Gaskin v. Commissioner of Correction
Gaskin v. Commissioner of Correction
Opinion
It has been usual for trial judges, when instructing jurors on how to weigh the credibility of witnesses, to tell them to consider whether the witness has an interest of whatever sort in the outcome of the trial that might influence or color the witness' testimony. In the petitioner's criminal trial, however, the jury never received important evidence of a cooperating witness' interest in the outcome. This appeal requires us to examine a situation where a necessary cooperating witness, the only one who put the defendant at the crime scene with the likely murder weapon in his hand, falsely denied before the jury any promise from the state in exchange for his testimony and such falsity was not disclosed to the jury, but the prosecutor argued in summation to the jury that the witness had "everything to lose, nothing to gain," by giving statements to the police and testifying. We hold this scenario to be antithetical to due process under the fourteenth amendment to the United States constitution.
The petitioner, Christopher Gaskin, filed this appeal following the denial of his petition for certification to appeal from the judgment of the habeas court denying his petition for a writ of habeas corpus. On appeal, the petitioner claims that the court: (1) abused its discretion in denying his petition for certification to appeal; (2) erred in finding that the petitioner's due process claim 1 was procedurally defaulted; and (3) in addressing the merits, erred in finding that the state did not deprive the petitioner of his due process rights when it did not correct a witness' known false testimony at the underlying criminal trial. We agree with all of the petitioner's claims as they pertain to his underlying convictions of murder and conspiracy to commit murder under General Statutes §§ 53a-54 and 53a-48, respectively. Accordingly, we reverse in part the judgment of the habeas court and remand the case to the habeas court with instruction to render judgment granting the petition for a writ of habeas corpus, vacating the petitioner's underlying convictions of murder and conspiracy to commit murder, and ordering a new trial on those charges. We affirm the judgment as to the petitioner's underlying conviction of tampering with a witness under General Statutes § 53a-151.
The record reveals the following facts and procedural history. The underlying criminal proceedings stem from the shooting death of Kendall Williams-Bey in Hartford on July 6, 1998. The petitioner eventually was charged with Williams-Bey's murder and with tampering with a witness. 2
At trial, only two witnesses implicated the petitioner in Williams-Bey's murder: Benjamin Ellis and Evelyn Douglas. 3 Ellis, a cooperating witness, testified that he drove the petitioner and another man, later identified as Trevor Bennett, 4 past the crime scene and then parked nearby. While Ellis waited in the car, the petitioner and Bennett got out of the vehicle carrying guns, the petitioner carrying a revolver and Bennett carrying an "automatic." Shortly thereafter, Ellis testified that he heard gunshots and then the petitioner and Bennett returned. Ellis then drove his passengers away from the area and dropped them off at various points in Hartford. James Stephenson, the state's firearms identification and testing expert, testified that the bullet that killed Williams-Bey was fired from a revolver.
Douglas, the petitioner's girlfriend with whom he lived at the time, testified that the petitioner admitted to her that he shot Williams-Bey. She testified that, prior to the shooting, the petitioner arrived home with a busted lip and told Douglas he had gotten into a fight with London Johnson at a nightclub in Springfield, Massachusetts. She stated that the petitioner said he was going to "get" Johnson. She said that when the petitioner came back to her apartment later, he said, "I just f- - - -d up.... I didn't mean to shoot Kendall." She testified that he meant to shoot Johnson, who was near the crime scene when Williams-Bey was shot. Douglas' testimony did not tie the petitioner to the murder scene or possession of a revolver of the kind that killed the victim. Only Ellis' testimony established that.
Many times prior to Ellis' trial testimony, the petitioner's trial counsel asked for any information on agreements or promises the state may have made with any witnesses, particularly Ellis. Because Ellis also was being charged with Williams-Bey's murder, the petitioner's trial counsel wanted to know if the state had promised anything to him in exchange for his testimony. The prosecutor denied that any deal had been made. Just prior to trial, the following colloquy between the trial court and the prosecutor took place:
"The Court: ... Now, was anything offered to [Ellis]?
"[The Prosecutor]: No, Your Honor. It's standard routine, no offers are made. When I have a case, they are told that I will not make any agreement with them. They have to testify, and if they expect something that's within their-it's not-not something-I-I do not or neither does my inspector, anybody involved with me, make any offers.
"The Court: Right. Well, in the old days what used to be done was, the phrase, as I recall it, was, make your truthful cooperation-truthful and full cooperation known to the sentencing judge."
[The Prosecutor]: Yes.
"The Court: Was that done in this case?
"[The Prosecutor]: Yes. The sentencing judge would be told that he gave a statement, but the thing he was told is he has to tell the truth, and it's not within my province, it's within the sentencing judge's province, which is the standard procedure ...."
During the trial, the prosecutor asked Ellis whether he was made any promises in exchange for his testimony, which Ellis denied. The prosecutor asked Ellis why he gave his statements to the police, to which Ellis replied that he "felt bad about the incident." Ellis also stated that he was happy he was "doing the right thing." On cross-examination, the petitioner's trial counsel engaged in the following questioning of Ellis:
"Q. ... Have you met with [the prosecutor] at any time in this case?
"A. With [the prosecutor] and my lawyer.
"Q. Okay.... The answer to that, I take it, is yes?
"A. Yes.
"Q. Okay. And was it your understanding as a result of the meeting that the state wanted you to testify truthfully?
"A. Yes.
"Q. Okay. And was it your understanding that if you testified truthfully, the state would take that into consideration in deciding what would happen in the case in which you're charged?
"A. No. I wasn't made any promises.
"Q. I didn't ask you, sir ... if you were made any promises. What I asked you was-was it your understanding that if you testified truthfully, the state would take that into consideration in deciding the outcome of your case?
"A. I'm not sure.
"Q. You're not sure?
"A. No.
"Q. Was it discussed?
"A. No."
Later, the petitioner's trial counsel questioned Ellis as follows:
"Q. Is it your understanding that after you testify, by truthful testimony, that the state will bring your cooperation and truthfulness to the attention of the court?
"A. I was never told that.
"Q. And you don't have that expectation?
"A. No.
"Q. And you are aware, because of your experience in the system, that the state can change any of the charges it wants against you ...? Do you want me to rephrase that?
"A. No. I understand.
"Q. You are aware of that?
