State v. Ruocco
Opinion
PALMER, J.
After a jury found the defendant, Dustin Ruocco, guilty of burglary in the third degree and larceny in the third degree,
the Appellate Court reversed his conviction upon concluding that it was plain error for the trial court not to instruct the jury, as mandated by General Statutes § 54-84(b),
1
that it may draw no unfavorable inferences from the defendant's failure to testify.
State v. Ruocco,
The opinion of the Appellate Court, as supplemented by the record, sets forth the following facts that the jury reasonably could have found. "The defendant and his girlfriend, Denise Cintron, rented a basement apartment from Thomas Blake in [the town of] East Haven. Blake's property is immediately adjacent to property owned by Donald Gennette (Donald) and Maria Gennette (Maria). There is a shed in the backyard of the Gennettes' property located approximately twenty feet from the Gennette-Blake property line.
"On May 5, 2011, Donald and Maria went to work at 6:20 a.m. and 7:15 a.m., respectively. Maria returned home at 11:40 a.m. to take care of her grandchild while her son went to work. Upon arriving home, Maria observed the defendant and Cintron sitting in the defendant's vehicle, a red Toyota Corolla. Maria then took her dog for a walk in her backyard and observed that the defendant's car, although on the Blake property, was parked immediately next to the Gennette-Blake property line. Maria noted that the defendant's car was parked in close proximity to her shed and that the location of the car was unusual because she had never seen the car parked there before. Maria observed that Cintron was now alone in the vehicle.
"Cintron exited the vehicle and began to ask Maria questions about her dog. This interaction was unusual, according to Maria, because Cintron had never spoken to her during the nine months that Cintron had resided on the Blake property. After Cintron ... questioned her for about two minutes, Maria went back inside her house. Approximately ten minutes later, at 12:15 p.m., Maria, her son, and [her] grandchild departed, leaving no one in the house. Upon leaving, Maria observed that the defendant's car had not moved.
"Maria returned home at 3:15 p.m. and noticed that an exterior light on the shed was turned on, which she described as unusual. Donald, an experienced electrician, explained how he had wired the exterior light on the shed. He explained that a switch inside the shed controls the exterior light. If the switch is in one position, the light stays on continuously. If the switch is in the other position, the light is controlled by a motion sensor mounted on the exterior of the shed. The motion sensor will [cause] the light [to turn] on if someone moves in front of [the sensor]. He explained, however, that he configured the motion sensor so that it is disabled while it is light outside. The only explanation for the light being on during the day is that someone went inside the shed and put the switch in the position that turns the light on continuously. According to Donald, on May 5, 2011, the exterior light was off when he left for work and should have remained off throughout the day.
"Donald was 'suspicious' after Maria told him that the defendant's car had been parked on the property line and that the exterior light on the shed was on when she arrived home. Donald went into the shed and noticed [that] several items were missing. He immediately called the police and spoke with his neighbor, [Ricardo] Gallo, who resides on the other side of the Gennettes' property. Gallo was unemployed at the time and testified that he was home painting his son's room on the date in question.
"At 2 p.m. on May 5, 2011, Gallo observed the defendant enter the Gennettes' shed, remove items from it, and place them in the trunk of [his] car, which was parked in close proximity to the Gennette-Blake property line. Gallo stated that, although he observed someone other than one of the Gennettes removing items from their shed, he '[did not] want to assume that [the defendant] was stealing' because it was possible that the defendant was assisting Donald with his work as an electrician. Gallo later reported his observations to the police after Donald notified him that he called to report the burglary.
"Officer Craig Michalowski of the East Haven Police Department responded and met with Donald, Maria, Gallo, and Blake. Donald told Michalowski that the following items were taken from his shed: (1) a chain saw; (2) a miter saw; (3) a drill; and (4) a 'cordless kit' containing a drill and two saws. The next day, after Donald conducted a more thorough search of the shed, he reported to the police that he was also missing (1) sixty to seventy feet of 'two aught' copper wire, (2) 'a couple [of] rolls' of 'number two' wire, (3) approximately 750 feet of yellow 'Romex' wire, and (4) approximately 750 feet of white 'Romex' wire. Donald had this wire on hand in order to perform a specific modification to his house's electrical system.
