State v. RaynorState v. Raynor
- Reporters:
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- Before:
- Robinson, Palmer, McDonald, D’Auria, Mullins, Kahn
Syllabus
Convicted, after a jury trial, of the crime of murder in connection with the shooting death of the victim, the defendant appealed. The defendant and the victim were members of rival street gangs in Hartford. On the day of the shooting, the defendant called R, another member of his gang, and told him that he wanted to test an assault rifle. R drove with the defendant through areas of Hartford frequented by members of the victim‘s gang, and, as R drove, the defendant shot at the victim and killed him. Thirteen months later, the police rеcovered an assault rifle in connection with an unrelated investigation, and the state‘s expert witness, S, a firearm and toolmark examiner, testified that several casings recovered from the scene of the victim‘s murder and the scene of a subsequent, unrelated shooting were positively identified as having been fired from the same assault rifle the police recovered. In affirming the defendant‘s conviction, the Appellate Court concluded that the trial court properly denied the defendant‘s motion to exclude or limit the scope of S‘s testimony and that the trial court did not abuse its discretion in admitting evidence of uncharged misconduct related to the subsequent shooting. On the granting of certification, the defendant appealed to this court. Held:
1. The Appellate Court improperly upheld the trial court‘s denial of the defendant‘s motion for a hearing, pursuant to this court‘s decision in State v. Porter (241 Conn. 57), on the reliability and accuracy of the methodology used by S in connection with his anticipated firearm and toolmark testimony: the trial court, having based its decision to deny the defendant‘s motion soley on earlier Appellate Court precedent concluding that the science of firearm and toolmark identication is well established, abused its discretion by failing to determine whether the criticisms of firearm and toolmark analysis contained in certain reports cited by the defendant in his motion cast enough doubt on whether the science in that field remained well established so as to warrant a Porter hearing; moreover, this court lacked a fair assurance that the admission of S‘s testimony did not substantially affect the verdict, and, thus, the trial court‘s deniаl of the defendant‘s motion for a Porter hearing was not harmless; accordingly, the defendant was entitled to a new trial.
(Three justices concurring separately in one opinion)
2. The Appellate Court properly upheld the trial court‘s denial of the defendant‘s motion to limit the scope of S‘s conclusions regarding the ballistics evidence to a ‘‘more likely than not’’ standard; given that the trial court was asked to limit S‘s testimony in a highly proscribed manner, and in light of the scant information and lack of case law provided in support of the defendant‘s motion, the trial court‘s denial of that motion was not an abuse of discretion.
3. The Appellate Court improperly upheld the trial court‘s admission of uncharged misconduct evidence concerning a shooting in which the defendant allegedly was involved and that occurred subsequent to the shooting that formed the basis of the murder charge in the present case, as the prejudicial impact of that evidence unduly exceeded its probative value: the subsequent shooting was a less severe crime than the murder in the present case because neither of the victims of the subsequent shooting was struck by the shots fired, and both shootings shared common characteristics, including individuals being shot at outside of their homes; moreover, evidence of the subsequent shooting was introduced through the testimony of one of the victims of that shooting and was not limited to the the fact that there was a shooting but consisted of details regarding the surrounding events that could have aroused the jurors’ emotions; furthermore, the subsequent shooting occurred eight months after the murder at issue in the present case, and no evidence suggested that the subsequent shooting was motivated by or related to
Argued February 21—officially released December 4, 2020**
Procedural History
Substitute information charging the defendant with the crime of murder, brought to the Superior Court in the judicial district of Hartford and tried to the jury before the court, Kwak, J.; verdict and judgment of guilty, from which the defendant appealed to this court, which transferred the appeal to the Appellate Court, Keller, Elgo and Eveleigh, Js., which affirmed the judgment of the trial court, and the defendant, on the granting of certification, appealed to this court. Reversed; new trial.
Andrew P. O‘Shea, with whom was Damon A. R. Kirschbaum, for the appellant (defendant).
James A. Killen, senior assistant state‘s attorney, with whom, on the brief, were Gail P. Hardy, former state‘s attorney, and Patrick J. Griffin, state‘s attorney, for the appellee (state).
Maura Barry Grinalds and Darcy McGraw filed a brief for the Connecticut Innocence Project et al. as amici curiae.
Lisa J. Steele, assigned counsel, filed a brief for the Connecticut Criminal Defense Lawyers Association as amicus curiae.
Charles D. Ray, Angela M. Healey, and M. Chris Fabricant, pro hac vice, filed a brief for the Innocence Project, Inc., as amicus curiae.
