State v. Guerrera
State v. Guerrera
Opinion of the Court
It is the policy and practice of the Department of Correction (department) to automatically record the telephone calls and noncontact visits of all inmates, each of whom is given prior notice that such calls and visits are being recorded. The recordings are made for a variety of reasons related to prison safety and administration, and not as part of any investigation into the crimes with which the various inmates have been charged. From time to time, however, the department, upon express request of the state's attorney responsible for prosecuting a particular criminal case, will review some but not all of the calls and visits of those inmates who have been charged in that case. Because the department is acting as an investigative arm of the state in conducting that review, the calls and visits reviewed at the state's attorney's behest are part of the state's investigation into the case such that, like all other material and information gathered or developed as part of the investigation, those calls and visits are subject to the disclosure requirements of
Brady
v.
Maryland
,
The defendant, Michael Anthony Guerrera, and four codefendants were charged with various offenses in connection with the assault and murder of the victim, Dylan Sherman. Following their arrest, they were remanded to the custody of the Commissioner of Correction (commissioner) pending trial, at which time the state requested that the department review the telephone calls and noncontact visits of the defendant and his codefendants. In accordance with its practice, the department reviewed only about 10 percent of those voluminous calls and visits, which represented the calls and visits believed by the department to be most likely to bear some relevance to the pending criminal case. Subsequently, the defendant, shortly before trial, issued a subpoena to the department seeking, under
Brady
, the production of more than 1500 audio recordings of the telephone calls and noncontact visits of the defendant's four codefendants that had been made and retained by the department while those codefendants remained in the commissioner's custody prior to trial.
On appeal, the Appellate Court affirmed the judgments of the trial court;
State
v.
Guerrera
,
State
v.
Guerrera
,
The following undisputed facts and procedural history are relevant to our resolution of the present appeal. On February 22, 2011, the victim was severely beaten and then transported to a wooded area of Terryville where he was bludgeoned to death. His body was found the next day by a hiker, and, soon thereafter, the police developed information that the victim had been murdered by the defendant and his brother, Dennis Guerrera, over a dispute involving money. On February 24, 2011, the two men, along with three others, were arrested and charged with multiple offenses related to the assault and murder of the victim.
Shortly after those arrests, an inspector from the state's attorney's office requested that the department monitor the telephone calls and noncontact visits of the defendant and his four codefendants, all of whom remained incarcerated in lieu of bail pending trial. This request was handled in accordance with department policy, pursuant to which all such inmate calls and visits are automatically recorded with prior notice to every inmate that his or her calls and visits are recorded and subject to monitoring by the department.
The department routinely receives requests from the various state's attorney's offices and other investigative agencies to monitor inmate telephone calls. After the
receipt of such a request, the department assigns an individual telephone monitor to the case. Because the department maintains that it is not feasible to monitor or review every call of any particular inmate,
The state's request in the present case was assigned to Officer Donald Lavery, a member of the department's Special Intelligence Unit. In keeping with department practice, Lavery limited his review to those calls that were made shortly after the individuals were incarcerated and before and after their court dates, a review that comprised only about 10 percent of the calls of the defendant and his codefendants. Lavery ultimately prepared notes on only a handful of the calls, and he forwarded those notes to the state's attorney's office. The state, however, never sought to obtain a copy of any of those calls because, after reviewing Lavery's notes, the state's attorney determined that none of the calls was either inculpatory or exculpatory. Moreover, at no time did the state's attorney seek to have the department review additional calls or otherwise undertake to obtain copies of any such additional calls from the department.
On June 27, 2011, defense counsel sent a letter to the department "requesting that all phone calls of [the defendant's codefendants] be recorded and preserved." The letter further stated that, "[a]t some point in the
future, I anticipate issuing subpoenas for the recordings of these inmates' calls." On August 15, 2013, the defendant issued a subpoena to the department, directing it to "produce copies of the [codefendants'] recorded conversations, whether on the telephone or during inmate visits ...." The state and the department moved to quash the subpoena on the ground that it had been issued without any indication that the recorded conversations contain exculpatory material. They also maintained that compliance with the subpoena would place a significant and unreasonable burden on the department due to the extensive number of recordings involved, all of which, under department policy, would have to be reviewed in their entirety before they could be disclosed to an outside party, a process that, according to the representations of the state's attorney, could take anywhere from 200 to 1000 hours, depending on the length of the calls.
