NORCOTT, J.
The defendant, Cameron M., appeals
The record reveals the following relevant facts and procedural history. The jury reasonably could have found that, over the course of several months between 2006 and 2007, the defendant engaged in oral sexual contact with the buttocks and genitals of the victim, his daughter, when she was approximately two and one-half to three years old. These acts occurred while the defendant was caring for the victim and her older sister, H, pursuant to a joint custody arrangement with their mother, S, who is the defendant's former wife. The defendant's acts came to light in April, 2007, after the victim, while being dressed by S, spontaneously reported to S that "Daddy kisses me in my butt," and subsequently demonstrated on a doll that the defendant had kissed her between her legs. S, on the advice of Sherry D'Elia, a family therapist, reported the victim's allegations
Shortly thereafter, the department referred the victim to the Danbury Regional Child Advocacy Center (child advocacy center), to be interviewed and examined by a multidisciplinary investigative team, constituted pursuant to General Statutes § 17a-106a,
During the forensic interview, while discussing with Meyers where various relatives kiss her, the victim stated that the defendant "kiss right on my butt," including on her "butt cheeks." She then demonstrated using anatomically correct dolls that the defendant would kiss "inside" and "put his [face] in my butt," indicating that the defendant would put his mouth between her legs and bite and kiss her genital area.
The state charged the defendant in a four count information with: (1) one count of sexual assault in the fourth degree in violation of General Statutes § 53a-73a (a)(1)(A); (2) one count of risk of injury to a child in violation of § 53-21(a)(2) for having "contact with the intimate parts of [the victim] ... in a sexual and indecent manner likely to impair [her] health or morals"; (3) one count of risk of injury to a child in violation of § 53-21(a)(2) for causing the victim to contact the defendant's genital area; and (4) one count of risk of injury to a child in violation of § 53-21(a)(1), for "[wilfully] and unlawfully causing [the victim] to be placed in such a situation that [her] morals ... were likely to be impaired...."
At trial, the victim, who was then six years old, testified that she remembered the interview taking place, but not its content,
After the victim testified, the trial court concluded that her disclosures to S, and the forensic interview, were admissible under both Crawford and the tender years exception. In so concluding, the court relied on State v. Arroyo, 284 Conn. 597, 935 A.2d 975 (2007); see footnote 19 of this opinion; and specifically rejected the defendant's claim that the forensic interview was "testimonial" or "made in preparation for a legal proceeding."
On appeal, the defendant claims that: (1) the trial court improperly admitted the forensic interview into evidence; and (2) his convictions on counts two and four of the information violate his constitutional protections against double jeopardy.
We begin with the defendant's claims that the forensic interview was inadmissible under both Crawford v. Washington, supra, 541 U.S. at 36, 124 S.Ct. 1354 and the tender years exception as a statement made in preparation for a legal proceeding. Specifically, the defendant argues that: (1) the interview was inadmissible under the tender years exception, which must be read consistently with the preclusion in Crawford of testimonial hearsay, and that our decision in State v. Arroyo, supra, 284 Conn. at 597, 935 A.2d 975, concluding that statements made during a multidisciplinary forensic interview were not testimonial, is both distinguishable and wrongly decided; and (2) his rights under Crawford were violated because the victim was "functionally unavailable" for cross-examination by virtue of her lack of memory at trial.
Before turning to the defendant's specific Crawford claims, we note that, as "a general matter, hearsay statements may not be admitted into evidence unless they fall within a recognized exception to the hearsay rule.... In the context of a criminal trial, however, the admission of a hearsay statement against a defendant is further limited by the confrontation clause of the sixth amendment. Under Crawford v. Washington, supra, 541 U.S. at 59, 124 S.Ct. 1354, hearsay statements of an unavailable witness that are testimonial in nature may be admitted in accordance with the confrontation clause only if the defendant previously has had the opportunity to cross-examine the unavailable witness. Nontestimonial statements, however, are not subject to the confrontation clause and may be admitted under state rules of evidence.... Thus, the threshold inquiries that determine the nature of the claim are whether the statement was hearsay, and if so, whether the statement was testimonial in nature, questions of law over which our review is plenary." (Citations omitted; emphasis added.) State v. Smith, 289 Conn. 598, 618-19, 960 A.2d 993 (2008).