Opinion
KAHN, J. The defendant, Donald Raynor, appeals from the judgment of the Appellate Court, which affirmed the judgment of conviction, rendered after a jury trial, of the crime of murder in violation of
The record reveals the following relevant facts and procedural history. The defendаnt was a member of the Money Green Bedrock (Bedrock) street gang in
During the early morning hours of June 18, 2007, the defendant called Rivera and told him that he wanted to ‘‘test out [a] .223 [caliber] assault rifle and that [the defendant] wanted to go see if [they] could find any Avenue guys,’’ which Rivera understood to mean they were ‘‘gonna go look for some Avenue guys to kill.’’ The defendant had owned that assault rifle for approximately one month, and Rivera had been with the defendant when he purchased it. The defendant picked up Rivera and drove to the back of the defendant‘s apartment building on Bedford Street, parking next to a nonfunctioning vehicle that belonged to Rivera and was used for ‘‘stashing drugs [and] guns . . . .’’ The defendant put on latex gloves, removed the .223 caliber assault rifle from a bag stored in the trunk of the nonfunctioning vehicle, and loaded the assault rifle with ‘‘a big magazine clip.’’ The defendant and Rivera then got back into the functioning vehicle; Rivera drove, and the defendant sat in the backseat with the assault rifle.
Rivera drove the vehicle around certain areas in the north end of Hartford frequented by members of The Avenue. While Rivera was driving on Enfield Street, he told the defendant that he saw the victim standing on the sidewalk engaged in conversation with a woman. At the defendant‘s instruction, Rivera drove back around the block. As Rivera drove down Enfield Street for the second time, he rolled down the rear driver‘s side window and slowed the vehicle down to a roll. The defendant hung out of the window and started shooting the assault rifle at the victim. The victim and his female companion attempted to flee, running in different directions, but the victim fell to the ground after taking only about three steps. The defendant kept shooting after the victim fell to the ground, firing at least ten to fifteen times, and then Rivera and the defendant drove away. The victim died as a result of gunshot wounds to his chest and neck.
In 2013, the defendant was charged with murder in violation of
The defendant subsequently appealed, claiming ‘‘that the trial court (1) improperly denied [his] motion in limine to exclude or limit the scope of the testimony of the state‘s expert witness on firearm and toolmark identification, and (2) abused its discretion by granting the state‘s motion for uncharged misconduct related to a shooting that occurred approximately eight months after the events of [the present] case.’’ State v. Raynor, supra, 181 Conn. App. 762. The Appellate Court concluded that the trial court ‘‘properly relied upon Legnani, and did not abuse its discretion by denying the defendant‘s motion in limine to exclude or limit Stephenson‘s testimony.’’ Id., 771. Furthermore, the Appellate Court concluded that the trial court ‘‘did not abuse its discretion by admitting the uncharged misconduct evidence related to [a subsequent shooting].’’ Id., 778. This appeal followed. Additional facts and procedural history will be set forth as necessary.
I
EXPERT BALLISTIC TESTIMONY
We begin with the defendant‘s claims challenging the admissibility and scope of Stephenson‘s testimony relating to firearm and toolmark analysis. The following additional facts and procedural history are relevant to the resolution of these claims. In anticipation of testimony by Stephenson at trial, the defendant filed (1) a motion for a Porter hearing on the admissibility of firearm and toolmark analysis, and, in the alternative, (2) a motion in limine to limit the scope of Stephenson‘s conclusions.
The defendant argued in his motion for a Porter hearing that the NAS reports called into question the reliability and accuracy of the methodology employed by Stephenson and that there was ‘‘relatively little legal accounting’’ for those reports.4 The defendant contended that a Porter hearing would demonstrate that the methodology used by Stephenson was not scientifically valid and was, therefore, inadmissible. The state opposed the defendant‘s motion for a Porter hearing, arguing that ‘‘Connecticut state law firmly holds that the science of firearm and toolmark identification has been so well established that a trial court does not have to conduct a Porter hearing prior to admitting such evidence.’’
In the event that the motion for a Porter hearing was denied, or if one were held and resulted in the admission of Stephenson‘s testimony, defense counsel argued during oral argument on the motion that Stephenson should be restricted to stating only that casings recovered from the crime scenes were ‘‘more likely than not’’ fired from the .223 caliber Kel-Tec assault rifle. Anticipating that Stephenson would testify that ‘‘the shell casings recovеred from the shooting of [the victim] were fired from the same weapon as the shell casings recovered from the [Baltimore Street shooting] based upon his forensic toolmark analysis of those casings,’’ defense counsel cited to the NAS reports for the proposition that, ‘‘[b]ecause not enough is known about the variabilities among individual tools and guns, we are not able to specify how many points of similarity are necessary for a given level of confidence in the result. Sufficient studies have not been done to understand the reliability and repeatability of the methods.’’ (Emphasis omitted; internal quotation marks omitted.) Defense counsel noted that the authors of the NAS reports agreed that ‘‘class characteristics are helpful in narrowing the pool of [firearms] that may have left a distinctive mark [on a casing]. Individual patterns from manufacture or from wear might, in some cases, be distinctive enough to suggest one particular source, but additional studies should be performed to make the process of individualization more precise and repeatable.’’5 (Emphasis omitted; internal quotation marks omitted.)
