State v. Walker
State v. Walker
Opinion
**680 The sole issue in this certified appeal is whether the Appellate Court correctly concluded that the defendant, Eugene L. Walker, failed to establish a violation of his right under the sixth amendment to the United States constitution to confront witnesses against him. Specifically, the defendant asserts that the state **681 violated his right to confrontation by introducing evidence at trial that his DNA profile, which had been generated from a postarrest buccal swab, matched the DNA found on evidence from the crime scene without calling as a witness the analyst who processed the buccal swab and generated the DNA profile used in that comparison.
The defendant's DNA profile was created after his arrest in aid of an ongoing criminal investigation and under circumstances objectively indicating that it was created for the primary purpose of being used as evidence in the defendant's criminal case. In addition, the sole analyst who testified about the DNA evidence at trial neither performed nor observed the analysis of the buccal swab that produced the DNA profile and, therefore, was not a sufficient substitute witness to satisfy the defendant's right to confrontation. We conclude that, under the specific circumstances of this case, the defendant has established a violation of his right to confrontation. As a result, we reverse in part the judgment of the Appellate Court.
The Appellate Court's decision sets forth the following relevant facts, which the jury reasonably could have found. "On the night of October 28, 2012, Anthony Adams, the codefendant in this consolidated trial, telephoned *1247 Alexis Morrison to ask if she knew 'somebody that could sell him some weed.' Morrison called Neville Malacai Registe, the victim, to arrange for him to meet with Adams in the parking lot of her West Haven residence. When the victim received Morrison's telephone call, he was with his friend, Stephon Green, at his mother's home in New Haven. After some time, the victim and Green left in the victim's Acura. As they approached the designated parking lot, the victim called Morrison. Morrison then telephoned Adams to tell him that the victim 'was there.' Adams replied that he had already left because the victim 'took too long ... and that **682 Day-Day and GZ [were] going to get the weed.' 'Day-Day' and 'GZ' were nicknames for Daquane Adams, who is Anthony Adams' cousin, and the defendant, respectively, both of whom Morrison knew.
"When the victim and Green arrived in the parking lot, the victim backed his car into a parking space. Green, who was rolling a marijuana joint in the front passenger seat, looked up and noticed two men approaching the Acura. He returned his attention to his task, and the victim opened the driver's door to talk to one of the men. [That] man, who was wearing a black bandana and who was later identified as the defendant, held a revolver inside the car and said, 'run it,' meaning, 'give me it. It's a robbery ....' A physical altercation ensued. The second man, later identified as Daquane Adams, stepped away from the Acura and placed a cell phone call to someone. A Toyota arrived, and a third man exited that car and asked the defendant for the gun. 1 The struggle over the gun continued inside the victim's Acura, and someone knocked Green into the backseat. Daquane Adams and the third man pulled the defendant out of the [Acura] and, as Green was climbing back into the front passenger seat, a shot was fired. Green heard the victim say, 'oh, shit,' and then heard a second shot.
"The defendant, Daquane Adams, and the third man got in the Toyota and drove toward the parking lot exit. With the victim slumped over in the driver's seat, Green pursued the Toyota. He caught up to it at the end of the street and rammed the Acura into the back of the Toyota. The victim's Acura was disabled, but the Toyota was able to be driven away. The victim died of a gunshot wound to his head." (Footnote in original.)
State
v.
Walker
,
**683 The record reveals the following additional relevant facts and procedural history. In December, 2012, the defendant was arrested and charged with felony murder in violation of General Statutes (Rev. to 2013) § 53a-54c, conspiracy to commit robbery in the first degree in violation of General Statutes §§ 53a-48 (a) and 53a-134, and attempt to commit robbery in the first degree in violation of General Statutes §§ 53a-49 (a) (2) and 53a-134 (a) (2). Anthony Adams and Daquane Adams also were arrested in December, 2012, and were subsequently charged with various offenses.