At the hearing on the motions to quash, Lavery testified that he had not locked any calls in response to the state's request for monitoring,
Following the hearing on the motions to quash, the trial court issued a memorandum of decision granting the motions with respect to the 1552 calls that were locked in response to the defendant's subpoena but remained unreviewed. In doing so, the court observed that of the calls that Lavery had reviewed, but which did not include any of the 1552 calls locked in response to the defendant's subpoena, only a few of them contained conversations that referred to the crime or otherwise related in some way to the defendant's case. "Given these statistics," the court stated, "the defendant's request for documents is overbroad. It clearly sweeps up calls that have no demonstrated relevance to the matter before the court. It would also impose a substantial burden on [the department] to review each of these [1552] calls to determine which calls contain relevant statements." In reaching its decision, the court rejected the defendant's contention that, because a few of the calls that Lavery reviewed contained some information that related generally to the case, it was reasonable to infer that some of the 1552 calls would contain exculpatory material. The court stated that the defendant had presented no evidence that the codefendants "did in fact make any other calls containing relevant material, other than those already identified by [the department] and, if [they did], which calls contain [that] material. The defendant seeks to obtain [more than 1500] calls in the blind hope that some of them may contain relevant material. That effort is a classic fishing expedition."
The trial court next addressed the defendant's claim that "he is entitled to obtain copies of all [1552] calls so that he can review [them] for
Brady
material." (Internal quotation marks omitted.) The court observed that, although the department "does not generally act as an investigative arm of the state, it did assist the state's attorney's office in the investigation of the crimes at issue here." Citing
Kyles
v.
Whitley
,
The trial court continued: "The state's attorney's office specifically requested that [the department] monitor and review the calls ... of the [defendant and his] four codefendants. In response to that request, [the department] reviewed approximately 10 percent of [those] calls for any information related to the alleged crimes. In a number of instances, [the department] sent notes to the state's attorney's office detailing the content of calls containing such information. Clearly, [the department] was investigating aspects of the case on behalf of the state's attorney. Consequently, under the facts here, the prosecutor's obligation under Brady to disclose exculpatory and favorable information to the defendant extends to information known to [the department]."
Applying these principles to the present case, the court determined that, because Lavery, at the prosecution's request, had reviewed approximately 10 percent of the codefendants' calls, the state's duty under
Brady
to disclose exculpatory information extended to those calls. The court also concluded, however, that the remaining 90 percent of the calls fell outside the state's
Brady
obligations because those calls were
never reviewed by the department or the state as part of the investigation of the defendant's case, and, therefore, those calls could not be
known
to the department, or constructively
known by
the state's attorney. Necessary to this conclusion was the court's implicit finding that those calls were not part of the state's investigatory file.
Accordingly, the court denied the motions to quash in part and ordered the department to provide to the defendant "any recorded calls of the codefendants [that the department] has reviewed and [that] concern the pending case ... including but not limited to: (1) the recorded call of the visit by ... Ball with Dennis Guerrera in which [Dennis] Guerrera [purportedly] discusses the involvement or lack of involvement of the defendant in these crimes, and (2) the recorded calls for which [the department] has provided notes to the state's attorney's office outlining the substance of the calls because the calls refer to matters related to [the] case."
The trial court, however, rejected the defendant's contention that
Brady
also required the department to turn over to the defendant the 1552 recordings that Lavery did not listen to so that the defendant himself could review them for possible
Brady
material. The court explained that, even if there were legal authority for the defendant's request, which there is not; see, e.g.,
Pennsylvania
v.
Ritchie
,
files.... [T]his court has never held ... that a defendant alone may make the determination as to the materiality of the information. Settled practice is to the contrary." [Citations omitted.] ); the defendant would still be required to make a threshold showing of materiality before the department could be compelled to produce the recordings, a hurdle that the defendant admittedly could not surmount. See, e.g.,
Mugercia
v.