Stephenson subsequently testified before the jury that the Connecticut State Forensic Laboratory employed the Association of Firearm and Tool Mark Examiners’ (AFTE) theory of identification, which is generally accepted in the science of firearm and toolmark identification, and he explained the tenets of that theory. He explained that ‘‘we know that, through the theory of identification, that no two tools are—have left—will leave an examiner to the point where he would make a false identification based on his examination.’’ Stephenson proceeded to testify that twelve of the fifteen casings recovered from the Enfield Street murder were ‘‘positively matched’’ to the .223 caliber Kel-Tec assault rifle and that the remaining three casings had insufficient marks found for the purpose of identification. In addition, Stephenson testified that seventeen of the twenty-two casings recovered from the Baltimore Street shooting were ‘‘positively identified as being fired from the Kel-Tec rifle’’ and that the remaining five casings did not have sufficient marks to make a comparison for identification. During an extensive cross-examination, ‘‘[d]efense counsel . . . highlighted the ways in which firearm and toolmark identification does not follow precisely the scientific method—i.e., by not protecting against confirmation bias—and that the [AFTE] theory of identification is not a completely objective theory.’’ State v. Raynor, supra, 181 Conn. App. 768. Stephenson also acknowledged that he was aware of the 2009 NAS report and conceded that some—but not all—of the criticisms of firearm and toolmark analysis were valid.
On appeal to the Appellate Court, the defendant claimed that the trial court ‘‘abused its discretion by denying his motion in limine and request for a Porter hearing. The defendant argue[d] that the [NAS reports]
The Appellate Court concluded that ‘‘Legnani is controlling precedent on the issue of whether the science of firearm and toolmark identification is well established, and thus binds our resolution of this claim.’’6 Id., 770. The Appellate Court acknowledged that Legnani predated the NAS reports but clarified that the reports ‘‘do not overrule or otherwise abrogate the existing case law in this state; nor do the [United States] District Court cases or the cases from other states that the defendant has cited in support of his claim. More importantly, the defendant did not proffer his own expert witness to testify that the science of firearm and toolmark identification is not reliable. The evidence admitted during the cross-examination of Stephenson included the flaws and criticisms of firearm and toolmark identification. The jury was free to give this evidence as much or as little weight as it saw fit.’’ Id., 771. For these reasons, the Appellate Court upheld the trial court‘s denial of the defendant‘s motion for a Porter hearing and motion in limine, holding that ‘‘[a] Porter hearing to determine the validity of firearm and toolmark identification was not required. The state had to establish only that the firearm and toolmark evidence was relevant, which it did.’’ Id.
The Appellate Court acknowledged, however, ‘‘that there has been some evolvement in the field of firearm and toolmark identification since [it] decided Legnani.’’ Id., 770 n.4. Despite its familiarity with the NAS reports, the Appellate Court highlighted that ‘‘[d]efense counsel . . . extensively cross-examined Stephenson regarding the recent criticisms of firearm and toolmark identification, during which Stephenson acknowledged the validity of at least some of those criticisms. Even if [the Appellate Court] were inclined to review the scientific validity of firearm and toolmark identification—and therefore [were] inclined to review the holding of Legnani—the circumstances of the [case did] not warrant a departure from [its] precedent. The defendant [had] not proffered his own expert to rebut the notion that firearm and toolmark evidence is sufficiently reliable as to be admitted without first requiring a Porter hearing. Therefore, [the Appellate Court] adhere[d] to [its] prec-
A
Porter Hearing
In the present case, the defendant claims that the Appellate Court improperly upheld the trial сourt‘s denial of his motion for a Porter hearing because both the trial court and the Appellate Court interpreted Legnani too broadly when each determined that it was bound by that precedent, notwithstanding the fact that the defendant had highlighted new evidence and case law that questioned the reliability of the methodology used in firearm and tookmark analysis. The defendant claims that such a broad interpretation of Legnani ‘‘would result in trial courts admitting false testimony merely on the basis that the methodologies supporting that testimony, which we now know to be unreliable and unvalidated, were admissible at some point in the past.’’ In response, the state claims that ‘‘[t]he trial court properly concluded that Legnani remained good law, even after the [NAS reports], because courts in Connecticut and throughout the nation, including those which have conducted [Porter] hearings, have overwhelmingly reaffirmed that expert testimony regarding firearm and toolmark identification is admissible, notwithstanding the concerns expressed in that report.’’ We agree with the defendant that the trial court‘s exclusive reliance on Legnani in assessing the request for a Porter hearing was erroneous.