After the defendant's arrest, the state continued its investigation into the respective roles played by the defendant, Anthony Adams, and Daquane Adams in the shooting. During their initial investigation, the police recovered from the Acura the black bandana that Green identified as having been worn by the man who shot the victim. The police sent the bandana to a laboratory run by the Division of Scientific Services of the Department of Emergency *1248 Services and Public Protection to be analyzed for DNA. In June, 2013, the state filed a motion in the present case requesting that the defendant submit to a buccal swab of his mouth 2 "for purposes of obtaining a DNA sample." The state argued that the DNA "will be of material aid in determining whether the defendant committed the crime of felony murder." The court granted the state's motion, and Tammy Murray, a detective in the West Haven Police Department, took the defendant's buccal swab on June 19, 2013. Murray also took buccal swabs from Anthony Adams and Daquane Adams. 3 Those three buccal swabs, as well as a sample of the victim's blood, were then sent to the laboratory to be analyzed. **684 At the laboratory, Heather Degnan, a supervisory forensic analyst, received the three buccal swabs and the victim's blood sample and sent them to the "known processing group"-a group within the laboratory that processes all known DNA samples to be used in comparisons-to be analyzed. The known processing group generated a DNA profile from each sample and provided the profiles to Degnan. Degnan generated DNA profiles from the bandana, which she then compared with the known profiles that had been provided to her. As a result of that comparison, Degnan determined that the defendant was a major contributor to the DNA on the bandana. The victim, Anthony Adams, and Daquane Adams were eliminated as potential contributors. Degnan memorialized her findings in a "DNA Report" dated August 28, 2013 (report).
After Degnan issued her report linking the defendant to the bandana believed to have been worn by the shooter, the state filed an amended substitute information charging the defendant with the additional crimes of manslaughter in the first degree with a firearm in violation of General Statutes §§ 53a-55 (a) (1) and 53a-55a (a), and criminal possession of a pistol or revolver in violation of General Statutes (Rev. to 2013) § 53a-217c (a) (1).
The envelope containing the defendant's buccal swab that Murray submitted to the laboratory was admitted into evidence. A review of that exhibit reveals that the envelope is labeled with the defendant's name, his right thumbprint, and the words "DNA Buccal Swab Kit." The envelope lists "West Haven P.D." as the submitting agency and displays a notation reading "Incident: Homicide." The envelope identifies the defendant's address as the MacDougall-Walker Correctional Institution.
Following Murray's testimony, the state called Degnan to testify. She began by explaining the standard **685 DNA typing techniques used by the laboratory in generating DNA profiles. She testified that the process involves four steps: (1) extracting DNA from the sample and purifying it of contaminants; (2) quantitating the DNA, i.e., determining the amount of DNA that has been extracted; (3) amplifying the DNA using a thermal cycler machine, i.e., creating many copies of different regions of the DNA; and (4) interpreting the data generated from these steps and constructing the numerical DNA profile, which consists of a series of numbers to designate the "alleles." 4 *1249 Degnan further testified about her analysis and findings. Degnan testified that she personally analyzed the bandana using standard DNA typing techniques. She isolated DNA from both sides of the bandana and generated DNA profiles of at least two contributors, a major contributor and a minor contributor. With respect to the buccal swabs and the victim's blood sample, however, Degnan testified that she did not generate those DNA profiles herself. Degnan explained that the swabs and blood sample were sent to the known processing group, which generated DNA profiles from the samples and then "provided" those profiles to her for comparison with the DNA from the bandana.
Before Degnan testified as to the results of her comparison, defense counsel objected to the admission of this evidence on the ground that Degnan had not been qualified as an expert. During voir dire examinations conducted in the jury's presence, Degnan admitted that she neither participated in the known processing group's analysis of the defendant's buccal swab nor observed the analysis being conducted.
Nonetheless, when asked whether she was "swearing to the accuracy" of the DNA profile provided to her, **686 Degnan responded by saying "[y]es." Degnan further testified that, in addition to the profile itself, the known processing group provided her with "paperwork" indicating that "all of the checkboxes were check[ed]"-that is, that the analyst or analysts who processed the known samples "did it properly, followed standard operating procedures." Degnan confirmed, however, that she "wasn't there" when the known processing group analyzed the defendant's buccal swab.
Ultimately, the trial court overruled the objection and permitted Degnan to testify to the results of her analysis. Degnan testified that, based on her analysis and DNA comparison, the defendant was a major contributor to the DNA found on both sides of the bandana. Degnan's report was admitted into evidence. 5 In the report, Degnan explained that the buccal swab was analyzed in accordance with standard laboratory procedures. The report also contains a table setting forth the numerical profiles generated from the defendant's buccal swab, the bandana, and the victim's blood sample. On the basis of a comparison of these profiles, Degnan concluded that the defendant "is included as a contributor to the DNA profiles" obtained from the bandana. The report was signed by Degnan and Dahong Sun, a "technical reviewer" who reviewed Degnan's work and confirmed the accuracy of her conclusions. The final page of the report, just above Degnan's and Sun's signatures, provides: "This report reflects the test results, conclusions, interpretations, and/or the findings of the analyst as indicated by their signature below." 6 No one from the known processing group testified at trial.