"After his initial investigation, Michalowski identified the defendant as a potential suspect.... He continued the investigation by checking the records from area scrap yards and pawn shops in order to determine whether the defendant sold any of the items taken from the shed. Michalowski explained that when someone sells something to either a scrap yard or [a] pawn shop, the businesses keep a record of the date and time of the sale, the item sold, and the seller's name and address. The businesses send these records to the police department approximately every six weeks. Michalowski checked the records on file at the police department and found that, at 6:55 a.m. on the day after the burglary, the defendant sold wire to a scrap yard that was consistent with the type of wire reported missing from the Gennettes' shed.
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PALMER, J.
After a jury found the defendant, Dustin Ruocco, guilty of burglary in the third degree and larceny in the third degree,
the Appellate Court reversed his conviction upon concluding that it was plain error for the trial court not to instruct the jury, as mandated by General Statutes § 54-84(b),
1
that it may draw no unfavorable inferences from the defendant's failure to testify.
State v. Ruocco,
The opinion of the Appellate Court, as supplemented by the record, sets forth the following facts that the jury reasonably could have found. "The defendant and his girlfriend, Denise Cintron, rented a basement apartment from Thomas Blake in [the town of] East Haven. Blake's property is immediately adjacent to property owned by Donald Gennette (Donald) and Maria Gennette (Maria). There is a shed in the backyard of the Gennettes' property located approximately twenty feet from the Gennette-Blake property line.
"On May 5, 2011, Donald and Maria went to work at 6:20 a.m. and 7:15 a.m., respectively. Maria returned home at 11:40 a.m. to take care of her grandchild while her son went to work. Upon arriving home, Maria observed the defendant and Cintron sitting in the defendant's vehicle, a red Toyota Corolla. Maria then took her dog for a walk in her backyard and observed that the defendant's car, although on the Blake property, was parked immediately next to the Gennette-Blake property line. Maria noted that the defendant's car was parked in close proximity to her shed and that the location of the car was unusual because she had never seen the car parked there before. Maria observed that Cintron was now alone in the vehicle.
"Cintron exited the vehicle and began to ask Maria questions about her dog. This interaction was unusual, according to Maria, because Cintron had never spoken to her during the nine months that Cintron had resided on the Blake property. After Cintron ... questioned her for about two minutes, Maria went back inside her house. Approximately ten minutes later, at 12:15 p.m., Maria, her son, and [her] grandchild departed, leaving no one in the house. Upon leaving, Maria observed that the defendant's car had not moved.
"Maria returned home at 3:15 p.m. and noticed that an exterior light on the shed was turned on, which she described as unusual. Donald, an experienced electrician, explained how he had wired the exterior light on the shed. He explained that a switch inside the shed controls the exterior light. If the switch is in one position, the light stays on continuously. If the switch is in the other position, the light is controlled by a motion sensor mounted on the exterior of the shed. The motion sensor will [cause] the light [to turn] on if someone moves in front of [the sensor]. He explained, however, that he configured the motion sensor so that it is disabled while it is light outside. The only explanation for the light being on during the day is that someone went inside the shed and put the switch in the position that turns the light on continuously. According to Donald, on May 5, 2011, the exterior light was off when he left for work and should have remained off throughout the day.
"Donald was 'suspicious' after Maria told him that the defendant's car had been parked on the property line and that the exterior light on the shed was on when she arrived home. Donald went into the shed and noticed [that] several items were missing. He immediately called the police and spoke with his neighbor, [Ricardo] Gallo, who resides on the other side of the Gennettes' property. Gallo was unemployed at the time and testified that he was home painting his son's room on the date in question.
"At 2 p.m. on May 5, 2011, Gallo observed the defendant enter the Gennettes' shed, remove items from it, and place them in the trunk of [his] car, which was parked in close proximity to the Gennette-Blake property line. Gallo stated that, although he observed someone other than one of the Gennettes removing items from their shed, he '[did not] want to assume that [the defendant] was stealing' because it was possible that the defendant was assisting Donald with his work as an electrician. Gallo later reported his observations to the police after Donald notified him that he called to report the burglary.