"A. I wasn't sure of that, but now I know."
During closing argument, after Ellis had given testimony inculpating the petitioner in the killing, the prosecutor stated that Ellis "wanted to get [his testimony] off his chest. He knew and knows that his statements put him in the mix." On rebuttal, the prosecutor then argued that Ellis "had everything to lose, nothing to gain, by giving these statements" and that Ellis "has been charged with this crime, too. And his position is he's only the driver, he had nothing to gain by giving both statements. He clearly said he wasn't made any promises. Does he expect something? That's in his mind. I don't know. But the reality is: he is in the mix."
The record reveals that the prosecutor never corrected Ellis' testimony before the jury in which Ellis told the jury that he had never been told that, after he testified truthfully, the state would bring his cooperation and truthfulness to the attention of the sentencing court.
On July 7, 2003, the jury found the petitioner guilty of all the charges. He was sentenced to a total effective sentence of sixty years imprisonment. On December 30, 2003, the petitioner filed a direct appeal. His appointed counsel later moved to withdraw as appellate counsel, filing an Anders 5 brief on December 29, 2004, in which she stated that there were no nonfrivolous issues for appeal, and was permitted to withdraw by a judge of the Superior Court on September 11, 2006. The petitioner then represented himself pro se until withdrawing his direct appeal seven years later on April 10, 2013.
After testifying at the petitioner's and Bennett's criminal trials, Ellis, on November 4, 2004, pleaded guilty to violating General Statutes § 53a-59 (a) (3), accessory to assault in the first degree. 6 The prosecutor, the same as in the petitioner's case, recommended a sentence of twenty years, suspended after five years, with five years probation, to run concurrently with a sentence Ellis then was serving for the commission of an unrelated crime. As promised, the prosecutor made the sentencing judge aware of Ellis' involvement in the petitioner's criminal trial. On September 7, 2005, Ellis' sentence was reduced to twenty years, execution suspended after three years, with five years probation. Ellis' prior sentence, which he was serving at the time of the petitioner's criminal trial, also later was reduced in 2005 by three years on the prosecutor's recommendation for "[s]ubstantial aid and cooperation in several serious felony cases." That sentence could only be modified by reduction pursuant to General Statutes § 53a-39 (b), 7 which requires the assent of the prosecuting authority prior to its reduction.
On September 10, 2012, the petitioner filed a pro se petition for a writ of habeas corpus. Then, after counsel was appointed, the petitioner filed his operative petition on December 9, 2014. The petitioner alleged that the prosecutor violated his constitutional rights in failing to correct Ellis' false testimony and in failing to disclose exculpatory materials. Specifically, the petitioner alleged that Ellis lied at the petitioner's criminal trial when he testified that he did not receive or expect to receive any consideration for his testimony against the petitioner. The respondent, the Commissioner of Correction, filed his amended return on February 11, 2015, denying the allegations and claiming that the petitioner procedurally defaulted on his claim because he did not directly appeal his underlying criminal conviction on the grounds raised in his petition and that he established neither cause nor prejudice for his procedural default. In his reply, filed February 26, 2015, the petitioner denied procedurally defaulting his claim, but also stated that, if he did procedurally default his claim, there was cause and prejudice for doing so. Specifically, the petitioner stated that cause existed because "at the time his appeal was pending, there was no additional evidence available to the petitioner or his appellate attorney which could have shown that Benjamin Ellis received consideration for his testimony. It was not until later that evidence became available to prove this claim." The petitioner stated that he also was "prejudiced because the jury hearing his criminal trial did not know of Benjamin Ellis' self-serving motivations for testifying against the petitioner, and the [prosecutor] allowed him to testify in an untruthful manner without correcting his testimony."
The matter proceeded to a habeas trial, which included the testimony of Ellis; John L. Stawicki, Ellis' attorney at the time of his testimony and in his subsequent pleas; and Victor Carlucci, Jr., the prosecutor in the petitioner's criminal trial and Ellis' later pleas. Ellis testified that he was made no promises for a reduction in his charges or anything else in exchange for his testimony, although he said that he hoped his testimony would help him. Stawicki and the prosecutor both testified that the prosecutor made no specific promises, other than to convey Ellis' cooperation to his sentencing judge.
In its memorandum of decision dated June 23, 2016, the habeas court denied the petition on the ground that the petitioner procedurally defaulted his claim and failed to establish cause and prejudice for his default. Nonetheless, the court also addressed the merits of the petitioner's claim, finding that, although Ellis testified falsely, the prosecutor had disclosed his promise to Ellis to the petitioner's trial counsel, which obviated any need to correct the false testimony. The petitioner requested certification to appeal, which was denied by the habeas court on July 6, 2016. This appeal followed.
On appeal, the petitioner claims that the court abused its discretion in denying his petition for certification to appeal; erred in finding that the petitioner's due process claim was procedurally defaulted; and in addressing the merits, erred in finding that the state did not deprive the petitioner of his due process rights when it did not correct a witness' false testimony at the petitioner's criminal trial and then subsequently relied on that testimony in closing arguments.
"Before we turn to the petitioner's claims we set forth our standard of review for habeas corpus appeals. The underlying historical facts found by the habeas court may not be disturbed unless the findings were clearly erroneous.... Historical facts constitute a recital of external events and the credibility of their narrators.... Questions of law and mixed questions of law and fact receive plenary review." (Internal quotation marks omitted.)
Crawford
v.
Commissioner of Correction
,
I
The petitioner first claims that the habeas court abused its discretion in denying his petition for certification to appeal from the denial of his habeas petition. Specifically, he argues that both the issue of procedural default and the issue of whether his due process rights were violated are debatable among jurists of reason, could be resolved in a different manner and are adequate to deserve encouragement to proceed further. We agree.
"Faced with the habeas court's denial of certification to appeal, a petitioner's first burden is to demonstrate that the habeas court's ruling constituted an abuse of discretion.
Simms
v.
Warden
,
Turning to the petitioner's substantive claims, we have been unable to find any case in which this court or our Supreme Court has addressed whether a petitioner procedurally defaults a claim when appellate counsel withdraws, with permission of the court, after filing an
Anders
brief, having reviewed only the record, and does not investigate new information outside the record that could develop further a due process claim, or what constitutes cause and prejudice should such a default exist. Because these questions have not yet been addressed by the appellate courts of this state, we conclude that the petitioner's claim regarding procedural default is adequate to deserve encouragement to proceed further. See
Rodriguez
v.