**687
The jury found the defendant guilty of felony murder, manslaughter in the first degree with a firearm, attempt to commit robbery in the first degree, and criminal possession of a pistol or revolver.
7
State
v.
Walker , supra,
The defendant then appealed to the Appellate Court, claiming, inter alia, that he was deprived of his sixth amendment right to confront witnesses against him because the trial court admitted the evidence of Degnan's comparison without requiring an analyst from the known processing group who generated the known DNA profile used in that comparison to testify.
The Appellate Court further concluded, however, that the defendant's claim failed under
Golding
because the admission of the DNA evidence did not violate his constitutional right to confrontation.
**688
Upon our grant of certification to appeal, the defendant claims that the Appellate Court incorrectly concluded that the introduction of the evidence concerning his DNA profile did not violate his confrontation rights.
9
Because the defendant failed to raise a confrontation clause objection in the trial court, we review this claim pursuant to
Golding
. See, e.g.,
State
v.
Smith
,
The first two prongs of Golding are satisfied here. The record is adequate for review, and the defendant's claim is of constitutional magnitude because it implicates his sixth amendment right to confrontation. Furthermore, the state does not attempt to meet its burden of establishing that the error was harmless beyond a reasonable doubt. Accordingly, the sole issue in this appeal concerns the third prong of Golding -namely, whether the *1251 defendant has established a violation of his sixth amendment confrontation rights. **689 The defendant claims that his right to confrontation was violated because the DNA profile generated from his postarrest buccal swab and provided to Degnan for use in a comparison was testimonial hearsay, and the analyst who generated the profile was not made available for cross-examination at trial. As support for this claim, the defendant contends that the evidence of his DNA profile was offered for its truth and was generated for the primary purpose of providing evidence against him in his criminal case. In response, the state contends that the evidence admitted concerning Degnan's DNA comparison was neither hearsay nor testimonial in nature. Alternatively, the state contends that, even if the DNA profile were testimonial hearsay, the defendant's right to confrontation was satisfied because he had the opportunity to cross-examine Degnan, who personally processed the bandana and made the comparison, and who was familiar with the laboratory's standard procedures for conducting DNA analyses. We agree with the defendant that, under the circumstances of this case, the admission of the evidence concerning his DNA profile violated his sixth amendment right to confrontation.
The sixth amendment to the United States constitution, applicable to the states through the fourteenth amendment,
10
provides in relevant part: "In all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him ...." U.S. Const., amend. VI. "In
Crawford
v.
Washington
, [
With these principles in mind, we address the three components of the defendant's confrontation clause claim: (1) whether the evidence was hearsay, (2) whether the evidence was testimonial, and (3) whether the defendant's cross-examination of Degnan was sufficient to satisfy the confrontation clause.
I
The defendant first contends that the evidence of his known DNA profile, which Degnan testified she utilized in making her comparison to the DNA on the bandana, was hearsay. The defendant notes that Degnan neither participated in nor observed *1252 the analysis of his buccal swab that yielded the profile but, instead, relied upon the profile provided to her by the known processing group in conducting her comparison. Therefore, the defendant maintains, Degnan's testimony necessarily introduced the known processing group's hearsay statements about the numerical profile.
In response, the state concedes that the evidence of the defendant's DNA profile was offered for its truth but nonetheless contends that the evidence was not **691 hearsay because Degnan, an expert witness, testified in court to her own independent opinion that the DNA profile was accurate. In other words, the state contends that Degnan's testimony did not introduce any out-of-court statements concerning the profile because Degnan adopted any such statements as her own and was cross-examined about them at trial. We agree with the defendant that the evidence of his DNA profile was hearsay.
"Hearsay" is "a statement,
other than one made by the declarant while testifying at the proceeding
, offered in evidence to establish the truth of the matter asserted." (Emphasis added.) Conn. Code Evid. § 8-1 (3). The confrontation clause "does not bar admission of a statement so long as the declarant is present at trial to defend or explain it."
Crawford
v.
Washington , supra,
Because the state concedes that the evidence of the numerical DNA profile generated from the defendant's buccal swab was offered for its truth, the sole issue in our hearsay analysis is whether Degnan's testimony introduced into evidence the known processing group's out-of-court statements about the profile, as the defendant contends, or merely presented her own, independent opinion that the profile provided to her was accurate.
As a general matter, we acknowledge that expert witnesses such as Degnan may base their testimony on information provided to them by other sources without their testimony necessarily being regarded as introducing hearsay. Indeed, § 7-4 (b) of the Connecticut Code of Evidence provides in relevant part: "The facts in the particular case upon which an expert bases an opinion may be those perceived by or made known to the expert at or before the proceeding. The facts need not be admissible in evidence if of a type customarily relied
**692
on by experts in the particular field in forming opinions on the subject...." The "[i]nadmissible facts upon which experts customarily rely in forming opinions can be derived from sources such as conversations, informal opinions, written reports and data compilations." (Internal quotation marks omitted.)