"Officer Craig Michalowski of the East Haven Police Department responded and met with Donald, Maria, Gallo, and Blake. Donald told Michalowski that the following items were taken from his shed: (1) a chain saw; (2) a miter saw; (3) a drill; and (4) a 'cordless kit' containing a drill and two saws. The next day, after Donald conducted a more thorough search of the shed, he reported to the police that he was also missing (1) sixty to seventy feet of 'two aught' copper wire, (2) 'a couple [of] rolls' of 'number two' wire, (3) approximately 750 feet of yellow 'Romex' wire, and (4) approximately 750 feet of white 'Romex' wire. Donald had this wire on hand in order to perform a specific modification to his house's electrical system.
"After his initial investigation, Michalowski identified the defendant as a potential suspect.... He continued the investigation by checking the records from area scrap yards and pawn shops in order to determine whether the defendant sold any of the items taken from the shed. Michalowski explained that when someone sells something to either a scrap yard or [a] pawn shop, the businesses keep a record of the date and time of the sale, the item sold, and the seller's name and address. The businesses send these records to the police department approximately every six weeks. Michalowski checked the records on file at the police department and found that, at 6:55 a.m. on the day after the burglary, the defendant sold wire to a scrap yard that was consistent with the type of wire reported missing from the Gennettes' shed.
"The defendant was arrested on June 14, 2011, and charged with burglary in the third degree and larceny in the third degree. At trial, the defendant [who did not testify, presented an alibi witness who claimed that the defendant was with him at the time of the alleged burglary. The defendant also] argued that Donald had lied about the amount of wire taken in order to defraud his insurance company. He specifically argued that Donald's account of the amount and value of the wire taken from the shed was inconsistent. Moreover, the defendant argued that the amount of wire purportedly in the shed was disproportionate to the amount necessary to modify the electrical system for the Gennettes' house, as Donald had claimed. [In addition, the defendant maintained that the amount of wire and tools Donald claimed had been stolen could not have fit inside the trunk of the defendant's vehicle. In light of the foregoing, the defendant
further argued that] the state did not prove beyond a reasonable doubt that the property taken was worth more than $2000, the amount necessary to [sustain a conviction] of larceny in the third degree pursuant to [General Statutes] § 53a-124 (a)(2)." (Footnotes omitted.)
State v. Ruocco,
supra,
At the conclusion of the evidentiary portion of the trial, the court instructed the jury on the governing legal principles. Although the defense made no contrary request, the trial court did not instruct the jury, as required by § 54-84(b), that it could draw no unfavorable inferences from the defendant's failure to testify. Thereafter, the jury returned a verdict of guilty on both counts, and the trial court rendered judgment in accordance with the verdict.
The defendant appealed to the Appellate Court, claiming, inter alia, that the trial court's failure to instruct the jury in accordance with § 54-84(b) was plain error entitling him to a new trial. The Appellate
Court agreed, stating in relevant part: "[T]he total omission of the no adverse inference instruction is plain error that is not subject to a harmless error analysis. The unconditional language of the statute is a legislative mandate, and the failure to use that language is a pivotal aspect of the defendant's privilege against self-incrimination. The statutory language is based on a constitutional right, and its omission can never be harmless."
2
(Internal quotation marks omitted.) Id., at 743-44,
On appeal, the state contends that the Appellate Court incorrectly determined that the total omission of the statutorily required no adverse inference instruction was not subject to harmless error analysis. The state further maintains that, if the Appellate Court had undertaken such an analysis, as it was required to do, it would have recognized that the defendant was not prejudiced by the omission of the required instruction because "the balance of the instructions facilitated the appropriate application of the law" and because the evidence of the defendant's guilt was so overwhelming that the verdict would have been the same even if the instruction had been given. We are not persuaded.
The following legal principles guide our analysis of the state's claim. "It is well established that the plain error doctrine, codified at Practice Book § 60-5, is an extraordinary remedy used by appellate courts to rectify errors committed at trial that, although unpreserved [and nonconstitutional in nature], are of such monumental proportion that they threaten to erode our system of justice and work a serious and manifest injustice on the aggrieved
party. [T]he plain error doctrine ... is not ... a rule of reviewability. It is a rule of reversibility. That is, it is a doctrine that this court invokes in order to rectify a trial court ruling that, although either not properly preserved or never raised at all in the trial court, nonetheless requires reversal of the trial court's judgment ... for reasons of policy.... In addition, the plain error doctrine is reserved for truly extraordinary situations [in which] the existence of the error is so obvious that it affects the fairness and integrity of and public confidence in the judicial proceedings." (Footnote omitted; internal quotation marks omitted.)