Commissioner of Correction
,
Small
v.
Commissioner of Correction
,
Additionally, as discussed more fully in parts II and III of this opinion, we agree with the petitioner's claims that he did not procedurally default his claim, that he alternatively established cause and prejudice, and that he was denied his due process rights when the prosecutor did not correct Ellis' false testimony and then argued to the jury after testimony favorable to the prosecution that Ellis had "everything to lose, nothing to gain ...." We, therefore, address the merits of the petitioner's claims.
II
The petitioner next claims that he did not procedurally default his due process claim. Specifically, he argues that the trial record was inadequate to raise the claim on direct appeal and that he did not fail to follow a firmly established and regularly followed state procedural requirement because appellate counsel was not required to investigate or augment the record. Alternatively, if procedural default is found, the petitioner claims that he established cause and prejudice for his default.
A
"A party in a habeas appeal procedurally defaults on a claim when he raises issues on appeal that were not properly raised at the criminal trial or the appeal thereafter.... Habeas, as a collateral form of relief, is generally available to litigate constitutional issues only if a more direct route to justice has been foreclosed through no fault of the petitioner." (Citations omitted; internal quotation marks omitted.)
Salters
v.
Commissioner of Correction
,
The petitioner's due process claim is axiomatically constitutional in nature. He argues, however, that because the record was inadequate to review his claim based on the trial court record and there is no firmly established and regularly followed procedural requirement for appellate counsel to investigate or augment the record, he did not procedurally default his claim. We note that the petitioner's trial counsel thoroughly cross-examined Ellis regarding the state's promise to him, to no avail, and that information regarding Ellis' sentencing only became available after the conclusion of the petitioner's criminal trial. Given the ambiguous and contradictory statements of the prosecutor regarding any promise to Ellis, we fail to see how the petitioner could "properly raise" his claim on appeal from the record. Our conclusion is bolstered by the fact that the petitioner's appellate counsel was granted permission by the Superior Court to withdraw because she concluded there were no nonfrivolous claims to raise on appeal. We, therefore, hold that the petitioner did not procedurally default his claim because his more direct route to justice via appeal was foreclosed through no fault of his own.
Additionally, although we observe that our precedent has established that constitutional claims that could have been raised on appeal are subject to procedural default;
Jackson
v.
Commissioner of Correction
, supra,
Our appellate courts have not yet carved out an exception for such claims as they have done for
Strickland
8
claims. See
Johnson
v.
Commissioner of Correction
, supra,
Our Supreme Court has recognized that the showing of prejudice under the procedural default doctrine "is the same showing of prejudice that is required for
Strickland
or
Brady
errors";
Hinds
v.
Commissioner of Correction
, supra,
We fail to see how the converse is not also true, namely, that the petitioner establishes cause and prejudice by establishing the suppression of material exculpatory evidence under
Brady
and its analogues. At least one federal Court of Appeals uses this approach. See
Akrawi
v.
Booker
,
B
Alternatively, even if we were to assume that procedural default had occurred, we conclude that the petitioner has established cause and prejudice.
"[A] petitioner must demonstrate good cause for his failure to raise a claim ... on direct appeal and actual prejudice resulting from the impropriety claimed in the habeas petition.... [T]he cause and prejudice test is designed to prevent full review of issues in habeas corpus proceedings that counsel did not raise at trial or on appeal for reasons of tactics, inadvertence or ignorance ...." (Internal quotation marks omitted.)
Hinds
v.
Commissioner of Correction
, supra,
"[T]he existence of cause for a procedural default must ordinarily turn on whether the prisoner can show that some objective factor external to the defense impeded counsel's efforts to comply with the State's procedural rule. Without attempting an exhaustive catalog of such objective impediments to compliance with a procedural rule, we note that a showing that the factual or legal basis for a claim was not reasonably available to counsel ... or that some interference by officials ... made compliance impracticable, would constitute cause under this standard." (Internal quotation marks omitted.)
Jackson
v.
Commissioner of Correction
, supra,
For a petitioner to demonstrate prejudice, he "must shoulder the burden of showing, not merely that the errors at his trial created a possibility of prejudice, but that they worked to his actual and substantial disadvantage, infecting his entire trial with error of constitutional dimensions.... [T]he petitioner would have to demonstrate that, with the proper instruction, there was a substantial likelihood that the jury would not have found the petitioner guilty of the crime of which he
was convicted.... Substantial likelihood or reasonable probability does not require the petitioner to demonstrate that the jury more likely than not would have acquitted him had it properly been instructed.... This is the same showing of prejudice that is required for
Strickland
or
Brady
errors.... A reasonable probability is a probability sufficient to undermine confidence in the outcome." (Citations
omitted; internal quotation marks omitted.)
Hinds
v.
Commissioner of Correction
, supra,
1
We now proceed to our further analysis of the procedural default issue. The petitioner argues that there was cause for his procedural default because "[t]he factual basis for [his] claim was not reasonably available to [appellate] counsel, and it was the state's conduct at trial that made raising the claim on direct appeal impracticable." Specifically, the petitioner argues that it was reasonable for his appellate counsel to rely on the prosecutor's statements during the criminal proceedings denying that any consideration had been offered, to rely on the prosecutor to disclose all exculpatory materials and to rely on the prosecutor not to present false testimony or then to correct any false testimony. The petitioner claims that it was only when the prosecutor and Stawicki testified at the habeas trial that it became clear that Ellis' testimony was false because prior to their testimony, the prosecutor had repeatedly denied promising Ellis anything, despite the repeated requests for information by the petitioner's trial counsel about any discussions with or incentives offered to Ellis. 9
The respondent counters that "all of the predicate facts necessary to litigate a Giglio claim 10 were available to the petitioner before appellate counsel withdrew from [the] case and long before the petitioner withdrew his appeal." (Footnote added.) In addition, the respondent argues that the state disclosed any exculpatory materials, and so there can be no cause attributable to the state's conduct.