Milliun
v.
New Milford Hospital
,
Nonetheless, the underlying information upon which the expert's opinion is based may not itself be admitted into evidence for its truth. Indeed, § 7-4 (b) of the Connecticut Code of Evidence further provides in relevant part: "The facts relied on [by the expert] pursuant to this subsection are not substantive evidence, unless otherwise admissible as such evidence." This language "expressly forbids the facts upon which the expert based his or her opinion
*1253
to be admitted for their truth
unless otherwise substantively admissible under other provisions of the Code. Thus, [ § 7-4 ] (b) does not constitute an exception to the hearsay rule or any other exclusionary provision of the Code." (Emphasis in original; internal quotation marks omitted.)
Milliun
v.
New Milford Hospital
, supra,
In criminal cases, the admission of expert testimony that is based upon an out-of-court statement may implicate the confrontation clause if the underlying statement itself is testimonial. Acknowledging these concerns, courts have held that expert witnesses may base their opinions on the testimonial findings of other experts without violating the confrontation clause if those underlying findings are not themselves put before the jury. See
Williams
v.
Illinois
,
**694
State
v.
Griep
,
On the other hand, where the testifying expert explicitly refers to, relies on, or vouches for the accuracy of the other expert's findings, the testifying expert has introduced out-of-court statements that, if offered for their truth and are testimonial in nature, are subject to the confrontation clause. As the District of Columbia Court of Appeals explained in
*1254
Young
v.
United States
,
Therefore, as courts consistently have recognized, expert witnesses cannot be used as conduits for the admission into evidence of the testimonial statements of others. This would permit testifying experts to simply relay the findings of other experts while immunizing those underlying findings from scrutiny on cross-examination. The state cannot "rely on [the testifying witness'] status as an expert to circumvent the [c]onfrontation [c]lause's requirements."
Williams
v.
Illinois , supra,
**696
Commonwealth
v.
Barbosa , supra,
In the present case, Degnan testified at trial to her opinion that the defendant was a contributor to the DNA on the bandana recovered from the crime scene. She based this testimony on her comparison of the DNA profiles she derived from the bandana to the DNA profile generated by the known processing group from the defendant's buccal swab. Degnan performed the analysis of the bandana and conducted the ultimate comparison herself. She was not, however, involved in the analysis of the buccal swab, which was an essential component of the comparison making her opinion possible. There was no comparison without the buccal swab analysis. Rather, the known processing group conducted this analysis and provided the resulting DNA profile to Degnan for her to use in her comparison. Degnan neither participated in nor observed this analysis. There is also no evidence contained within the record indicating that the known processing group provided Degnan with the raw machine data generated from the preliminary stages of the analysis such that **697 Degnan could independently verify that the DNA profile had accurately been constructed. 11 Despite having been uninvolved in the analysis, Degnan relied on that known profile in order to complete her analysis and testified that she was "swearing to the accuracy" of the DNA profile that the known processing group had provided to her.
We agree with the defendant that Degnan's testimony at trial necessarily introduced the out-of-court statements of the known processing group and did not consist merely of her own independent opinion. To be clear, Degnan's testimony about the DNA profiles she generated from the bandana was not hearsay because she conducted these analyses herself. Rather, Degnan explicitly referred to, relied on, and vouched for the quality of work that she did not perform and, in so doing, relayed to the jury the known processing group's out-of-court statements about the defendant's numerical DNA profile. See
People
v.
Austin
,
Moreover, Degnan introduced the known processing group's out-of-court statements by including in her report, which was admitted into evidence without limitation,
**698
the allele numbers comprising the defendant's DNA profile that the known processing group had provided to her. See
Commonwealth
v.
McCowen
,
We therefore do not agree with the state's contention that Degnan's testimony did not introduce any out-of-court statements. In order for Degnan to reach her conclusion that the defendant was a match to the DNA found on the bandana, she had to rely on and incorporate the known processing group's findings into her own. Moreover, the underlying findings of the known processing group upon which she relied were themselves admitted into evidence in multiple forms. Because the state concedes that this evidence was offered for its truth-a concession we think unavoidable-it is hearsay and, if testimonial in nature; see part II of this opinion; implicates the defendant's confrontation **699 rights. Concluding otherwise merely because Degnan is an expert witness would immunize from cross-examination the analyst or analysts of the known processing group who made the critical findings upon which Degnan's comparison was based.