United States
,
Several weeks after the court's ruling on the motions to quash, defense counsel informed the court that he had reviewed the recording of the conversation between the defendant's brother, Dennis, and their mother, which had been turned over to him pursuant to the court's ruling, and that it did not contain exculpatory material as he had been led to believe. At the same time, defense counsel asked that all of the 1552 recordings that had not been turned over to the defense be compiled onto compact discs and marked as an exhibit for purposes of appeal, if necessary. The state opposed the defendant's request, arguing that such an order would place an onerous and undue burden on the department because the department, in accordance with established policy, would be required to review each of the recordings to prevent disclosure of irrelevant, sensitive or personal information, such as inmate medical information. The state also expressed concern that, if the department were to review any recordings not already reviewed, the state could be charged with constructive knowledge of their contents in light of the court's prior ruling that the department was an investigative arm of the state to the extent that it actually had reviewed calls of the codefendants. To address these concerns of the state, the court ordered that the 1552 recordings be filed with the court under seal so as to relieve the department of the need to review them prior to submitting them to the court. The court further stated that, "if [the department], of its own volition, decides to review these 1552 calls for its own administrative purposes, that does not expand the state's attorney's Brady obligation because it's not being reviewed for investigative purposes. It's being reviewed for [the department's] own institutional needs."
The case then proceeded to trial, and the defendant was convicted of assault in the first degree, conspiracy to commit assault in the first degree and tampering with physical evidence, and found in violation of probation. The trial court sentenced the defendant to a total effective sentence of thirty-four years imprisonment, followed by ten years of special parole.
The defendant appealed to the Appellate Court, claiming, inter alia, that, because all 1552 recordings were part of the state's investigatory file, the state had an affirmative duty under
Brady
to review them, irrespective of the defendant's inability to establish a reasonable prospect that they contain exculpatory information. The defendant argued that "[t]he state's
Brady
obligation ... extended to any exculpatory evidence
produced by its investigation, including the
[
1552
]
recordings
," and that the state was deemed to have constructive knowledge of the contents of each of those recordings, "regardless of whether the material [was] actually ... reviewed by the department or the state ...." (Emphasis added.)
State
v.
Guerrera
, supra,
In addressing the defendant's
Brady
claim, the Appellate Court appeared to assume without deciding that the 1552
calls, none of which had ever been reviewed by the department or the state, were part of the state's investigatory file such that the state could be charged with constructive knowledge of their contents.
State
v.
Guerrera
, supra,
In support of its conclusion, the Appellate Court cited
State
v.
Colon
,
We granted the defendant's petition for certification to appeal, limited to the issue of whether the Appellate Court correctly determined that the state's attorney had no obligation to examine "[the state's] own investigatory file" for
Brady
material unless the defendant first made an adequate showing that the file contains exculpatory information.
State
v.
Guerrera
, supra,
We begin our review of the defendant's claim with a summary of the law governing our disposition of that claim. The state has a duty under
Brady
to disclose to
the accused evidence that is both favorable to the defense and material to the case. E.g.,
Adams
v.
Commissioner of Correction
,
Consistent with the state's contention, it is apparent that the certified question is predicated on a fundamental misapprehension of the record, namely, that the 1552 calls-none of which was reviewed by the department-were identified and preserved in furtherance of the state's investigation. When questioned by the trial court about this precise issue, Lavery stated that he had locked the calls solely to comply with the defendant's subpoena, in order to ensure that they would not be erased pending a decision on the motions to quash. Moreover, when Lavery was questioned by the department's counsel, he was asked, "[w]as that part of the regular monitoring process to lock those [1552 calls]?" After Lavery responded "no," he was asked, "[o]r is that specific to the subpoena [the defendant] sent?" Lavery responded, "I did it for the subpoena." There is nothing in the trial court record to contradict or otherwise call into question this clear and straightforward testimony that the calls were preserved in accordance with the department's obligation in light of the subpoena that had been served on the department by the defendant, and not as part of the department's monitoring process as requested by the state's attorney.