‘‘It is axiomatic that [t]he trial court‘s ruling on the admissibility of evidence is entitled to great deference. In this regard, the trial court is vested with wide discretion in determining the admissibility of evidence. . . . Accordingly, [t]he trial court‘s ruling on evidentiary matters will be overturned only upon a showing of a clear abuse of the court‘s discretion. . . . Because a trial court‘s ruling under Porter involves the admissibility of evidence, we review that ruling on appeal for an abuse of discretion.’’ (Citation omitted; internal quotation marks omitted.) State v. Sorabella, 277 Conn. 155, 214, 891 A.2d 897, cert. denied, 549 U.S. 821, 127 S. Ct. 131, 166 L. Ed. 2d 36 (2006). Implicit in that well established principle, however, is the requirement that the trial cоurt exercise its discretion. ‘‘Where . . . the trial court is properly called upon to exercise its discretion, its failure to do so is error.’’ (Internal quotation marks omitted.) Higgins v. Karp, 243 Conn. 495, 504, 706 A.2d 1 (1998). Therefore, ‘‘we must determine whether the trial court abused its discretion in determining that a Porter hearing was not required and, if so, we must also determine whether this ruling was nevertheless harmless.’’ State v. Martinez, 143 Conn. App. 541, 557, 69 A.3d 975 (2013), rev‘d on other grounds, 319 Conn. 712, 127 A.3d 164 (2015). ‘‘In order
In the present case, it is apparent from the record that the trial court failed to exercise its discretion when it denied the defendant‘s motion for a Porter hearing. The trial court did not consider the NAS reports that the defendant cited in his motion; it noted that it had reviewed the reports but that it was bound by Legnani to find that the science of firearm and toolmark identification is well established. Similarly, the Appellate Court stated that ‘‘Legnani is controlling precedent on the issue of whether the science of firearm and toolmark identification is well established, and thus binds [its] resolution of [the defendant‘s] claim.’’ State v. Raynor, supra, 181 Conn. App. 770. We conclude that the trial court failed to exercise—and, therefore, abused—its discretion to determine whether the criticisms of firearm and toolmark analysis contained in the NAS reports and highlighted by the defendant cast substantial enough doubt on whether the science of that field remains well established to warrant a Porter hearing.7
A mere cursory look at the ramifications of a trial court‘s being absolutely bound by Legnani illustrates why such an approach would be impractical. Trial court judges serve a gatekeeping function with respect to the admissibility of expert testimony, and, in performing that function, they assess the validity of the methodologies underlying proffered scientific evidence. See State v. Porter, 241 Conn. 57, 80–90, 698 A.2d 739 (1997), cert. denied, 523 U.S. 1058, 118 S. Ct. 1384, 140 L. Ed. 2d 645 (1998); see also Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 589–90, 113 S. Ct. 2786, 125 L. Ed. 2d 469 (1993). Over two decades ago, this court held that ‘‘an admissibility test for scientific evidence premised solely on its ‘general acceptance’ is conceptually flawed,’’ thereby rejecting the then applicable Frye8 standard and adopting the Daubert approach to the admissibility of scientific evidence.9 (Emphasis in original.) State v. Porter, supra, 75–76. This court noted, however, that ‘‘some scientific principles have become so well established than an explicit Daubert analysis is not necessary for admission of evidence thereunder. By this, we do not mean to reestablish the Frye general acceptance test. We do acknowledge, however . . . that a very few scientific principles are so firmly established as to have attained the status of scientific law, such as the laws of thermodynamics, [and that such principles] properly are subject to judicial notice . . . . Evidence derived from such principles would clearly withstand a Daubert analysis, and thus may be admitted simply on a showing of relevance.’’ (Citation omitted; internal quotation marks omitted.) Id., 85 n.30.
Having concluded that it was an abuse of discretion for the trial court to deny the defendant‘s motion for a Porter hearing without considering the proffered evidence challenging the methodology supporting toolmark and firearm analysis, we must now determine whether that error was harmful. ‘‘When an improper evidentiary ruling is not constitutional in nature, the defendant bears the burden of demonstrating that the error was harmful. . . . [W]hether [an improper ruling] is harmless in a particular case depends upon a number of factors, such as the importance of the witness’ testimony in the prosecution‘s case, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the testimony of the witness on material points, the extent of cross-examination otherwise permitted, and, of course, the overall strength of thе prosecution‘s case. . . . Most importantly, we must examine the impact of the . . . evidence on the trier of fact and the result of the trial. . . . [T]he proper standard for determining whether an erroneous evidentiary ruling is harmless should be whether the jury‘s verdict was substantially swayed by the error. . . . Accordingly, a nonconstitutional error is harmless when an appellate court has a fair assurance that the error did not substantially affect the verdict.’’ (Internal quotation marks omitted.) State v. Edwards, 325 Conn. 97, 133, 156 A.3d 506 (2017).