Finally, we note that the Appellate Court concluded that the evidence of the defendant's DNA profile was not offered for its truth but, rather, to explain the assumptions upon which Degnan based her opinion that the defendant's DNA profile matched the DNA found on the bandana.
State
v.
Walker , supra,
As previously noted, however, on appeal to this court the state has conceded, and we agree, that the evidence of the defendant's known DNA profile
was
offered for its truth. The present case therefore does not involve a situation in which the evidence was offered "solely" for the purposes of explaining an expert's assumptions, as the plurality believed to be the case in
Williams
. We note, moreover, that five justices in
Williams
rejected the plurality's hearsay analysis and instead concluded that the evidence of the DNA profile used as part of a comparison was offered for its truth because it lacked
**700
any relevance to the case apart from its truth. See
Williams
v.
Illinois , supra,
II
The defendant next contends that the evidence of his numerical DNA profile was testimonial because it was created for the primary purpose of establishing his guilt at trial. We agree with the defendant that, under the circumstances of this case, the known DNA profile was testimonial.
We begin with the general principles governing our analysis. "[T]he confrontation clause applies only to statements that are testimonial in nature.... As a general matter, a testimonial statement is typically [a] solemn declaration or affirmation made for the purpose of establishing or proving some fact.... Although the United States Supreme Court did not provide a comprehensive definition of what constitutes a testimonial statement in
Crawford
, the court did describe three
**701
core classes of testimonial statements: [1] ex parte in-court testimony or its functional equivalent-that is, material such as affidavits, custodial examinations, prior testimony that the defendant was unable to cross-examine, or similar pretrial statements that declarants would reasonably expect to be used prosecutorially ... [2] extrajudicial statements ... contained in formalized testimonial materials, such as affidavits, depositions, prior testimony, or confessions [and] ... [3] statements that were made under circumstances which would lead an objective witness reasonably to believe that the statement would be available for use at a later trial ...." (Citations omitted; internal quotation marks omitted.)
State
v.
Smith , supra,
"[I]n
Davis
v.
Washington
, [
"In
State
v.
Slater
, [
**702
[I]n focusing on the primary purpose of the communication,
Davis
provides a practical way to resolve what
Crawford
had identified as the crucial issue in determining whether out-of-court statements are
*1258
testimonial, namely, whether the circumstances would lead an objective witness reasonably to believe that the statements would later be used in a prosecution.' " (Citations omitted.)
State
v.
Smith , supra,
With these background principles in mind, our analysis of the testimonial nature of the DNA evidence at issue in the present case requires a review of the trilogy of United States Supreme Court cases applying these principles in the context of forensic evidence-
Melendez-Diaz
v.
Massachusetts
,
In
Melendez-Diaz
, during the defendant's trial on narcotics violations, the prosecution introduced into evidence three laboratory " 'certificates of analysis' " stating that the substance seized from the defendant was cocaine.
Melendez-Diaz
v.
Massachusetts , supra,
In
Bullcoming
v.
New Mexico , supra,
Finally, in
Williams
v.
Illinois , supra,
*1259
database and received notification of a cold hit with the defendant's DNA profile, which had been entered into the database due to an unrelated arrest.
Five justices agreed that the profile from the vaginal swabs relied upon by the analyst to make her comparison was not testimonial but the fifth justice rejected the plurality's "flawed analysis";
**705
Justice Thomas authored a separate opinion concurring in the judgment reiterating his view that the confrontation clause covers only "formalized testimonial materials, such as depositions, affidavits, and prior testimony, or statements resulting from formalized dialogue, such as custodial interrogation." (Internal quotation marks omitted.)
Justice Kagan, writing for the four dissenting justices, concluded that the court's prior decisions in
Melendez-Diaz
and
Bullcoming
compelled the conclusion that the DNA profile in the outside laboratory's report was testimonial because it was "a statement [that] was made for the primary purpose of establishing past events potentially relevant to later criminal prosecution-in other words, for the purpose of providing evidence." (Internal quotation marks omitted.)
Due to the fractured nature of the
Williams
decision, courts have struggled to determine the effect of
Williams
, if any, on the legal principles governing confrontation clause claims. See
United States
v.
James
, supra,
**707 The issue in the present case does not concern the testimonial nature of Degnan's report or DNA comparison. Degnan made the comparison herself and was cross-examined about it at trial. Instead, we must determine whether the defendant's known DNA profile, which was obtained from a postarrest buccal swab and provided to Degnan for her to use in making a comparison to DNA found on crime scene evidence, ranks as testimonial.