We begin with the defendant's claim that the victim was "functionally unavailable" for purposes of Crawford because,
Specifically, our decision in State v. Simpson, supra, 286 Conn. at 634, 945 A.2d 449, is dispositive of the defendant's Crawford claims. In that case, we rejected a defendant's claims that a child sexual assault victim, who was five years old at the time of the assaults and could not remember whether the acts forming the basis for the allegations against the defendant had occurred, was "`functionally unavailable' for cross-examination because she testified that she did not recall making the statements on the videotape" of her interview. Id., at 651, 945 A.2d 449. Following, inter alia, State v. Pierre, supra, 277 Conn. at 42, 890 A.2d 474, after concluding that the victim's statements properly were admitted into evidence pursuant to the Whelan rule; see also part IB of this opinion; we emphasized that "Crawford makes clear ... that, when the declarant appears for cross-examination at trial, the [c]onfrontation [c]lause places no constraints at all on the use of his prior testimonial statements.... It is therefore irrelevant that the reliability of some outof-court statements cannot be replicated, even if the declarant testifies to the same matters in court.... The [c]lause does not bar admission of a statement so long as the declarant is present at trial to defend or explain it."
In the present case, the defendant does not contend that Simpson is no longer good law or seek its overruling,
Having determined that the admission of the forensic interview into evidence did not violate the defendant's confrontation clause rights under Crawford v. Washington, supra, 541 U.S. at 36, 124 S.Ct. 1354, because the victim testified at trial, we next turn to the defendant's claim that the forensic interview was inadmissible under the rules of evidence. Noting that the tender years exception, which does not apply to "statement[s] ... made in preparation of a legal proceeding," must be read consistently with the preclusion of "testimonial" hearsay under Crawford, the defendant contends that, in admitting the forensic interview into evidence, the trial court improperly relied on our decision in State v. Arroyo, supra, 284 Conn. at 597, 935 A.2d 975, which had concluded that statements made during a multidisciplinary team forensic interview were not testimonial in nature.
The state, relying heavily on our decision in State v. Simpson, supra, 286 Conn. at 634, 945 A.2d 449, contends that the forensic interview was admissible substantively as a prior inconsistent statement under the Whelan rule because the victim's failed memory at trial created the requisite inconsistency, and the video recording satisfied Whelan's need for a signed document. In response, the defendant contends that the state's Whelan claim is unreviewable on appeal because the trial court, by not ruling on the state's Whelan arguments, never exercised its discretion to determine whether the necessary inconsistency exists, and the state never sought an articulation to rectify this deficiency in the record. Relying on the distinction raised in State v. Meehan, 260 Conn. 372, 388, 796 A.2d 1191 (2002), the defendant also contends that Whelan applies only to feigned or evasive losses of memory, rather than ordinary lapses such as may have been experienced by the victim herein. We agree with the state and conclude that the interview properly was admitted under the Whelan rule.
Now codified in § 8-5(1) of the Connecticut Code of Evidence; see State v. Simpson, supra, 286 Conn. at 642 n. 12, 945 A.2d 449; see also footnote 4 of this opinion; "[i]n State v. Whelan, supra, 200 Conn. at [753, 513 A.2d 86] this court determined that an out-of-court statement is admissible as substantive evidence if (1) the statement is a prior inconsistent statement, (2) it is signed by the declarant, (3) the declarant has personal knowledge of the facts stated therein, and (4) the declarant testifies at trial and is subject to cross-examination.... Under State v. Woodson,
We begin with the defendant's claim that the state's alternate ground for affirmance is unreviewable because the trial court, by not ruling on the state's Whelan arguments, never exercised its discretion to determine whether the necessary inconsistency exists, and the state never sought an articulation to rectify this deficiency in the record. We disagree and conclude that the state's failure to seek an articulation by the trial court is not fatal to its reliance on Whelan as an alternate ground for affirmance. First, the defendant raises no claim that the interview was not sufficiently reliable to be admitted under Whelan, a claim that would have required the trial court to act as a gatekeeper. See, e.g., State v. Simpson, supra, 286 Conn. at 644-45 and n. 14, 945 A.2d 449 (describing trial court's responsibility to conduct hearing under State v. Mukhtaar, 253 Conn. 280, 306, 750 A.2d 1059 [(2000)], to determine reliability of Whelan material). Second, in upholding the decision of the trial court on alternate grounds that were raised before it and are supported by well established case law, but not formally acted upon by the trial court, we do not act to usurp or disturb the trial court's discretion, thus obviating any issues of potential ambuscade occasioned by our deciding this issue in the first instance, particularly because this issue is "one [on which] the trial court would have been forced to rule in favor of the appellee." (Internal quotation marks omitted.) Vine v. Zoning Board of Appeals, 281 Conn. 553, 568-69, 916 A.2d 5 (2007).