The exclusion of Stephenson‘s expert testimony would have made the state‘s overall case against the defendant much weaker because Stephenson corroborated the testimony of Rivera, the only witness to identify the defendant as the shooter. Without Steрhenson‘s expert testimony, the state would have relied primarily on Rivera‘s testimony related to the Enfield Street murder.11 Rivera was also the sole witness to testify that the defendant and the victim had a confrontation in the week leading up to the murder, to identify the defendant as the shooter on Enfield Street, to confirm that the .223 caliber Kel-Tec assault rifle was the same one used by the defendant, and to acknowledge that the defendant knew the police had subsequently recovered the murder weapon. Rivera, however, had both a motive to testify falsely and credibility issues. See State v. Jackson, supra, 334 Conn. 819–20. Rivera testified that he was involved with the victim‘s murder on Enfield Street in June, 2007, but he did not provide information to the police about that murder until August, 2011, more than four years later. In addition, when Rivera finally did speak to the police about the Enfield Street murder, it was only after he had been arrested in connection with an incident that occurred on July 1, 2011. Rivera confessed his role in the July 1, 2011 incident and provided a written statement to the police. He also provided additional statements related to several other incidents in Hartford, one of which was the Enfield Street murder. At trial, Rivera testified that he had been sentenced as a result of the July 1, 2011 incident and was serving a total effective sentence of forty-two years of incarceration for convictions of murder, conspiracy to commit murder, and a weapons charge. In addition, the jury heard Rivera testify that he was arrested pursuant to a warrant on November 5, 2013, for his involvement in the Enfield Street murder and had pending charges of accessory to commit murder, conspiracy to commit murder, and criminal possession of а firearm. Rivera
In order to testify at the defendant‘s trial, Rivera entered into a written cooperation agreement with the state, in which he agreed to disclose truthfully any and all matters related to his criminal activity, and the criminal activity of others with whom he was involved. In exchange, the state agreed that, if Rivera did so when called upon, it would agree to consent to a hearing for sentence modification before a judge of the Superior Court. In addition, the state agreed that it would recommend that any sentences Rivera received for his pending charges run concurrently to the sentence of forty-two years that he was serving.
Nor did the extensive cross-examination of the ballistics expert render the admission of his testimony harmless. Defense counsel rigorously cross-examined Stephenson on the methodology, critiques, and partial subjectivity of firearm and toolmark analysis, including questions about his knowledge of, and the conclusions from, the NAS reports. In this manner, the jury heard testimony that cast at least some doubt on the reliability of the methodology. Stephenson, however, consistently explained that while the NAS reports contained suggestions for improving the methodology—some of which he acknowledged were sound—the criticisms did not undermine its scientific validity. Throughout his cross-examination, Stephenson maintained that his conclusions were accurate. See, e.g., State v. Edwards, supra, 325 Conn. 134–35 (rigorous cross-examination of expert by defense counsel led to admission that expert could not guarantee accurаcy of maps or determine exact location of defendant‘s cell phone, contributing to determination that trial court‘s improper admission of certain testimony regarding cell phone data constituted harmless error). In addition, juries ‘‘tend to give great credence and weight to what . . . experts say,’’ and the defendant sought to have this expert testimony excluded, thereby preventing the jury from hearing Stephenson testify at all. ‘‘Symposium on Forensic Expert Testimony, Daubert, and Rule 702,’’ 86 Fordham L. Rev. 1463, 1508 (2018); see also D. McQuiston-Surrett & M. Saks, ‘‘Communicating Opinion Evidence in the Forensic Identification Sciences: Accuracy and Impact,’’ 59 Hastings L.J. 1159, 1189 (2007) (‘‘unfortunately, cross-examination and the use of opposing experts do not appear to effectively counter expert testimony, regardless of the logical vulnerability of the initial expert testimony’’). We therefore cannot conclude that the rigorous cross-examination mounted by defense counsel so undercut Stephenson‘s testimony that its admission was necessarily harmless.
The state‘s sole claim that any error by the trial court is harmless is restricted to an argument regarding moot-
This court‘s conclusion that a trial court must exercise its discretion to at least consider evidence presented by the defendant when deciding whether to grant a motion for a Porter hearing does not mean that a defendant‘s challenge, no matter how slight, to an established methodology warrants a full Porter hearing. We provide the following examples to illustrate the gatekeeping function of the trial courts in light of this decision. When a trial court considers a defendant‘s motion fоr a Porter hearing, it may decide that the methodology prior to that point either (1) has been deemed so well established so as to not warrant a Porter hearing, as was the case with firearm and toolmark analysis at the time of the defendant‘s trial, or (2) has been subject to a Porter hearing by another trial court. Under both of these scenarios, the trial judge has several options depending on the strength of the evidence presented
Under the first scenario, the trial court begins from the premise that the methodology is well established and that, as a result, a Porter hearing is not necessary. It must then consider the evidence presented by the defendant to determine whether that well established methodology has been sufficiently challenged to warrant a Porter hearing. The trial court has the discretion to deny the motion, concluding that the defendant has not presented sufficient evidence in his motion to demonstrate that the methodology may no longer be well established, or to grant the motion, concluding that the defendant has presented evidence sufficiently casting doubt on the continued reliability of the methodology and, therefore, that a full Porter hearing is necessary.15 Although, under this scenario, the defendant bears the heavy burden of challenging a potentially lengthy scientific and legal history of the reliability of the methodology without a Porter hearing, that burden is not insurmountable. This was recently evidenced when, despite the Appellate Court‘s decision in Legnani, a Superior Court granted a Porter hearing on firearm and toolmark analysis. State v. Terrell, supra, 68 Conn. L. Rptr. 324; see footnote 13 of this opinion.