As to this specific question, we find persuasive a series of decisions from the New York Court of Appeals. In
People
v.
John
, supra,
The New York Court of Appeals concluded: "[T]he laboratory reports as to the DNA profile generated from the evidence submitted to the laboratory by the police in a pending criminal case were testimonial. The DNA profiles were generated in aid of a police investigation of a particular defendant charged by an accusatory instrument and created for the purpose of substantively proving the guilt of a defendant in his pending criminal action."
**708
analysts" in light of the accompanying evidence request indicating that the basis for the request was that the firearm had been handled by the defendant.
The New York Court of Appeals' subsequent decision in
People
v.
Austin
, supra,
The New York Court of Appeals held that the admission of the criminalist's testimony concerning the DNA profile generated from the defendant's postarrest buccal swab "easily satisfies the primary purpose test." Id., at 104,
We also find instructive the decision of the Supreme Judicial Court of Massachusetts
*1262
in
Commonwealth
v.
McCowen , supra,
The Supreme Judicial Court concluded that "the allele numbers derived from the testing of the known samples by another analyst that were included in [the testifying analyst's] chart were testimonial hearsay, because these were factual findings made by a nontestifying witness for the purpose of investigating the murder." Id., at 483,
**710 Under the basic 'evidentiary purpose' test, that is enough to render the test results testimonial."). 13
In light of the foregoing case law, we conclude that the DNA profile was generated from the defendant's buccal swab for "the primary purpose of creating a record for use at a later criminal trial." (Internal quotation marks omitted.)
State
v.
Sinclair , supra,
The purpose of obtaining the defendant's known DNA profile was to compare it with DNA from the bandana found at the crime scene, which Green indicated had been worn by the person who shot and killed the victim. The defendant's DNA
*1263 profile was, therefore, generated in aid of an ongoing police investigation for the primary-indeed, the sole-purpose of proving a fact in his criminal trial, namely, that his DNA was found on **711 the bandana worn by the shooter. Indeed, after Degnan received the defendant's DNA profile from the known processing group and determined that it matched the DNA from the bandana, thereby implicating the defendant as the shooter, the state charged the defendant with the additional crimes of manslaughter in the first degree with a firearm and criminal possession of a pistol or revolver.
We further conclude that the analyst or analysts of the known processing group who processed the defendant's buccal swab reasonably could have expected that the resulting DNA profile would later be used for prosecutorial purposes. See
Ohio
v.
Clark
, --- U.S. ----,
**712 Additionally, Degnan testified that the known processing group generates DNA profiles for all known samples submitted to the laboratory and then provides those profiles to other analysts who then make the comparisons. In light of this standard practice, it is safe to assume that the analyst who processed the defendant's buccal swab was aware of the likelihood that the resulting DNA profile would be used as part of a comparison with other evidence and, therefore, potentially utilized in a criminal proceeding. Put simply, the police sought the DNA profile as part of an ongoing criminal investigation, and we do not believe that that fact would have been lost on the known processing group.
Finally, a word about formality. We observed in
State
v.
Sinclair , supra,
Indeed, strict adherence to formality requirements may be especially problematic in the context of scientific evidence, as this requirement "can be easily subverted by ... simple omission in the format of the documents, with a design to facilitate their use as evidence in a criminal trial."
People
v.
John
, supra,
The state, relying on the plurality opinion in
Williams
, contends that the defendant's known DNA profile was not testimonial because it did not directly accuse the defendant of any criminal conduct but became accusatory only when compared with the DNA found on the bandana. In
Williams
, the plurality concluded that the DNA profile generated from vaginal swabs of the victim was not to accuse the defendant or create evidence at trial because "no one at [the laboratory] could have possibly known that the profile that it produced would turn out to inculpate [the defendant]-or for that matter, anyone else whose DNA profile was in a law enforcement database."
Williams
v.
Illinois , supra,
We disagree. This line of reasoning was foreclosed by
Melendez-Diaz
, which, as previously explained,
**714
remains controlling in the present case due to the lack of any definitive holding in
Williams
. See
State
v.
Sinclair , supra,
Indeed, citing this portion of
Melendez-Diaz
, five justices in
Williams
rejected the plurality's rationale and concluded that DNA analyses may be testimonial regardless of whether they are inherently inculpatory.
Williams
v.
Illinois , supra,
The state further contends, again relying on the plurality opinion in
Williams
, that the DNA profile is not testimonial because "numerous technicians" worked on the defendant's known DNA profile and that, "[w]hen the work of a lab is divided up in such a way, it is likely that the sole purpose of each technician is simply to perform his or her task in accordance with accepted procedures."