Turning to the merits of the Whelan issue, in light of a long line of decisions from this court and the Appellate Court released after State v. Meehan, supra, 260 Conn. at 388, 796 A.2d 1191, in 2002, we disagree with the defendant's reliance on that case for the proposition that whether the Whelan rule should be limited to feigned loss of memory, rather than the genuine loss of memory experienced by the victim herein, remains an open question. Rather, the trial court would have had no choice but to rule for the state on the Whelan issue; see Vine v. Zoning Board of Appeals, supra, 281 Conn. at 568-69, 916 A.2d 5; because, as was noted
We next address the defendant's claim that we should vacate his conviction under count four of the information, alleging a violation of the situation prong of the risk of injury statute, § 53-21(a)(2), because his convictions under that prong and the conduct prong, § 53-21(a)(1), for the same conduct violate his constitutional protections against double jeopardy. In response, the state acknowledges the potential for a double jeopardy violation for multiple punishments for the same conduct under both the situation and conduct prongs, but argues that the record is inadequate for review of this unpreserved claim under State v. Golding, 213 Conn. 233, 239-40, 567 A.2d 823 (1989), because nothing in the record, such as a bill of particulars, closing argument or jury instructions, indicates the factual basis for the jury's verdict on count four, particularly given the factual inconsistency in the jury's verdict on counts one and two. We agree with the state and conclude that the record is inadequate for review of the defendant's double jeopardy claim under Golding.
"Double jeopardy analysis in the context of a single trial is a two-step process. First, the charges must arise out of the same act or transaction. Second, it must be determined whether the charged crimes are the same offense. Multiple punishments are forbidden only if both conditions are met." (Citation omitted; internal quotation marks omitted.) State v. Gonzalez, 302 Conn. 287, 315-16, 25 A.3d 648 (2011). "The defendant on appeal bears the burden of proving that the prosecutions are for the same offense in law and fact." (Internal quotation marks omitted.) State v. Alvaro F., 291 Conn. 1, 6, 966 A.2d 712, cert. denied, ___ U.S. ___, 130 S.Ct. 200, 175 L.Ed.2d 140 (2009).
Because the defendant's double jeopardy claim implicates his constitutional rights, we may review it pursuant to State v. Golding, supra, 213 Conn. at 239-40, 567 A.2d 823, despite his failure to raise it before the trial court.
We agree with the state that the defendant's claim fails under the first
Given the factual inconsistencies in the jury's verdict, it is unclear which charged conduct served as the bases for the defendant's convictions. Specifically, we note that, although the jury found, by virtue of the fact that it found the defendant guilty on count two, that the defendant had engaged in sexually inappropriate contact with the victim's genitals, that verdict is factually and logically inconsistent with the jury's verdict acquitting him of the first charged count, namely, sexual assault in the fourth degree. Given this logical inconsistency, and the lack of a bill of particulars elaborating on the allegations supporting the fourth count of the information, it is conceivable that the other charged conduct, namely, the victim's contact with the defendant's genital area, may well have formed the basis for his conviction under the situation prong of the risk of injury statute, notwithstanding his acquittal on the third count. Thus, the record is not clear as to whether the defendant's risk of injury convictions are based on the same act or transaction, thereby precluding us from reviewing his double jeopardy claim under the first prong of Golding, let alone concluding that he has carried his burden of proving that the
The judgment is affirmed.
In this opinion the other justices concurred.
Although § 53-21 was amended in 2007; see Public Acts 2007, No. 07-143, § 4; that amendment has no bearing on the merits of this appeal. In the interest of simplicity, we refer to the current revision of the statute.