In its memorandum of decision, the habeas court disagreed with the petitioner's argument that the evidence necessary to support his claim was not available at the time his direct appeal was pending. The court found that "[t]he evidence presented by the petitioner at the habeas trial that provides the basis for his claims ... was known or knowable from November 23, 2005, until April 23, 2013. Given how long the appeal was pending before it was withdrawn, the petitioner could have filed, pursuant to Practice Book § 42-55, a petition 11 for a new trial based on newly discovered evidence. Section 42-55 expressly authorizes action on the petition for [a] new trial even though an appeal is pending. The record from any proceedings conducted by the criminal court, the correct forum for the petitioner's claims, could then augment the record of the direct appeal." (Footnote added.)
In looking at the habeas court's reasoning, we must first conclude that it was error to suggest as support for a lack of cause that the petitioner could petition for a new trial. Because the respondent's return asserted only that the petitioner procedurally defaulted on the basis of his not having directly raised on appeal his due process claim, a fact the habeas court acknowledged just two paragraphs prior to its cause analysis, the court could not suggest then that the petitioner should have moved or petitioned for a new trial. A motion or petition for a new trial is not part of a direct appeal. See footnote 11 of this opinion. Although the court also cited
State
v.
Floyd
,
In
Salters
v.
Commissioner of Correction
, supra,
This case is distinguishable from
Salters
because the petitioner's appellate counsel could not have developed a due process claim without extrarecord information of which she was unaware. We note that the petitioner's appointed appellate counsel, a highly experienced appellate attorney, had only the record in front of her in determining to move to withdraw as counsel.
Anders
requires only that appellate counsel look to the entire record in deciding whether there are appealable issues.
Anders
v.
California
,
and "[a] rule ... declaring 'prosecutor may hide, defendant must seek,' is not tenable in a system constitutionally bound to accord defendants due process").
In
Strickler
v.
Greene
,
We note that the
Anders
brief
13
filed by appellate counsel was thirty-five pages long and comprehensively addressed all possible claims emanating
from the record
.
14
This brief then had to be analyzed independently by the trial court before allowing appellate counsel to withdraw. See
Anders
v.
California
, supra,
Likewise, we cannot expect an incarcerated individual such as the petitioner, after appellate counsel has been permitted to withdraw by the Superior Court, to then be able to develop new claims from the confines of prison. Such expectations defy reason. Thus, we conclude that because the factual basis underlying the petitioner's due process claim was not fully available until after his appellate counsel, who had no duty to investigate it under
Anders
, moved to withdraw, such information was not reasonably available.
15
See
Waley
v.
Johnston
,
Here, in the present case, the respondent similarly argues that the petitioner had all of the predicate facts available to him to raise his due process claim on direct appeal; however, much like in Vincent , the harm stemmed not from unawareness of the falsity of Ellis' testimony but from Ellis' truculence and the petitioner's inability to respond effectively in light of the prosecutor's silence. In addition, and also like Vincent , it was not until the prosecutor himself testified at the habeas trial that there was a complete factual record to prove the petitioner's claim. We also note that, as in Vincent , Ellis was the key witness who put the petitioner at the crime scene with the likely murder weapon, a revolver, in his hand. Thus, we are persuaded by the reasoning in Vincent that it would be inappropriate not to permit the petitioner to challenge the prosecutor's knowing use of Ellis' false testimony. 17
Therefore, the petitioner established cause for any procedural default.
2
The petitioner also argues that he has established the prejudice necessary to overcome procedural default because his claimed due process violation by the state was material to his conviction. The respondent does not present any argument or citation that would counter this claim. In fact, in the respondent's brief, he unequivocally states that "[b]ased on [his] review of the trial record, the [respondent] concedes that if this court were to overturn the habeas court and find a
Giglio
violation, the prosecution's failure to correct Ellis' false testimony was material to the petitioner's convictions of murder and conspiracy to commit murder because the state's case was not strong without Ellis' testimony."
18
This concession of materiality also concedes the prejudice necessary to overcome procedural default. See
Hinds
v.
Commissioner of Correction
, supra,
The habeas court, however, found that the petitioner did not establish prejudice because Ellis was "extensively questioned by [the petitioner's trial counsel] about his possible motivations for testifying," and the trial judge's instructions to the jury also addressed those potential motivations. 20 The habeas court further found that the state had no obligation to correct Ellis' false testimony because the state disclosed to the defense its promise to make Ellis' sentencing judge aware of his cooperation.
We will examine more fully the parameters of
Brady
materiality, particularly disclosure,
in part III of this opinion, but we note that, although the petitioner's trial counsel indeed did question Ellis about his motivations, Ellis repeatedly stonewalled him. Trial counsel was unable to get Ellis to admit to the jury that he had some promise from the state regarding his cooperation. We do not know what more the petitioner's trial counsel could have done to present the state's promise to Ellis to the jury.
21
Thus, despite whatever awareness the petitioner might have had of the prosecutor's promise to
Ellis, this situation is inapposite to that in which defense counsel is actually aware of false testimony and fails to bring it to either the jury's or the court's attention, which raises "the assumption ... that he did so for strategic reasons," because when a "defendant [is] prevented from raising or pursuing the issue at trial by circumstances essentially beyond his control," that presumption of strategy is undermined. (Internal quotation marks omitted.)
United States
v.
Manual-Garcia
,
III
Finally, we address the petitioner's claims that his due process rights were violated, in contravention of
Napue
and
Giglio
v.
United States
,
A
"The rules governing our evaluation of a prosecutor's failure to correct false or misleading testimony are derived from those first set forth by the United States Supreme Court in
Brady
v.
Maryland
, [supra,
"Not every failure by the state to disclose favorable evidence rises to the level of a
Brady
violation. Indeed,
a prosecutor's failure to disclose favorable evidence will constitute a violation of
Brady
only if the evidence is found to be material. The
Brady
rule is based on the requirement of due process. Its purpose is
not to displace the adversary system as the primary means by which truth is uncovered, but to ensure that a miscarriage of justice does not occur. Thus, the prosecutor is not required to deliver his entire file to defense counsel, but only to disclose evidence favorable to the accused that, if suppressed, would deprive the defendant of a fair trial ....
United States
v.
Bagley
, [
"When, however, a prosecutor obtains a conviction with evidence that he or she knows or should know to be false,
the materiality standard is significantly more favorable to the defendant
. [A] conviction obtained by the knowing use of perjured testimony is fundamentally unfair, and must be set aside if there is any reasonable likelihood that the false testimony could have affected the judgment of the jury.