Williams
v.
Illinois , supra,
We are not persuaded. As a factual matter, nothing in the record indicates whether multiple analysts from the known processing group analyzed the buccal swab, as opposed to a single analyst. This aspect of
Williams
is, therefore, not implicated in the present case. Moreover, as a matter of law, not only are we not bound by the result in
Williams
; see
State
v.
Sinclair , supra,
To be sure, "[c]onfrontation is designed to weed out not only the fraudulent analyst, but the incompetent one as well."
Melendez-Diaz
v.
Massachusetts , supra,
Accordingly, we conclude that the evidence of the DNA profile generated by the known processing group from the defendant's postarrest buccal swab was testimonial hearsay.
III
Finally, the state contends that the defendant's right to confrontation was satisfied in this case because Degnan, the laboratory supervisor who was familiar with the standard DNA testing procedures, testified and was subject to cross-examination. We disagree.
The state's argument that Degnan was a sufficient substitute witness is incompatible with
Bullcoming
v.
New Mexico , supra,
Degnan, although familiar with the devices used to process DNA and the laboratory's standard testing procedures, did not conduct the analysis of the defendant's buccal swab or observe the analysis being conducted. Accordingly, although defense counsel cross-examined Degnan about the methods she used when analyzing the bandana and comparing the profiles, he could not cross-examine her about the analysis of the buccal swab or the methods employed by the known processing group in generating that profile. See
People
v.
Austin
, supra,
The state relies on a line of cases from other jurisdictions generally holding that the confrontation clause can be satisfied through the testimony of a supervisory analyst who reviewed the data prepared by the nontestifying analyst and formed his or her own opinion concerning that analyst's conclusions. See, e.g.,
Commonwealth
v.
Yohe
,
**719 In the present case, the record provides no basis for the claim that Degnan was provided with the raw data prepared by the known processing group and came to her own conclusion concerning the defendant's DNA profile. Degnan did testify that the known processing group provided "paperwork" to her so that she "could see that all of the checkboxes were check[ed], that they did it properly, followed standard operating procedures." This testimony merely establishes, however, that the known processing group represented to Degnan that they followed proper procedures during testing. As to the numerical profile produced from that testing, there is no evidence Degnan did anything at trial other than simply relay to the jury the profile that had been provided to her. Degnan was, therefore, not a sufficient substitute witness to satisfy the defendant's right to confrontation.
We observe that this opinion does not conclude that all analysts who participate in the process of generating a DNA profile necessarily must testify. We simply conclude that, where the generation of a DNA profile is testimonial, "at least one analyst with the requisite personal knowledge must testify."
People
v.
John
, supra,
Because the state did not do so in the present case, we conclude that the defendant has established a violation of his sixth amendment right to confront the witnesses **720 against him. As the state has not asserted that this error is harmless beyond *1268 a reasonable doubt, the defendant is entitled to a new trial under Golding .
The judgment of the Appellate Court is reversed insofar as that court upheld the defendant's conviction as to the charges of felony murder, attempt to commit robbery in the first degree, and criminal possession of a pistol or revolver, and the case is remanded to that court with direction to reverse the trial court's judgment with respect to those charges and to remand the case to the trial court for a new trial.
In this opinion the other justices concurred.
"The Toyota was [determined] to belong to Ronja Daniels, Daquane Adams' girlfriend. Daniels testified that earlier that night, Daquane Adams had dropped her off at work and borrowed her car."
State
v.
Walker
,
A buccal swab involves rubbing a Q-tip like instrument along the inside of the cheek to collect epithelial cells.
At trial, Murray testified that she followed the standard procedures when taking the buccal swabs from the defendant, Daquane Adams, and Anthony Adams.
"An allele is defined as one or two or more alternative forms of a gene." (Internal quotation marks omitted.)
State
v.
Pappas
,
References to Anthony Adams and Daquane Adams were redacted from the report.
Degnan also entered the numerical DNA profile of the major contributor to the DNA found on the bandana into the Connecticut and national DNA databases, which returned a "hit" on the defendant because the defendant's DNA had previously been entered into the database as a result of a prior felony conviction. Evidence of this match, however, was not offered into evidence at trial.
The defendant was acquitted of the charge of conspiracy to commit robbery.
The Appellate Court also concluded that "the defendant's conviction of felony murder and manslaughter violate[d] his constitutional protections against double jeopardy" and remanded the case with direction to vacate the defendant's conviction with respect to the latter.
State
v.