Under the second scenario, once any trial court has held a Porter hearing on a particular methodology, then judges have slightly different options when considering motions for subsequent Porter hearings. If a party highlights the same evidence challenging a methodology as was evaluated in a previous Porter hearing, the trial court may—but is not required to—take judicial notice of the previous hearing and consider the prior court‘s analysis of the methodology and conclusion as to its reliability when exercising its discretion to grant or deny the defendant‘s motion for a subsequent Porter hearing.16 If a party highlights new evidence regarding the reliability of the methodology that was not evaluated in the previous Porter hearing, the trial court may—but, again, is not required to—take judicial notice of the previous hearing and consider the prior court‘s analysis of the methodology and conclusion in conjunction with the additional evidence presented in determining whether to grant or deny a subsequent motion for a Porter hearing.17
For the foregoing reasons, we conclude that the trial court improperly denied the defendant‘s motion for a Porter hearing based solely on Legnani, without considering new evidence offered by the defendant, and we do not have a fair assurance that this error was not harmless. As a result, the defendant is entitled to a new trial.
B
Scope of Testimony
We address the defendant‘s second claim because
We begin with the applicablе standard of review. ‘‘[A] trial court retains broad discretion in ruling on the qualifications of expert witnesses and [in] determining whether their opinions are relevant.’’ State v. Guilbert, 306 Conn. 218, 257, 49 A.3d 705 (2012). ‘‘[S]uch testimony is admissible if the trial court determines that the expert is qualified and that the proffered testimony is relevant and would aid the jury.’’ State v. Williams, 317 Conn. 691, 702, 119 A.3d 1194 (2015). When a party seeks to exclude or limit the scope of an expert‘s testimony, the burden is on the party who files the motion in limine to show that the challenged remarks were
In the present case, defense counsel requested that the trial court restrict Stephenson to using very specific language that connoted a narrow scientific conclusion but did not provide the court with sufficient information to inform its decision. With respect to limiting the scope of Stephenson‘s testimony, the defendant‘s motion in limine simply requested that ‘‘a limiting order and instruction, similar to that in Glynn, be granted’’ without providing additional details as to what that instruction would entail, why it would be appropriate for the trial court to adopt that standard, or how failing to limit the scope of Stephenson‘s testimony would prejudice the defendant. During pretrial argument on the motion, defense counsel urged the trial court to adopt the approach used in Glynn and to conclude that, due to the shortcomings of firearm and toolmark anаlysis described in the NAS reports, it should limit Stephenson to testifying only that it was ‘‘more likely than not’’ that the bullets were fired from the same gun. In addition, in both the motion in limine and oral arguments on the motion, the defense relied on a single United States District Court decision from the Southern District of New York to support its argument. Given the highly proscribed language requested, combined with the scant information and lack of case law provided in support of the defendant‘s motion, we conclude that the trial court‘s denial of the motion was not an abuse of discretion. See, e.g., State v. Binet, supra, 192 Conn. 624 (‘‘[t]he record before the court . . . could hardly provide it with a solid basis upon which to grant the defendant‘s motion’’).
We pause briefly to qualify our holding. Our conclusion that the trial court in the present case properly declined to limit the scope of Stephenson‘s testimony to only ‘‘more likely than not’’ should not be taken as blanket approval of unlimited testimony from firearm and toolmark experts. As both the defendant and the state acknowledge, a substantial number of courts addressing this issue, including the United States Court of Appeals for the Second Circuit, have prohibited experts from testifying that a bullet or casing matched a specific firearm with absolute certainty or to the exclusion of all other firearms. See, e.g., United States v. Gil, 680 Fed. Appx. 11, 13–14 (2d Cir. 2017); United States v. Diaz, Docket No. CR-05-00167 (WHA), 2007 WL 485967, *1 (N.D. Cal. February 12, 2007). These
For the foregoing reasons, we conclude that the trial court properly denied the defendant‘s motion in limine to limit the scope of Stephenson‘s testimony to a ‘‘more likely than not’’ standard.
II
UNCHARGED MISCONDUCT
Although our conclusion in part I A of this opinion is dispоsitive of the present appeal, in the interest of judicial economy, we address the defendant‘s claim that the trial court improperly admitted uncharged misconduct because we conclude the issue is likely to arise on remand. The following additional facts and procedural history are relevant to the resolution of this claim. Prior to the start of trial, the state filed a motion in which it sought permission to offer evidence of uncharged
At trial, the state proceeded to introduce evidence of the Baltimore Street shooting, primarily through the testimony of Deborah Parker, the victim of that crime. Parker testified that, at approximately 2:30 a.m. on February 16, 2008, she and her partner, Darryl Spence, returned to their residence on Baltimore Street in Hartford, where they lived with two of their sоns. As Parker and Spence got out of their vehicle, which belonged to Parker‘s oldest son, who did not live at the residence on Baltimore Street, Parker noticed two men walking on the street. As the men approached, Parker saw the taller of the two men fire a handgun in her direction. Then, the shorter of the two men fired a rifle in her direction, but she could not identify the specific weapon used. Parker saw the faces of both shooters illuminated by a streetlight as she took cover underneath a vehicle, and Spence ran away to hide elsewhere. Even though at least twenty-nine shots had been fired, neither Parker nor Spence was injured.