State v. Jamison,
"Although a complete record and an obvious error are prerequisites for plain error review, they are not, of themselves, sufficient for its application.... [I]n addition to examining the patent nature of the error, the reviewing court must examine that error for the grievousness of its consequences in order to determine whether reversal under the plain error doctrine is appropriate." (Internal quotation marks omitted.)
"This court has had a number of opportunities to review the failure of a trial court to incorporate the requirements of § 54-84(b) into its instructions to the jury. In none of these cases had the defendant taken an exception at trial. In each of them we chose to review the claim on its merits. [See, e.g.] ...
State v. Tatem,
State v. Carrione,
(Internal quotation
marks omitted.)
State v. Townsend,
In
State v. Sinclair,
supra,
We also need not decide that question today because, even if a violation of § 54-84(b) is subject to harmless error analysis, the state cannot establish that the violation in the present case was harmless beyond a reasonable doubt. As we previously indicated, the defendant presented an alibi witness who testified that the defendant was with him at the time of the alleged burglary. Inconsistencies in Donald's testimony regarding the amount of wire that was taken and what he planned to do with it also lent support to the defendant's contention that Donald, with the assistance of Gallo, had lied to the police about the burglary in order to defraud Donald's insurance company. Thus, although the state's case was sufficient to support the jury's finding of guilt-in addition to the testimony of Donald and Maria, there was other testimony that, after the burglary, the defendant sold a small quantity of electrical wire "consistent"
with the wire that was reported missing-it was not so ironclad that we can conclude, as a matter of law, that the instructional omission was harmless.
Our conclusion is consistent with our decision in
State v. Dudla,
Finally, we reject the state's contention that the defendant was not prejudiced by the omission of the instruction because "the balance of the instructions facilitated the appropriate application of the law." Specifically, the state argues that, because the jury was instructed regarding the presumption of innocence and
the state's burden of proof, and because the jury is presumed to have followed those instructions, there is no reasonable probability that the jurors would have speculated as to the defendant's reasons for not testifying. In support of this claim, the state also relies on the fact that, during voir dire, the venire panel was instructed not to "hold [it] against him" if the defendant decided not to take the stand. As the state acknowledges, however, this court has considered whether the charge as a whole, including instructions given during voir dire, adequately conveyed the substance of the instruction mandated by § 54-84(b) when that charge included an instruction that deviated only slightly from the statutory language. See, e.g.,
State v. Marra,
The judgment of the Appellate Court is affirmed.
In this opinion ROGERS, C.J., and ZARELLA, EVELEIGH and McDONALD, Js., concurred.
ESPINOSA, J., with whom ROBINSON, J., joins, dissenting.
I respectfully disagree with the decision of the majority to affirm the judgment of the Appellate Court, which reversed the judgment of conviction of the defendant, Dustin Ruocco, on the ground that the trial court committed plain error by failing to instruct the jury, as mandated by General Statutes § 54-84(b),
1
that it may draw
no unfavorable inferences from the defendant's failure to testify at his trial on charges of burglary in the third degree and larceny in the third degree.
State v. Ruocco,
I
I begin with the state's claim, not reached by the majority, that the Appellate Court improperly concluded that a new trial is required when there is a complete failure by the trial court to provide the instruction mandated by § 54-84(b).
2
The state argues that the Appellate Court's decision in
State v. Suplicki,
supra,
Determination of a remedy for a statutory violation presents a question of statutory interpretation over which our review is
plenary. See
Ulbrich v. Groth,
The statutory language at issue in this appeal provides in relevant part: "Unless the accused requests otherwise, the court shall instruct the jury that they may draw no unfavorable inferences from the accused's failure to testify...." General Statutes § 54-84(b). The statute, however, does not set forth a specific appellate remedy for a trial court's complete failure to give the mandatory "no adverse inference" instruction, and, in particular, whether a trial court's failure to administer the prescribed instruction requires reversal in all cases. In "interpreting [statutory] language ... we do not write on a clean slate, but are bound by our previous judicial interpretations of this language and the purpose of the
statute." (Internal quotation marks omitted.)