Walker , supra,
Specifically, we granted the defendant's petition for certification to appeal, limited to the following issue: "Did the Appellate Court properly determine that the defendant's sixth amendment right to confrontation was not violated by testimony from a lab analyst regarding a known DNA profile generated from a swab processed by another analyst who did not testify at trial?"
State
v.
Walker
,
Pointer
v.
Texas
,
Although Degnan testified that the known processing group provided her with "paperwork" indicating that the group had "followed standard operating procedures," there is no evidence that Degnan independently verified the accuracy of the profile beyond simply relying on the group's representation that they adhered to standard protocol. See part III of this opinion.
As an independent basis for concluding that the admission of the DNA evidence did not violate the confrontation clause, the plurality reasoned that, to the extent the substance of the outside laboratory's report was admitted into evidence-the report itself was not offered as an exhibit-it was offered not for its truth but, rather, to explain the assumptions upon which the testifying analyst based her expert opinion that the DNA profile from the vaginal swabs matched the defendant's DNA.
Williams
v.
Illinois , supra,
The state relies on
State
v.
Ortiz
,
Reference
- Full Case Name
- STATE of Connecticut v. Eugene L. WALKER
- Cited By
- 17 cases
- Status
- Published
- Syllabus
- Convicted of the crimes of felony murder, manslaughter in the first degree with a firearm, attempt to commit robbery in the first degree, and criminal possession of a pistol or revolver in connection with the shoot- ing death of the victim, the defendant appealed to the Appellate Court, claiming that his federal constitutional right to confront the witnesses against him had been violated by the admission of certain evidence connecting him to the shooting. At trial, a supervisory forensic analyst employed by the state, D, testified that the defendant was a major contributor to the DNA on a bandana that had been found at the crime scene and that allegedly had been worn by the person who shot the victim. In conjunction with D's testimony, the state also introduced into evidence a written report signed by D containing specific numerical DNA profiles from the bandana and a postarrest buccal swab of the defendant's mouth that had previously been conducted pursuant to a court order. D testified that, although she analyzed the DNA on the bandana and conducted the ultimate comparison, the numerical DNA profile from the defendant's buccal swab had been generated by another forensic analyst or analysts. Although D had neither participated in nor observed the analysis of the defendant's buccal swab, D testified that she had received paperwork showing that standard laboratory proce- dures had been followed and explicitly swore to the accuracy of the resulting numerical DNA profile. On appeal to the Appellate Court, the defendant claimed that the evidence regarding the numerical DNA profile that had been presented through D contained testimonial hearsay and that he had been deprived of his right to confrontation because the state had failed to call a witness with personal knowledge of the testing of the buccal swab. The Appellate Court rejected that claim, concluding that, because D had conducted the ultimate analysis and made the resulting findings that connected the defendant's DNA to the bandana, and because D testified and was subjected to cross-examination at trial, the defendant's right to confrontation had not been violated. Although the Appellate Court vacated the defendant's manslaughter conviction on a separate ground, it affirmed the trial court's judgment in all other respects. On the granting of certification, the defendant appealed to this court, claiming that the introduction of evidence concerning his numerical DNA profile through D's testimony violated his right to con- frontation. Held that the Appellate Court incorrectly concluded that the admission of D's testimony concerning the numerical DNA profile from the defendant's buccal swab did not violate the defendant's right to confrontation, and, because the state did not advance a claim of harmless error, the defendant was entitled to a new trial: D's testimony, which did not consist merely of her own independent opinion, introduced to the jury the other analyst's or analysts' out-of-court statements about the defendant's numerical DNA profile, as D had explicitly referred to, relied on, and vouched for the accuracy of work by the other analyst or analysts that she did not perform or otherwise observe, and such evidence constituted hearsay in light of the state's concession that it was offered to prove the truth of the matter asserted; moreover, the evidence relating to the defendant's numerical DNA profile was testimo- nial in nature because it was created for the primary purpose of establish- ing the defendant's guilt at trial, as the buccal swab was performed after the defendant had been arrested and charged with various crimes, was obtained by court order for comparison with any DNA found on the bandana discovered at the crime scene, and was processed in such a way that the evidentiary purpose of the buccal swab analysis would have been readily apparent to the analyst or analysts who conducted it; furthermore, although all analysts who participate in the process of generating a DNA profile need not testify, the state must call as a witness an analyst with personal knowledge concerning the accuracy of a numerical DNA profile, and, because D simply relayed to the jury the DNA profile that had been provided to her by the analyst or analysts and did not possess such knowledge with respect to the processing of the defendant's buccal swab, D was not a sufficient substitute witness for purposes of the right to confrontation. Argued January 23—officially released August 13, 2019