The police responded to the Baltimore Street shooting, but Parker declined to provide a written statement about the incident, and, at that time, she did not know the identity of the shooters and was not confident that she would be able to identify them in the future. Later that morning, Parker walked through her kitchen as her sons were looking at photographs on the computer from a concert they attended the night before and discussing a fight they got into at that concert. Parker recognized the shooters in the photographs, and her sons provided the first name or nickname for each of the men she identified, including the defendant. Parker called the police and told them where they could find the photographs, but indicated that she did not know the shooters’ full names and declined to file a written statement. The police never got back to Parker, and she did not follow up thereafter. In April, 2011, over three years after the Baltimore Street shooting, Parker‘s oldest son was murdered in an unrelated incident. Then, on August 24, 2011, Parker was approached by the police to discuss the Baltimore Street shooting. At that
In addition, Stephenson testified regarding the casings that were recovered from the Baltimore Street shooting. Of the twenty-two .223 caliber casings recovered from the crime scene, Stephenson positively identified seventeen as having been fired from the recovered Kel-Tec assault rifle, the same weapon that Stephenson testified matched the casings from the Enfield Street murder and that Rivera identified as having been used by the defendant in that crime. See part I of this opinion. Stephenson‘s testimony, combined with Parker‘s, established that eight months following the Enfield Street murder, the defendant was identified as having been involved in the Baltimore Street shooting using a weapon that was matched through ballistics evidence to the weapon used in the Enfield Street murder, which was subsequently recovered five months later through an unrelated investigation.
On appeal to the Appellate Court, the defendant argued that the probative value of the uncharged misconduct evidence was outweighed by the risk of unfair prejudice. State v. Raynor, supra, 181 Conn. App. 772. Specifically, the defendant argued that ‘‘the evidence [was] more prejudicial than probative because Parker‘s identification of the defendant was exceedingly unreliable, that the similarities between the charged and uncharged cоnduct [rendered the] admission of the uncharged misconduct overly prejudicial, and that the uncharged misconduct painted the defendant as a deranged gunman.’’ (Internal quotation marks omitted.) Id., 774. The state argued that the trial court properly admitted the evidence to establish identity and means. Id., 772. The Appellate Court reasoned that, ‘‘[a]lthough the facts of the uncharged misconduct involved the defendant attempting to shoot Parker and Spence, [it was] much less severe than [that] of the charged conduct, and, therefore, admission of the uncharged misconduct evidence cannot be said to have unduly aroused the jurors’ emotions.’’19 Id., 778. ‘‘Additionally, the [trial] court . . . gave the jury limiting instructions on three occasions . . . . These . . . instructions provided, inter alia, that the uncharged misconduct evidence was being admitted solely to show or establish [the] identity of the person who committed the crimes alleged . . . and the availability of the means to commit those crimes.’’ (Internal quotation marks omitted.) Id., 777. Accordingly, the Appellate Court concluded that the trial court had not abused its discretion in determining that the probative value of the uncharged misconduct was not outweighed by the risk of unfair prejudice. Id., 777–78. This appeal followed.
‘‘[A]s a general rule, evidence of prior misconduct is inadmissible to prove that a criminal defendant is guilty of the crime of which the defendant is accused. . . . Such evidence cannot be used to suggest that the defendant has a bad character or a propensity for criminal behavior.’’ (Internal quotation marks omitted.) State v. Collins, 299 Conn. 567, 582, 10 A.3d 1005, cert. denied, 565 U.S. 908, 132 S. Ct. 314, 181 L. Ed. 2d 193 (2011). ‘‘The well established exceptions to the general prohibition against the admission of uncharged misconduct are set forth in § 4-5 [c] of the Connecticut Code of Evidence, which provides in relevant part that ‘[e]vidence of other crimes, wrongs or acts of a person is admissible . . . to prove intent, identity, malice, motive, common plan or scheme, absence of mistake or accident, knowledge, a system of criminal activity, or an element of the crime, or to corroborate crucial prosecution testimony.’ ’’ Id., 583. ‘‘We have developed a two part test to determine the admissibility of such evidence. First, the evidence must be relevant and material to at least one of the circumstances encompassed by the exceptions [set forth in § 4-5 (c) of the Connecticut Code of Evidence].21 . . . Second, the probative value of the evidence must outweigh its prejudicial effect. . . . Because of the difficulties inherent in this balancing process, the trial court‘s decision will be reversed only whe[n] abuse of discretion is manifest or whe[n] an injustice appears to have been done. . . . On review by this court, therefore, every reasonable presumption should be given in favor of the trial court‘s ruling.’’ (Footnote added; internal quotation marks omitted.) Id., 582.