Furthermore, it is undisputed that the department reviewed only approximately 10 percent of the calls in response to the state's request for monitoring. Because the state never pursued a request that the department review all of the codefendants' calls and never itself undertook to obtain and review any of the remaining calls, the state's investigation with respect to the recordings in the department's possession was limited to the 10 percent of the calls that the department actually did review. Because that review was undertaken by the department at the state's request, the department was acting as an agent or arm of the state in conducting that review, and, as a result, the recordings actually reviewed must be characterized as part of the state's investigatory file. Consequently, the trial court correctly determined that the state's obligations under Brady extended to those particular recordings. There simply is no basis for concluding, however, that the calls that never were reviewed by the department or otherwise obtained by the state, and that were temporarily saved on the department's server for reasons unrelated to the state's investigation, constituted a part of that investigatory file. This is so because, as we have explained, the department was acting as an investigative arm or agent of the state only with respect to the 10 percent of the calls that Lavery reviewed. Put differently, neither the state nor the department took any action with respect to those unreviewed calls that would make the calls part of the state's investigation of the defendant's case; rather, their nature and character as calls recorded solely for the department's internal security and administrative purposes remained unchanged. Accordingly, in the absence of an appropriate showing by the defendant of at least some likelihood that those calls contain exculpatory information, the trial court also correctly determined that the state had no duty under Brady either to examine those calls or to obtain them and make them available to the defendant for his review.
On appeal to the Appellate Court, however, the defendant repeatedly argued that the calls were locked in response to the state's request for monitoring and, therefore, should be deemed to be part of the state's investigatory file. Specifically, the defendant argued that, "[w]hile the trial court found [the department] subject to Brady as an investigative arm of the state's attorney (like the police), it only found that [the department's] Brady obligations extended to the recordings [the department] actually reviewed ... and not to the calls [ the department ] collected on behalf of the state's attorney but did not actually review ...." (Emphasis added.) State v. Guerrera , Conn. Appellate Court Briefs & Appendices, supra, Defendant's Brief p. 9. The defendant further argued that, "[i]n other words, the [department's] actions on behalf of the state's attorney involved both collection on a compact disc ( through the ' locking ' procedure ) and review. Thus, the state's argument [that the department was not acting on behalf of the state when it locked the 1552 calls] fails-the [department] was acting on behalf of the state's attorney in both locking (i.e., preserving) the calls and in reviewing only 10 percent of them." (Emphasis altered.) State v. Guerrera , Conn. Appellate Court Briefs & Appendices, supra, Defendant's Reply Brief p. 4.
In his appeal to this court, the defendant reasserts his contention that the recordings are part of the state's investigatory
file because they were locked in response to the state's request for monitoring.
The defendant also seeks to characterize the following language from the trial court's memorandum of decision as a factual finding that the department locked the calls in response to the state's request for monitoring: "Lavery locked all calls made by the four codefendants from approximately August, 2012, to the present." This statement, however, merely establishes that the calls were locked, not
why
they were locked. It is clear from the record that the trial court was aware that the calls were locked to comply with the defendant's subpoena. Indeed, this information was elicited from Lavery under questioning by both the court itself and counsel for the department. Lastly, the defendant seeks to characterize the following sentence in the state's brief to this court as an admission by the state that the calls were locked at the state's request: "[U]pon receiving the state's request ... Lavery ... took steps to preserve all recorded phone calls and jailhouse visits for all four alleged coconspirators." As we explained, however, this statement is at odds not only
with Lavery's testimony but with all of the state's arguments elsewhere in its brief and in the Appellate Court.
At no time on appeal to the Appellate Court or to this court has the defendant argued that the state had a duty under
Brady
to review the recordings at issue for exculpatory material, even if they were determined
not
to be part of the state's investigatory file. Indeed, in his brief to this court, the defendant takes pains to distinguish the present case from cases such as
United States
v.
Brooks
,
The defendant argues that
Brooks
is inapposite because "[it] involved a defense request for the prosecution to
affirmatively conduct an investigation
that had not yet been performed by affirmatively searching
general
government files," whereas, in the present case, "[t]he defense was not asking the state's attorney or the [department] to perform an investigation that [it was] otherwise unwilling to conduct. The defense simply wanted the state to review the materials it had already gathered in its [own] investigation ...." (Emphasis in original.) Consistent with this contention, the defendant notes that the cases cited in his brief are dissimilar to
Brooks
in that all of them "involve ... investigatory files linked specifically to [the] case,"
rather than the "general government files" at issue in
Brooks
. (Emphasis omitted.) The defendant's argument founders on the fact that the calls at issue in the present case simply are not part of the state's investigatory file. As in
Brooks
, this case involves a defense request-in the form of a subpoena-for a search of a government agency's general files, namely, the department's server, that would not otherwise have been performed but for the defendant's request. Cf.