United States
v.
Agurs
,
"In
Strickler
v.
Greene
, [supra,
"[A] trial court's determination as to materiality under
Brady
presents a mixed question of law and fact subject to plenary review, with the underlying historical facts subject to review for clear error.... Finally, in the present case, we conduct the required independent review of the record ...." (Citation omitted; internal quotation marks omitted.)
Lapointe
v.
Commissioner of Correction
,
Because neither the petitioner nor the respondent disputes the finding
23
that Ellis' testimony concerning a promise to make his cooperation known to his sentencing judge was false,
24
which clearly was impeachment evidence, we need only determine if the improper elicitation of that testimony and reliance upon it materially prejudiced the petitioner. See
Giglio
v.
United States
, supra,
As previously noted in part II B 2 of this opinion, the respondent concedes that "if this court were to ... find a Giglio violation, the prosecution's failure to correct Ellis' false testimony was material to the petitioner's convictions of murder and conspiracy to commit murder because the state's case was not strong without Ellis' testimony." We conclude that such a due process violation exists.
In
Adams
v.
Commissioner of Correction
, supra,
The court in Adams did not address the issue of disclosure because it clearly did not occur in that case, but, instead, the court only dealt with materiality. Setting aside the disclosure issue, which we address in part III B of this opinion, we conclude that Ellis' testimony was material.
Unlike Adams , the prosecutor in the present case was also the prosecutor in Ellis' guilty pleas after the petitioner's criminal trial. Thus, there could not be a logical claim that the prosecutor was unaware of the promises made to Ellis, because he promised to bring Ellis' testimony to the attention of the sentencing judge. Similar to Adams , however, Ellis denied having received any consideration, despite defense counsel's repeated efforts to get him to admit the benefits he would receive from the prosecutor for his testimony against the petitioner. The prosecutor in this case then used his closing argument to enhance Ellis' credibility by arguing that Ellis had everything to lose and nothing to gain and that he was "in the mix." He also claimed that he did not know if Ellis expected anything, even though he had told Ellis that the state would bring Ellis' testimony to the attention of his sentencing judge. At that point, Ellis already had testified in a manner favorable to the prosecution. He was also the only witness tying the petitioner to the murder scene at the time of the killing. He was also the only witness to place a revolver in the petitioner's hands at the time and place of the shooting. There was no physical evidence in this case that would tie the petitioner to the crime scene. In Adams , at least there was one piece of physical evidence, a yellow jacket. Here, the prosecutor knew that he had promised Ellis that he would bring the fact of his cooperation to the attention of his sentencing judge if he testified truthfully at the petitioner's criminal trial.
In addition, in the present case, the state's case arguably was weaker than it was in
Adams
.
25
As opposed to
Adams
, where there were at least two eyewitnesses, Ellis, who was not even an eyewitness to the shooting, was the only witness who placed the petitioner at the crime scene. He is also the only witness who put a revolver, which expert testimony established was the likely murder weapon, in the petitioner's hand. The respondent points out that Douglas also testified in a manner that implicated the petitioner; however, her testimony was based on an alleged admission to her by the petitioner. She was not an eyewitness to the murder. She was unhappy with the petitioner for personal reasons; her testimony made clear that she was angry at the petitioner for alleged infidelities. One of her letters to him stated, "I will take your f-ing freedom you bitch." For these reasons, we conclude that there is a reasonable likelihood that Douglas' testimony alone would have been insufficient to convict the petitioner of murder and conspiracy to commit murder. When the issues with Douglas' testimony are considered with Ellis' tainted testimony, and the complete lack of physical evidence that would tie the petitioner to the crime scene, we conclude that there is a reasonable likelihood of a different result because Ellis' false testimony, or the reliance on it by the prosecutor in his closing argument, could have affected the verdict of the jury. See
Merrill
v.
Warden
,
B
Our inquiry, however, does not end with the determination that false material testimony
was elicited at the petitioner's criminal trial. The respondent contends that because the extent of the state's agreement with Ellis was disclosed to the petitioner's criminal trial counsel, the state did not suppress exculpatory evidence and, thus, did not violate the petitioner's due process rights. Although the petitioner disagrees that the full extent of the state's agreement was disclosed, he also argues that such disclosure needed to be made
to the jury
. This disagreement as to what level of disclosure is required stems from a split in this court's precedent regarding whether, under
Hines
v.
Commissioner of Correction
,
In
Jordan
, the state had disclosed to both the trial judge and defense counsel the nature of its deals with the cooperating witnesses before they testified at the defendant's trial.
State
v.
Jordan
, supra,
Although disclosure of materially exculpatory evidence to defense counsel would suffice under
Brady
, and
Napue
and
Giglio
are subsets of
Brady
; see footnote 22 of this opinion; our review of our state and federal precedents imply that disclosure to the jury is required in the case of known, but uncorrected, false testimony. Our Supreme Court's first discussion of
Giglio
occurred in an opinion reversing a defendant's conviction and ordering a new trial where the defendant's sixth and fourteenth amendment rights to confront the witnesses against him were violated.
State
v.
Annunziato
,
Our Supreme Court discussed these two
Annunziato
federal court opinions when deciding the direct appeal of the
Annunziato
petitioner's son in
State
v.
Annunziato
, supra,
We note that although
State
v.
Annunziato
, supra,
Jordan
and the
Annunziato
trio of cases accord well with
Napue
itself. In
Napue
v.
Illinois
, supra,
Later, in
Giglio
v.
United States
, supra,
As was the case in Giglio , we cannot help but observe that the state's case was also almost entirely dependent on Ellis' testimony. His credibility, therefore, was important, and evidence of his promise from the prosecutor would be relevant to his credibility. It bore on whether he had anything to gain by his testimony. Therefore, the jury was entitled to know of it. 30
Under the
Jordan
standard, it is crystal clear that the prosecutor failed to disclose his promise to Ellis to the jury or to correct what the habeas court found and the respondent conceded was Ellis' false testimony to the jury.
Jordan
and its antecedents would require that the jury be made aware of the agreement. That did not happen here. Although the
prosecutor disclosed his promise to Ellis to the defense, "[t]he [petitioner] gains nothing, however, by knowing that the [state's] witness has a personal interest in testifying unless he is able to impart that knowledge to the jury."