Section 8-10 of the Code of Evidence was amended, as explained in the commentary, effective January 1, 2011, "to harmonize it with the general statutes. As amended, and to be consistent with the 2009 amendment to General Statutes § 54-861, it no longer explicitly provides that the cross-examination of the child may be by video telecommunication or by submitting to a recorded video deposition for that purpose; it does not require the proponent to provide the adverse party a copy of the statement in writing or in whatever other medium the original statement is in and is intended to be proffered in; and, it does not provide a good cause exception to the obligation to provide the adverse party with advance notice sufficient to permit the adverse party to prepare to meet the statement. These changes do not limit the discretion of the court to impose such requirements." Amendments to the Connecticut Code of Evidence, 72 Conn. L.J., No. 2, p. 240C (July 13, 2010). This appeal does not concern topics affected by the 2011 amendments to § 8-10.
"(b) Each multidisciplinary team shall consist of at least one representative of each of the following: (1) The state's attorney of the judicial district of the team, or his designee; (2) the Commissioner of Children and Families, or his designee; (3) the head of the local or state law enforcement agencies, or his designee; (4) a health care professional with substantial experience in the diagnosis and treatment of abused or neglected children, who shall be designated by the team members; (5) a member, where appropriate, of a youth service bureau; (6) a mental health professional with substantial experience in the treatment of abused or neglected children, who shall be designated by the team members; and (7) any other appropriate individual with expertise in the welfare of children that the members of the team deem necessary. Each team shall select a chairperson. A team may invite experts to participate in the review of any case and may invite any other individual with particular information germane to the case to participate in such review, provided the expert or individual shall have the same protection and obligations under subsections (f) and (g) of this section as members of the team....
"(d) All criminal investigative work of the multidisciplinary teams shall be undertaken by members of the team who are law enforcement officers and all child protection investigative work of the teams shall be undertaken by members of the team who represent the Department of Children and Families, provided representatives of the department may coordinate all investigative work and rely upon information generated by the team. The protocols, procedures and standards of the multidisciplinary teams shall not supersede the protocols, procedures and standards of the agencies who are on the multidisciplinary team...."
After the forensic interview concluded, Bukowski conducted further investigation by visiting the defendant at his home that same day, and questioning him as to whether he had given inappropriate "raspberries" or otherwise kissed or touched his children, and particularly the victim, inappropriately. The defendant denied those allegations and gave the police written and verbal statements to that effect.
Thus, in "Pierre, we rejected the defendant's contention that, despite the fact that [the witness] took the stand and answered questions, he was functionally unavailable for cross-examination as to the contents of his statement because of his claimed memory loss and statement that he had signed the document only to keep the police from harassing him.... We noted that the defendant's argument equates a declarant's inability or unwillingness to remember prior statements made to the police with a general unavailability from cross-examination in its entirety.... We relied on our previous Whelan jurisprudence, and sister state decisions that had interpreted Crawford's availability element ... and concluded that a witness' claimed inability to remember earlier statements or the events surrounding those statements does not implicate the requirements of the confrontation clause under Crawford, so long as the witness appears at trial, takes an oath to testify truthfully, and answers the questions put to him or her during cross-examination." (Citations omitted; internal quotation marks omitted.) State v. Simpson, supra, 286 Conn. at 653, 945 A.2d 449.
The only cases our research has revealed holding at all to the contrary are Goforth v. State, 70 So.3d 174 (Miss.2011), and State v. Nyhammer, 396 N.J.Super. 72, 932 A.2d 33 (App.Div.2007), rev'd, 197 N.J. 383, 963 A.2d 316, cert. denied, ___ U.S. ___, 130 S.Ct. 65, 175 L.Ed.2d 48 (2009), neither of which is persuasive in the present case. In Goforth, the Mississippi Supreme Court concluded that a confrontation clause violation had occurred under the state constitution when the witness, "though physically present at trial, did not have the requisite, minimal ability or capacity to act" when that witness "had no recollection of the underlying events surrounding his statement, and he could not even remember having known [the defendant] or [the victim].... This total lack of memory deprived [the defendant] any opportunity to inquire about potential bias or the circumstances surrounding [the witness'] statement. In sum, [the defendant] simply had no opportunity to cross-examine [the witness] about his statement." Goforth v. State, supra, at 186. Goforth is distinguishable because the present case does not involve an independent request for greater protection under the state constitution, and the victim's memory loss herein was not as profound as that in Goforth, inasmuch as she remembered all of the actors involved in the charged events and the recorded statement in the forensic interview, including the defendant and Meyers. In Nyhammer, the New Jersey Appellate Division concluded that a child victim's "complete inability to present current beliefs about any of the material facts, or to testify about her prior statements, is distinguishable from a situation where a trial witness for the prosecution simply has a bad memory." State v. Nyhammer, supra, 396 N.J.Super. at 89, 932 A.2d 33. The Appellate Division's decision in Nyhammer appears, however, to be both inconsistent with the weight of authority as exemplified by our controlling decision in Simpson, and in any event not good law in New Jersey, as that state's Supreme Court subsequently concluded, after granting leave to appeal, that no confrontation clause violation had occurred because the defendant had failed to cross-examine the child at trial about the statement at issue. State v. Nyhammer, supra, 197 N.J. at 389, 963 A.2d 316.
