental purpose of an accomplice credibility instruction is to impress on the jury that an accomplice’s testimony should be closely scrutinized because he or she may be testifying in the hope or upon a promise of leniency from the state. When that concern is brought to the jury’s attention, however, as it clearly was in the present case, and the jury is given a general credibility instruction that it is presumed to have followed, we see no reason to conclude that the trial court’s failure to give an accomplice credibility instruction likely was so harmful that reversal is the only way to avoid manifest injustice to the defendant and to preserve public confidence in the fairness of the judicial proceeding.
We disagree with the defendant that ‘‘Caban’s motives for lying were only weakly brought to the jury’s attention’’ and, therefore, that the present case is distinguishable from Ebron and Diaz. Although defense counsel might have done a better job impeaching Caban’s credibility, the jury must be credited with the intelligence to understand the central premise of defense counsel’s commonsense argument, namely, that Caban’s testimony was not worthy of belief because she was testifying in the hope of receiving leniency—indeed, immunity—from the state. This argument was strongly reinforced by the fact that Caban was not being charged with any offense at the time of the defendant’s trial, even though she freely admitted to purchasing, possessing and manufacturing the explosive device. We also disagree with the defendant’s contention that, because the trial court did not specifically instruct the jury that it could consider the bias and potential interest of lay witnesses, ‘‘the court did not give the jury any legal basis to use . . . defense [counsel’s] arguments,’’ and, therefore, that the jury would have felt compelled to disregard those arguments ‘‘as legally irrelevant.’’ First, contrary to the defendant’s contention, the trial court did instruct the jury that it could consider the bias and interest of lay witnesses. Specifically, the court stated that, ‘‘[i]n weighing the testimony of an expert, you apply to him the same general rules that you apply to all witnesses, such as bias and interest in the case.’’ (Emphasis added.) Similarly, by instructing the jury that it was the sole arbiter of credibility and could reject all or part of a
II
We next address the defendant’s claim that the judgment of the Appellate Court, which reversed his conviction of illegal possession of an explosive device and of manufacturing a bomb, can be affirmed on the alternative ground that the trial court violated his right against self-incrimination under article first, § 8, of the Connecticut constitution by compelling him to provide a handwriting exemplar. We conclude that it is unnecessary to reach the merits of this claim because, even if we assume, for the sake of argument, that the state constitution prohibits compulsory handwriting exemplars, we are not persuaded that that evidence had any effect on the outcome of the defendant’s trial.
The following additional facts and procedural history are relevant to our disposition of this claim. Following the defendant’s arrest, but prior to the commencement of trial, the trial court granted the state’s motion to compel the defendant to produce an exemplar of his handwriting for comparison with handwriting contained both in the notebook found in Caban’s apartment and with a letter that, according to Caban, the defendant had sent to her. At trial, the state’s handwriting expert, James Streeter, testified that the handwriting in the letter matched that in the notebook. He also testified that, on the basis of the significant ‘‘variations in the letter construction,’’ it was his expert opinion that ‘‘the person [who] authored [the exemplar] was in all probability attempting to disguise his writing.’’ Thereafter, in its final charge, the trial court instructed the jury that it could ‘‘consider the opinion testimony of . . . Streeter concerning the possibility [that] the defendant may have been attempting to disguise his handwriting when providing the [exemplar solely] in conjunction with the phrase from [the notebook], ‘no guns are to stay in the house overnight, none at all, even my own,’ as evidence of consciousness of guilt with regard to the charge of criminal possession of a firearm.’’ (Emphasis added.) The jury subsequently returned a verdict of not guilty on the firearm charge.
On appeal to the Appellate Court, the defendant claimed that the state had violated his rights under the Connecticut constitution when it compelled him to provide a handwriting exemplar.7 State v. Jamison, supra, 152 Conn. App. 777. Although the defendant conceded ‘‘that such protection is not inherent in the right against self-incrimination contained in the fifth amendment to the federal constitution,8 he argue[d] that the Connecticut constitution’s analogous provision affords greater protection than its federal counterpart.’’ Id., 778. The Appellate Court rejected the defendant’s claim, concluding, consistent with fifth amendment jurisprudence, that a handwriting exemplar is not testimonial in nature.9 Id., 778–80.
As we previously indicated, even if it is assumed that the Appellate Court incorrectly determined that article first, § 8, is coextensive with the fifth amendment for present purposes, the defendant makes no attempt to explain, and we cannot perceive, how Streeter’s testimony concerning the exemplar prejudiced the defendant with respect to the charges that he illegally possessed an explosive and manufactured a bomb. Indeed, it is clear that Streeter’s testimony was not prejudicial even with respect to the firearm charge in view of the fact that the jury found the defendant not guilty of that offense. Moreover, it is axiomatic that, in the absence of any evidence to the contrary, we must presume that the jury followed the trial court’s instruction that it could consider Streeter’s testimony only as evidence of consciousness of guilt with respect to the firearm charge. See, e.g., State v. O’Neil, 261 Conn. 49, 82, 801 A.2d 730 (2002) (jury is presumed to follow limiting instructions). Finally, as the state maintains, even without the handwriting exemplar, the state established that the handwriting in the notebook belonged to the defendant on the basis of Streeter’s testimony that the handwriting in the letter matched that in the notebook. Accordingly, the evidence derived from the handwriting exemplar was at most additional evidence connecting the defendant to the apartment, and, as such, it could not have affected the jury’s verdict on the charges that the defendant illegally possessed an explosive and manufactured a bomb.
The judgment of the Appellate Court is reversed only with respect to that court’s reversal of the defendant’s conviction of the crimes of illegal possession of an explosive and manufacturing a bomb, and the case is remanded to that court with direction to affirm the judgment of the trial court; the judgment of the Appellate Court is affirmed in all other respects.
In this opinion the other justices concurred.
PALMER, J.