Stevenson
v.
Commissioner of Correction
,
In sum, the undisputed facts demonstrate that the calls at issue in this case, that is, the 1552 calls that were not reviewed by the department, cannot reasonably be characterized as part of the state's investigatory file. Consequently, the defendant's claim that he was entitled to a review of those calls because they were part of the file must fail. In light of the fact that the defendant has provided no other rationale to support his claim of a Brady violation, and because we are unaware of any such alternative basis for relief, we reject his assertion that the Appellate Court incorrectly concluded that the trial court properly granted in part the state's and the department's motions to quash.
The judgment of the Appellate Court is affirmed.
In this opinion the other justices concurred.
In
Brady
, the United States Supreme Court held that the due process clause of the United States constitution requires the state to disclose "evidence favorable to an accused ... [when] the evidence is material either to guilt or to punishment, irrespective of the good faith or bad faith of the prosecution."
Brady
v.
Maryland , supra,
Although the record is not entirely clear on this point, it does not appear that any of these more than 1500 calls and visits were among the 10 percent of the calls and visits that already had been reviewed by the department at the state's request.
The defendant, who had been tried under three separate informations consolidated for trial, was acquitted of the charges of unlawful restraint in the first degree and conspiracy to commit murder. The jury was unable to reach a verdict as to the charges of murder, felony murder, conspiracy to commit kidnapping in the first degree, and kidnapping in the first degree, and the trial court declared a mistrial as to those charges. In a trial to the court, the defendant was found in violation of probation.
As we explain more fully hereinafter, the state's obligations under
Brady
ordinarily extend only to exculpatory information contained in the state's investigatory file, which includes any exculpatory information known to others actively involved in the investigation. See
Strickler
v.
Greene
,
This court has broad discretion to address any issue within the scope of the certified question, even if the issue was not considered by the Appellate Court. See, e.g.,
McManus
v.
Commissioner of Environmental Protection
,
For ease of reference, we refer hereinafter to the inmate telephone calls and noncontact visits collectively as the calls or recordings.
We note that the record does not reflect whether the department owns or licenses any of the various commercially available software solutions, which are regularly used in the discovery process for civil litigation and in corporate compliance operations, to review or analyze large amounts of digital data at a much faster rate than a human could review the same data.
This estimate was so broad because the department had not determined the length of each call.
Although Lavery did provide notes on one or more of the calls he reviewed at the request of the state's attorney, he apparently did not lock those calls, perhaps because they did not contain any evidence deemed to be inculpatory or exculpatory.
The trial court originally estimated the number of those calls to be 1300. Thereafter, however, the court clarified that there were 1552 such calls.
As we previously noted, the department locked the calls of the defendant's four codefendants in August, 2013, in response to the subpoena issued by the defendant to the department at that time. Because the regular practice of the department prior to July, 2012, was to preserve all calls for only ninety days, it appears that the calls identified in the trial court's order-that is, those that had been reviewed by Lavery-were not preserved. There is no claim by the defendant, however, that any failure to preserve them violated Brady or otherwise was improper.
For example, in his petition for certification to appeal, the defendant asserted that, "[a]fter [the defendant] and the codefendants were arrested, the state's attorney contacted the [department]. At the state's request, [Lavery] 'locked' the recordings of prison calls made by [the defendant] and the codefendants.... [W]hile Lavery created a file (the compact disc) of all of the call recordings, Lavery only actually reviewed about 10 percent of them. The other 90 percent remained within the investigative file of the state's attorney's 'investigative arm,' the [department], but [they were] never reviewed by anyone for exculpatory information." (Emphasis in original.) In his brief to this court, the defendant likewise argues that Lavery "lock[ed] [his codefendants'] calls that were still available after receiving the state's attorney's request [for monitoring]"; Lavery "collected on behalf of the [s]tate's [a]ttorney [the 1552 calls] but did not actually review [them]"; "Lavery did 'lock' calls that were still available after receiving the state's attorney's request" and that "[t]he 'locking' process preserves the calls on compact discs, and Lavery was able to lock all the available calls from the codefendants from August, 2012, forward"; "[t]he fact that the [department] chose to lock the calls for later review in furtherance of its investigative efforts does not bring that action outside the scope of the [department's] agency"; and "the [department's] choice to lock the calls was made in furtherance of the [department's] investigatory efforts and thus within the scope of the agency found by the trial court." (Emphasis omitted.)