United States
v.
Sanfilippo
,
2
On the other hand, if the standard for disclosure, instead, is governed by
Hines
, the level of disclosure required is merely that the state makes defense counsel aware of the agreement.
31
See
Hines
v.
Commissionerof Correction
, supra,
Here, the petitioner and the respondent disagree about whether the disclosure to defense counsel was adequate to satisfy the state's obligation under Brady . We must observe that the prosecutor initially denied that any promise had been made to Ellis. It was not until the trial court stated that, in the past, prosecutors would make a witness' cooperation known to the sentencing judge, and then asked the prosecutor if that was the case here, that the prosecutor acknowledged what he had promised to Ellis. Absent the trial court's question, there would have been absolutely no disclosure of any kind on the state's part. 32
Assuming that the prosecutor satisfied his disclosure requirement under Hines , we conclude that the petitioner still was harmed when the state bolstered Ellis'
testimony during closing and rebuttal arguments. As we have noted, the prosecutor stated that Ellis "wanted to get [his testimony] off his chest. He knew and knows that his statements put him in the mix." He also argued that Ellis "had everything to lose, nothing to gain, by giving these statements," and that Ellis "has been charged with this crime, too. And his position is he's only the driver, he had nothing to gain by giving these statements. He, clearly, said he wasn't made any promises. Does he expect something? That's in his mind. I don't know. But the reality is: he is in the mix."
In
Hines
, however, there is nothing in the decision indicating that the prosecutor obscured the witness' interest in the outcome during summation. Likewise, two recent habeas appeals arising out of the same crime,
Gomez
v.
Commissioner of Correction
,
In
Gomez
, the petitioner claimed that agreements between the state and the witnesses to bring their cooperation to the attention of their sentencing judge went undisclosed.
Gomez
v.
Commissioner of Correction
, supra,
Our state courts have not addressed a situation where an agreement concerning a cooperating witness and the state was disclosed to the court and defense counsel, but the prosecutor nonetheless argued that the cooperating witness had everything to lose and nothing to gain in closing and rebuttal arguments. However, multiple federal Courts of Appeals have addressed similar situations. "Standing alone, a prosecutor's comments upon summation can 'so [infect] a trial with unfairness as to make the resulting conviction a denial of due process.' "
Jenkins
v.
Artuz
,
In a prior case,
DuBose
v.
Lefevre
,
We are persuaded by the Second Circuit's reasoning that any knowledge by the court or defense counsel through disclosure of a plea agreement can be thwarted by the prosecutor's examination of a witness or closing arguments, which requires
reversal. See
Jenkins
v.
Artuz
, supra,
Finally, we address the respondent's argument that should we find a due process violation, we, nonetheless, should uphold the petitioner's separate conviction on the tampering with a witness charge. The respondent contends that none of the evidence emanating from Ellis' testimony had any bearing on the tampering charge. The petitioner argues that the conviction of tampering "is buoyed by the assumption that the petitioner is guilty" of the murder and conspiracy to commit murder charges. We agree with the respondent.
In order to be convicted of tampering with a witness, the state must prove that a defendant, "believing that an official proceeding is pending or about to be instituted ... induces or attempts to induce a witness to testify falsely, withhold testimony, elude legal process summoning him to testify or absent himself from any official proceeding." General Statutes § 53a-151 (a).
In the petitioner's criminal trial, evidence was introduced of letters the petitioner had sent to Douglas. In one letter to Douglas, the petitioner wrote: "If anybody come trying to talk to you to death like you know me, and, shit, of course you know me and what not, but you don't tell nobody that you don't know shit and don't want to ...." 41 (Emphasis added.) In another letter, the petitioner wrote that "I'm schooling you on keeping your head right ...."
Given the elements required to prove tampering with a witness, we conclude that the jury reasonably could
have found that the petitioner attempted to induce Douglas to withhold testimony. Despite the petitioner's argument that the conviction is "buoyed" by his other convictions and Ellis' false testimony regarding them, tampering with a witness can be established even absent other convictions. See
State
v.
Gethers
,
The judgment is reversed in part and the case is remanded with direction to render judgment granting the petition for a writ of habeas corpus, vacating the petitioner's underlying convictions under §§ 53a-54 and 53a-48 and ordering a new trial on those offenses; the judgment is affirmed as to the petitioner's underlying conviction under § 53a-151.
In this opinion the other judges concurred.
See
Giglio
v.
United States
,
The petitioner's claim has been styled by the parties and the habeas court as a " Brady " claim, a " Giglio " claim, a " Napue " claim and a "due process" claim. Noting that there are some subtle differences among these cases, they are nonetheless often conflated. See footnote 22 of this opinion. Recognizing these subtleties, we use the term "due process" claim wherever possible in this opinion, although our discussion of the parties' briefs, the habeas court's memorandum of decision and the various precedents often dictates the use of one of the other terms.
Specifically, the petitioner was charged with murder in violation of § 53a-54, conspiracy to commit murder in violation of §§ 53a-48 and 53a-54, and tampering with a witness in violation of § 53a-151.
Dennis Paris, who was shot at the same time as Williams-Bey, testified that while he and the petitioner were being held in nearby parts of the courthouse, he told the petitioner that "[y]ou all supposed to know who you all shooting," to which the petitioner replied, "I didn't even know you was there ...." We do not believe that this cryptic and ambiguous statement places the petitioner at the crime scene, as did the testimony of Ellis and Douglas, especially because, according to Paris, the petitioner also told Paris that he did not shoot him.
Bennett, who was tried separately, apparently was acquitted of all charges.
See
Anders
v.
California
,
Although Ellis originally was charged with conspiracy to commit murder, assault in the first degree, conspiracy to commit assault in the first degree and tampering with a witness, all of the charges, except assault in the first degree, were dropped.
General Statutes § 53a-39 (b) provides: "At any time during the period of a definite sentence of more than three years, upon agreement of the defendant and the state's attorney to seek review of the sentence, the sentencing court or judge may, after hearing and for good cause shown, reduce the sentence, order the defendant discharged, or order the defendant discharged on probation or conditional discharge for a period not to exceed that to which the defendant could have been originally sentenced."
Strickland
v.