‘‘In determining whether the prejudicial effect of otherwise relevant evidence outweighs its probative value, we consider whether: (1) . . . the facts offered may
This court has repeatedly held that ‘‘[t]he prejudicial impact of uncharged misconduct evidence is assessed in light of its relative ‘viciousness’ in comparison with the charged conduct.’’ State v. Campbell, 328 Conn. 444, 522–23, 180 A.3d 882 (2018); see also State v. Collins, supra, 299 Conn. 588 (‘‘[u]ncharged misconduct evidence has been held not unduly prejudicial when the evidentiary substantiation of the vicious conduct, with which the defendant was charged, far outweighed, in severity, the character of his prior misconduct’’ (internal quotation marks omitted)). The rationale behind this proposition is that the jurors’ emotions are already aroused by the more severe crime of murder, for which the defendant is charged, and, thus, a less severe, uncharged crime is unlikely to arouse their emotions beyond that point. The question of whether the evidence is unduly prejudicial, however, does not turn solely on the relative severity of the uncharged misconduct. Instead, prejudice is assessed on a continuum—on which severity is a factor—but whether that prejudice is undue can only be determined when it is weighed against the probative value of the evidence.
In the present case, the Baltimore Street shooting was a less severe crime than the Enfield Street murder solely due to the fact that neither Parker nor Spence was hit by one of the dozens of shots fired. The Baltimore Street shooting and the Enfield Street murder, however, shared other common characteristics, including individuals being shot at by assailants outside of their own homes. Each incident involved two people, one male and one female, who were currently in, or had recently been in, a romantic relationship, as opposed to groups of friends or associates. These shootings each occurred in the middle of the night, involved dozens of shots being fired, and ended with the assailants fleeing the scene. While these two incidents were not identical, the similarities cannot be dismissed as irrelevant, and, together, they increase the risk of undue prejudice. See, e.g., State v. Artieri, 206 Conn. 81, 87, 536 A.2d 567 (1988) (‘‘[w]here the prior crime is quite similar to the offense being tried, a high degree of prejudice is created and a strong showing of probative value would be neсessary to warrant admissibility’’ (internal quotation marks omitted)).
In addition, evidence of the Baltimore Street shooting was introduced through the testimony of Parker, the
The probative value of the Baltimore Street shooting was too low to overcome its prejudicial impact. The Baltimore Street shooting occurred eight months after the Enfield Street murder. There was no evidence to suggest that the Baltimore Street shooting was motivated by or related to the earlier Enfield Street murder. They were separate shootings and, with the exception of the defendant, involved differеnt participants and unrelated victims. Parker‘s testimony relating to the Baltimore Street shooting was admitted to prove that the defendant had been involved in this separate, subsequent gun related crime, where the shell casings matched the .223 caliber Kel-Tec assault rifle. Evidence that the defendant was involved in a shooting in which he allegedly used the same weapon only minimally increased the probability that he was the shooter who used that weapon eight months prior during the Enfield Street murder. This connection is further eroded by the fact that the .223 caliber Kel-Tec assault rifle was not recovered at the scene of the Baltimore Street shooting but, instead, five months later from a different location following a lead provided by a confidential informant. Cf. State v. Collins, supra, 299 Conn. 570–76.24 The state did not need to introduce evidence of the Baltimore Street shooting to connect the defendant to the .223 caliber Kel-Tec assault rifle used in the Enfield Street murder that the police subsequently recovered from a different location. The state presented direct evidence from Rivera connecting the defendant to that gun and the Enfield Street murder.25 Having reviewed the record in the present case, we conclude that the prejudicial effect of the uncharged misconduct unduly exceeded its probative value.
The judgment of the Appellate Court is reversed and
In this opinion the other justices concurred.
Notes
‘‘Additionally, we recognized in Porter that . . . [t]he actual operation of each [Porter] factor, as is the determination of which factors should be considered at all, depends greatly on the specific context of each case in which each particular [threshold admissibility] analysis is conducted. . . . There is, however, a critical postulate that underlies the Porter factors and indeed underlies the entire Porter analysis: in order for the trial court, in the performance of its role as the gatekeeper for scientific evidence, properly to assess the threshold admissibility of scientific evidence, the proponent of the evidence must provide a sufficient articulation of the methodology underlying the scientific evidence. Without such an articulation, the trial court is entirely ill-equipped to determine if the scientific evidence is reliable upon consideration of the various Porter factors. Furthermore, without a clear understanding as to the methodology and its workings, the trial court also cannot properly undertake its analysis under the fit requirement of Porter, ensuring that the proffered scientific evidence, in fact, is based upon the reliable methоdology articulated.’’ (Internal quotation marks omitted.) State v. Edwards, 325 Conn. 97, 124–25, 156 A.3d 506 (2017).
As part of the Porter hearing, the court in Terrell considered the NAS reports as well as a report issued by the President‘s Council of Advisors on Science and Technology, titled ‘‘Forensic Science in Criminal Courts: Ensuring Scientific Validity of Feature Comparison Methods . . . .’’ (Internal quotation marks omitted.) Id., 325–26. The court also denied the defendant‘s motion to preclude the testimony of the expert in its entirety but prohibited the expert from testifying that ‘‘the likelihood that a firearm other than the [one] recovered at the crime scene could have fired the recovered [subject] casing is so remote as to be considered a practical impossibility.’’ (Internal quotation marks omitted.) Id., 327; see id., 328.