At oral argument, the defendant also directed this court's attention to the testimony of Deputy Warden Armando Valeriano, who testified about the department's policies pertaining to the recording and monitoring of inmate phone calls. The defendant argued that Valeriano's testimony is further proof that the 1552 recordings were locked as part of the state's investigation because Valeriano responded "yes" when asked by the trial court, "[w]hen you get a request from the state's attorney's office, as in this case, to monitor calls, are those recordings then preserved [s]o they won't be destroyed or written over in the normal course of business ...?" It is clear, however, that Valeriano was referring to the preservation that occurs automatically, because he then immediately stated that, "[w]ith this new system," inmate calls "are automatically saved for one year. All inmate calls are saved for 365 days," at which time "[t]hat first call drops off.... It's automatic through the system." Thus, Valeriano did not testify that the 1552 calls were retrieved from the server and locked for reasons related to the state's investigation. He merely testified that inmate calls are preserved for a period of one year during which time they are available for review if the department should receive such a request. To the extent that there is any ambiguity in Valeriano's testimony, however, the trial court dispelled it later in the hearing, during its colloquy with Lavery, when it asked him: "I'm a little confused. Help me out here. I thought Deputy Warden Valeriano ... said that once a request comes in all the phone calls are preserved. So when [the state's] request came in [in] March of 2011, [were] all the phone calls [of] the people who you were asked to monitor ... preserved or not?" Lavery responded that they were not preserved.
In
Brooks
, the defendant requested that the government examine certain readily identifiable files of its police department for information relating to the suspicious death of the government's chief witness, a police officer employed by that department whose testimony at an earlier trial, which resulted in a guilty verdict that was overturned when the court granted a motion for new trial, was used to convict the defendant at a second trial.
United States
v.
Brooks
, supra,
See, e.g.,
United States
v.
Price
,
We do not suggest that, if the state has a disclosure obligation under Brady with respect to certain information or materials, that obligation is diminished or reduced depending on how burdensome it may be for the state to discharge that obligation. On the contrary, the state's obligation under Brady is the same irrespective of how onerous or difficult it may be for the state to comply with Brady 's dictates in any given case. The nature of the burden on the state may be considered only in circumstances, akin to those in Brooks , in which the court is asked to require the state to track down information that is not part of the state's investigatory file and otherwise may not fall strictly within the requirements of Brady but that, nevertheless, should, in fairness, be made available to the defense given the nature of the information and the ease with which the state can obtain it.
Concurring Opinion
I fully agree with the majority's determination that the factual premise of the argument of the defendant, Michael Anthony Guerrera, that the 1552 locked audio recordings in the possession of the Department of Correction were part of the state's investigatory file, is not supported by the record. I write separately solely to address an argument asserted by the state that would have been problematic had the records been part of that investigatory file.
As the majority notes, one ground on which the state and the department sought to quash the subpoena was that compliance with it would place an unreasonable burden on the department. The state represented that the review necessary before the recordings could be released to the defendant could take between 200 and 1000 hours, depending on the length of the calls. Any such burden, however, is inconsequential in relation to a defendant's right to favorable evidence that could potentially result in him avoiding years, not hours, of imprisonment. As the majority notes, the state's obligation under
Brady
Finally, had the state limited its request to the department to those time periods that were most likely to produce relevant evidence, rather than making an unlimited, open-ended request, any perceived burden could have been greatly reduced without compromising the state's investigation. If the state is concerned about the burden of review, then it should tailor its requests accordingly.
I therefore respectfully concur.
Brady
v.
Maryland
,
In the age of electronic records, prosecution records can run into the millions, yet the government is not relieved of its
Brady
obligations merely because the records accumulated in its investigation are voluminous. See, e.g.,
United States
v.
Warshak
,
Reference
- Full Case Name
- STATE of Connecticut v. Michael Anthony GUERRERA
- Cited By
- 9 cases
- Status
- Published