Washington
,
It was only after the trial court itself asked the prosecutor specifically if he informed Ellis that he would make his level of cooperation known to the sentencing judge that the prosecutor confirmed any level of discussion with Ellis.
See
Giglio
v.
United States
,
Although the habeas court referred to Practice Book § 42-55 as providing for a "petition" for a new trial, that section concerns a "motion" for a new trial. A "petition" for a new trial, which is commenced by a separate civil action, is governed by General Statutes § 52-270 and may be granted for, inter alia, "the discovery of new evidence ...." Because it is the Superior Court that grants a petition for a new trial, such a petition is clearly not part of an appeal. In addition, the statute governing the appeal rights of defendants, General Statutes § 54-95, makes clear that a defendant "may be relieved by appeal, petition for a new trial or writ of error ...." The disjunctive "or" in the statute further crystalizes our conclusion that a petition for a new trial is not part of an appeal.
Additionally, the rules of practice concerning motions for a new trial, Practice Book §§ 42-53 to 42-55, are contained in the chapter pertaining to trial procedure in criminal matters before the Superior Court, not in the chapter containing our rules of appellate procedure. Therefore, we conclude that a motion for a new trial, likewise, is not part of an appeal.
The respondent cites to, but then does not explain, a line in
Crawford
v.
Commissioner of Correction
, supra,
The
Anders
brief was not in the habeas trial record, but was included in the petitioner's trial court file. We have read the brief and take judicial notice of its contents. See
Grant
v.
Commissioner of Correction
,
The petitioner's criminal trial record shows that the prosecutor denied having made any deal with Ellis, though he eventually admitted that he had told Ellis that his sentencing judge would be told that Ellis gave a statement. Whatever then occurred between the prosecutor and Ellis after the trial does not appear in the record.
We reject any notion that counsel "should have known of such claims through the exercise of reasonable diligence." See, e.g.,
Stockton
v.
Murray
,
Although
Vincent
predates
Wainwright
v.
Sykes
, supra,
The Second Circuit did think that the petitioner's trial counsel in
Vincent
had other alternatives, namely, that he could "have requested a side-bar conference or an in camera proceeding at which he could put the matter of [the prosecutor's] promises directly to the prosecutor."
United States ex rel. Washington
v.
Vincent
, supra,
It bears mentioning that the court found Ellis' testimony to be false, and the respondent also conceded its falsity during oral argument before this court.
Bennett, the other man charged with and tried for Williams-Bey's murder, did not testify at the petitioner's criminal trial.
In a comprehensive charge, the trial court instructed the jury concerning Ellis' testimony as follows: "[I]n weighing the testimony of Benjamin Ellis, who is, as I mentioned, a self-confessed criminal, you should consider that fact. It may be that you would not believe a person who's committed a crime as readily as you would believe a person of good character. In weighing the testimony of an accomplice who has not yet been sentenced, or whose case, actually, to say correct[ly], has not yet been disposed of, it's still pending; you should keep in mind that he may be looking for some favorable treatment in the sentence or disposition of his own case. Therefore his testimony may have been colored by that fact. You must look, with particular care, at the testimony of an accomplice and scrutinize it very carefully before you accept it. There are many offenses that are of such character that the only persons capable, however, of giving useful testimony are those who themselves were implicated in the crime. It's for you to decide ... what credibility you will give to Mr. Ellis, who has admitted his involvement in criminal wrongdoing, whether you will believe or disbelieve the testimony of Mr. Ellis, who, by his own admission, contributed to the crime charged by the state here. Like all other questions of credibility, this is a question you must decide based on all the evidence presented to you. You had an extensive opportunity to observe his demeanor on the stand. He was cross-examined extensively. His testimony, I must caution you, must be scrutinized carefully and if you find that he ... intentionally assisted in the commission or aided in the commission of the offense or offenses, [with] which [the petitioner] is charged, you must be particularly careful in regard to his testimony. In weighing Mr. Ellis' testimony you should bear in mind that his charges arising from this incident are still pending. The ultimate charges he will face have not yet been determined. They may be the same. They may be changed. You should keep in mind that he may be looking for favorable treatment in the disposition of his own case. You may consider whether his testimony was colored by that fact and look, with particular care, upon his testimony and scrutinize it very carefully before you accept it. In addition, in considering his credibility, you may consider any motive he had for testifying falsely to implicate the accused. While Mr. Ellis has been charged with murder and conspiracy to commit murder of Kendall Williams-Bey, he's not yet been tried on those charges. In viewing this, you may consider the fact that the state's attorney may , without approval of the court, [change the] charges or possibly even drop [them] if the state's attorney states a reason for that ... on the record. I have no indication, nor is there any evidence, that that will be done. But Mr. Ellis was cross-examined on those issues in general and in particular and you got the opportunity to evaluate his credibility. You may consider all of this in deciding whether Mr. Ellis has any interest in the outcome of this case or any bias ... or prejudice concerning any party or any matter involved in the case." (Emphasis added.)
We note that the trial court stated that there was no evidence that the prosecutor would change or drop any charges in Ellis' pending case. At the later trial of this habeas petition, it became evident that the prosecutor dropped or reduced Ellis' charges, a fact that obviously is not in the petitioner's criminal trial record.
In his brief, the respondent highlights the attempt of the petitioner's trial counsel to impeach Ellis with his false testimony. At oral argument, the respondent's counsel was asked what else the petitioner's trial counsel could have done when Ellis persisted with false testimony in light of the prosecutor's silence. Counsel argued that the petitioner's trial counsel could have asked for a stipulation or an instruction, or could have presented Ellis with the transcript of the proceeding in which the prosecutor put the agreement on the record.
Given the prosecutor's persistent denial of any promise, it is unlikely that he would have stipulated to the fact that Ellis' testimony on the issue was false, particularly in light of his later capitalization on Ellis' lie in closing argument. We similarly are unconvinced that any requested instruction would have been probable because it would have required the trial court to take judicial notice of the truth of a statement that it could not validate, as the court was not a witness to the promise made to Ellis.
In his operative petition, the petitioner framed his claim as follows: "Pursuant to the fifth, sixth and fourteenth amendments [to] the United States constitution, article first, §§ 8 and 9, of the Connecticut constitution, [ Brady ] and [ Adams ], the petitioner's constitutional rights were violated because the prosecuting authority failed to correct [the] false testimony of Benjamin Ellis and/or failed to disclose exculpatory materials."