In determining that the victim's statements during the forensic interview in Arroyo were not testimonial in nature, we relied on the "primary purpose" test articulated in Davis v. Washington, 547 U.S. 813, 822, 126 S.Ct. 2266, 165 L.Ed.2d 224 (2006), calling it "apparent from this formulation of the test that the timing of the statements in relation to the subject events is crucial to the determination of the testimonial nature of the statements," and observing that "[d]eclarants who make statements, even regarding a possible crime, in order to obtain assistance, do not do so with the intent or expectation of assisting the state in building a case against a defendant, nor do the recipients of such statements act with such intent or expectation." State v. Arroyo, supra, 284 Conn. at 629, 935 A.2d 975. We further noted that, "in 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 testimonial, namely, whether the circumstances would lead an objective witness reasonably to believe that the statements would later be used in a prosecution." Id., at 629-30, 935 A.2d 975. We then rejected decisions from other jurisdictions concluding that "statements made to a forensic interviewer are testimonial," finding them either "factually distinguishable ... because most involve much more significant involvement in and control of the subject interviews by law enforcement" or "unpersuasive" for failing to account for the solely post hoc role of the forensic interviewer as compared to a police officer. See id., at 630 n. 20, 935 A.2d 975 (criticizing State v. Blue, 717 N.W.2d 558 [(N.D.2006)]); see also State v. Arroyo, supra, at 632 n. 20, 973 A.2d 1254 ("[t]he mere fact that police are involved, as in the present case, because they are made privy to the information obtained in the interview, is not sufficient, without more, to render the interviews testimonial").
Thus, in concluding that there was no Crawford violation in Arroyo, we determined that the "primary purpose of [the forensic] interviews [at issue] was to provide medical assistance to the victim. The clinic's system, in each case of alleged sexual abuse, of pairing a forensic interviewer who specializes in mental health assessment and treatment with a medical care provider, suggests that the clinic views the treatment of the victim's mental and physical harms suffered due to the abuse as closely linked. This conclusion is bolstered by the fact that the medical care provider relies upon the forensic interviewer's work in examining the child, by the repeated communications and consultations between the medical care provider and the forensic interviewer, and by the participation of the forensic interviewer in the ultimate diagnosis and formulation of a treatment plan for the child. The structure of the clinic's treatment of alleged victims of sexual abuse leads us to conclude that [the] forensic interviewer... was an integral part of the chain of medical care." State v. Arroyo, supra, 284 Conn. at 632-33, 935 A.2d 975. We further emphasized the advantages of the multidisciplinary approach under § 17a-106a; see footnote 5 of this opinion; with respect to avoiding retraumatizing the child victim, and emphasized that "[t]here is no evidence in the record to indicate that the victim's interviews... were at the instruction or request of law enforcement. Instead, the record reflects that ... an investigator with the department, initially brought the victim and the victim's mother to the clinic for examinations. Moreover, there is no indication that [the interviewer] was in the employ of a law enforcement agency and no evidence that she cooperated or assisted in the investigation of the defendant. The purpose of her interviews was related solely to securing the welfare of the child.... On the basis of these facts, we conclude that the primary purpose of the interviews was not to build a case against the defendant, but to provide the victim with assistance in the form of medical and mental health treatment." State v. Arroyo, supra, at 635, 935 A.2d 975.