Commissioner of Public Safety v. Freedom of Information Commission,
Observing that this court had left the question open in
State v. Sinclair,
supra,
The Appellate Court's error in
Suplicki,
however, is understandable when viewed in the context of this court's preceding decisions in
State v. Burke,
supra,
I believe that we must view § 54-84(b) through the lens of the constitutional right that it seeks to effectuate, namely, the right to a jury instruction embodied by
Carter v. Kentucky,
Thus, I find it instructive that all federal courts, and the vast majority of state courts, that have considered the issue hold that a trial court's failure to give a no adverse inference instruction when requested by a defendant as set forth in
Carter v. Kentucky,
The authorities that I have found holding to the contrary, from Alabama, Pennsylvania, and New York, lack persuasive value because they are either conclusory or
predated and, therefore, do not consider the development of harmless error jurisprudence under
Carter v. Kentucky,
In contrast to the unpersuasive decisions of those courts following the minority approach, those courts adopting the majority approach reason that a trial court's "failure to give a requested ... instruction" pursuant to
Carter v. Kentucky,
Moreover, the notion of per se reversibility for failure to instruct under § 54-84(b) is wholly inconsistent with the plain error doctrine, which, "codified at Practice Book § 60-5, is an extraordinary remedy used by appellate courts to rectify errors committed at trial that, although unpreserved, are of such monumental proportion that they threaten to erode our system of justice and work a serious and manifest injustice on the aggrieved party. [T]he plain error doctrine ... is not ... a rule of reviewability. It is a rule of reversibility. That is, it is a doctrine that this court invokes in order to rectify a trial court ruling that, although either not properly preserved or never raised at all in the trial court, nonetheless requires reversal of the trial court's judgment, for reasons of policy.... In addition, the plain error doctrine is reserved for truly extraordinary situations [in which] the existence of the error is so obvious that it affects the fairness and integrity of and public confidence in the judicial proceedings.... Plain error is a doctrine that should be invoked sparingly.... Implicit in this very demanding standard is the notion ... that invocation of the plain error doctrine is reserved for occasions requiring the reversal of the judgment under review....
"An appellate court addressing a claim of plain error first must determine if the error is indeed plain in the sense that it is patent [or] readily discernable on the face of a factually adequate record, [and] also ... obvious in the sense of not debatable.... This determination clearly requires a review of the plain error claim presented in light of the record.
"Although a complete record and an obvious error are prerequisites for plain error review, they are not, of themselves, sufficient for its application.... [I]n
addition to examining the patent nature of the error, the reviewing court must examine that error for the grievousness of its consequences in order to determine whether reversal under the plain error doctrine is appropriate. A party cannot prevail under plain error unless it has demonstrated that the failure to grant relief will result in manifest injustice.... In
State v. Fagan,
[
On this point, I find instructive this court's recent decisions in
State v. Sanchez,
supra,
State
v. Sanchez,
supra, 80, at 83-84,
Accordingly, I conclude that a trial court's failure to give the instruction required by § 54-84(b) is not some unique species of plain error requiring reversal without regard to the manifest injustice caused by the omission, as embodied by the harmfulness of the error. This is particularly so given the statute's "constitutional underpinnings," which necessarily encompass an inquiry into whether the state has proven the error harmless beyond
a reasonable doubt.
13
State v. Day,
supra,
II
I now turn to whether the state proved beyond a reasonable doubt that the trial court's failure to instruct the jury in accordance with § 54-84(b) was harmless error. Given the overwhelming evidence in this case, and with the inconsistencies cited by the majority being ultimately irrelevant to the central question before the jury, I conclude that the trial court's failure to provide a no adverse inference instruction pursuant to § 54-84(b) was harmless error.
Although much of the evidence is circumstantial, it is as overwhelming as the apocryphal morning snow on the ground. See, e.g.,
State v. Perkins,
I conclude that the cumulative strength of the evidence in this case renders it distinguishable from
State v. Dudla,
Finally, I note that the state's closing arguments treaded nowhere near mentioning the defendant's failure to testify; see, e.g.,
Griffin v. California,
Footnotes
144 A.3d 354 (State v. Ruocco) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.