At the habeas trial and in his appellate briefs, the petitioner referred to his claim as a violation of
Brady
,
Napue
and
Giglio
. We observe that, although
Napue
predated
Brady
,
Napue
and
Giglio
are often conflated with
Brady
. See
United States
v.
Bagley
,
The habeas court's finding of the falsity of Ellis' statement is a factual determination subject to clear error review. See
State
v.
Satchwell
,
The petitioner and the respondent disagree on when the petitioner and his various counsel learned about the falsity of Ellis' testimony, but for reasons that will become clearer in our discussion, such a distinction is irrelevant.
The respondent concedes that the state's case against the petitioner was not strong without Ellis' testimony.
State
v.
Williams
,
Our Supreme Court concurred with this court's determination that there was "no reasonable likelihood that the potentially misleading testimony could have affected the judgment of the jury" because "there was overwhelming evidence of the defendant's guilt even without the testimony of [the witnesses]."
State
v.
Jordan
, supra,
The petitioner also claimed that his sixth and fourteenth amendment rights to confront the witnesses were violated when the trial court refused to allow his trial counsel to cross-examine the witnesses on charges pending against them to show bias, interest or motive.
United States ex rel. Annunziato
v.
Manson
, supra,
In this case, we also observe that the prosecutor must have thought it was important to deny that Ellis had been promised any consideration for his testimony because he stated in both his closing and rebuttal arguments that Ellis had everything to lose and nothing to gain in giving his statements to the police and that any expectations he might have were "in his mind ...."
In reading
Giglio
and
Napue
against
Brady
, it becomes clearer how disclosure in
Brady
can mean disclosure to the defendant while disclosure in
Napue
and
Giglio
can mean disclosure to the jury. In
Brady
v.
Maryland
, supra,
The ambiguity in what level of disclosure is required seems to have started with
State
v.
Paradise
, supra,
Additionally, Harris did not turn on what level of disclosure was required because "defense counsel waived their objections to the impropriety by consciously failing to take any steps to minimize the resulting prejudice." United States v. Harris , supra, 498 F.3d at 1166. Indeed, in discussing the waiver issue, the court pointed out defense counsel's lack of effort to disclose the government's agreement with the cooperating witness to the jury or to proffer the prosecutor's stipulation regarding the same to the jury . Id., at 1170.
Likewise, in
Paradise
, our Supreme Court found it unnecessary to determine if the defendant's claims regarding false testimony concerning an agreement with the state were true because the cooperating witness stated in his testimony that he hoped to receive a lower sentence by testifying.
State
v.
Paradise
, supra,
Previously in this opinion, we also observed that
Brady
,
Napue
and
Giglio
often are conflated. See footnote 22 of this opinion;
United States
v.
Bagley
, supra,
Much like our Supreme Court said in
Ouellette
and elsewhere, we "are cognizant of the exhortation of the United States Supreme Court that 'it is upon such subtle factors as the possible interest of the witness in testifying falsely that a defendant's life or liberty may depend.'
Napue
v.
Illinois
, supra,
Jenkins
was cited approvingly in
State
v.
Ouellette
, supra,
The prosecutor even objected when defense counsel attempted to elicit the truth of any deal on cross-examination.
Jenkins
v.
Artuz
, supra,
The only evidence placing the petitioner in
DuBose
at the crime scene other than the witness' testimony stemmed from "an incoherent and frenzied statement by [the petitioner] when he went to the police station looking for one of the investigating officers, and, while dashing his head on a railing, said something described by various witnesses as 'I killed him' or 'I kill 'im' or 'I'll kill him' and later, while rolling on the floor, accused the investigator of tricking him. The prosecution contended this was a confession."
DuBose
v.
Lefevre
, supra,
Wallach
also distinguishes between situations where the prosecutor knows or should have known of perjured testimony and those where he does not. In the case "[w]here the prosecution knew or should have known of the perjury, the conviction must be set aside if there is any reasonable likelihood that the false testimony could have affected the judgment of the jury." (Internal quotation marks omitted.)
United States
v.
Wallach
, supra,
Although, as noted, other federal Courts of Appeals have held that the prosecutor's knowing use of such false testimony in summation violates due process despite any disclosure to the defendant, we are particularly attuned to the Second Circuit opinions because, after the petitioner in this case exhausts his remedies in our state courts, it augurs how his case would turn out in federal court. That other circuits have ruled in the same manner only bolsters our conclusion.
One federal Court of Appeals has gone so far as to hold that due process was violated where the prosecutor elicited false testimony from a government witness and argued during closing argument that the witness was credible, then conceded in rebuttal argument that the witness had lied, but argued that the lie was unimportant because the defense could no longer explain why the lie was important.
United States
v.
LaPage
,
The respondent argues that the prosecutor's comment that Ellis had "nothing to gain" referred to his statements to police. At worst, the respondent claims, the remarks were ambiguous. The respondent's argument ignores both the context of the statement and the bevy of other remarks the prosecutor made in summation that falsely implied that Ellis had been made no promises and that any expectations were in his mind.
What occurred with Ellis' later pleas and sentence reductions is relevant in confirming that a promise, in fact, had been made, but only to prove that the petitioner's due process rights were violated at his criminal trial. Outside of this confirmation, neither our Jordan nor Hines analyses depends on what occurred after trial because the due process violation either occurred when the prosecutor failed to disclose to the jury his promise to Ellis ( Jordan ) or when the prosecutor relied on Ellis' false testimony in closing and rebuttal arguments ( Hines / Jenkins ).
Although the petitioner used a double negative, it is clear from context that he did not want Douglas to testify about any involvement the petitioner may have had.
The petitioner was sentenced to an effective sentence of sixty years of incarceration, which included a sixty year term for the murder charge, a twenty year term for the conspiracy to commit murder charge, which was ordered to run concurrent with the murder sentence, and a five year term for the tampering charge, which was ordered to run consecutive to the conspiracy sentence, but concurrent with the murder sentence. We note that the petitioner has been incarcerated since before his conviction on the charges and that he likely has served his sentence on the tampering conviction by this point in time.
Reference
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- Christopher GASKIN v. COMMISSIONER OF CORRECTION
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