FAHEY, J.
This appeal concerns the People's references in their case-in-chief to defendant's selective silence during custodial interrogation, after defendant had waived his Miranda rights and agreed to speak to the police. We hold, as a matter of state evidentiary law, that evidence of a defendant's selective silence generally may not be used by the People as part of their case-in-chief, either to allow the jury to infer the defendant's admission of guilt or to impeach the credibility of the defendant's version of events when the defendant has not testified.
On August 30, 2008, defendant, the victim's former boyfriend, arrived at the victim's apartment unannounced. According to the victim's trial testimony, defendant gained entry to the apartment by means of a ruse and then raped her in the bathroom of the apartment; she testified that the bathroom sink crashed to the floor as she struggled with defendant. After defendant left the apartment, the victim called the police, and defendant was taken into custody. The detective who interviewed defendant advised him of his Miranda rights. Defendant stated that he understood those rights and that he was willing to speak with the detective, but he refused to sign the Miranda form.
Defendant was evasive during the ensuing interview. Defendant admitted that he knew the victim, but when the detective asked him specific questions about the incident, defendant either did not respond or repeated the detective's questions back to him. When asked whether he had sex with the victim, defendant did not answer. While the police were transporting defendant to his arraignment, defendant admitted that he had been in the victim's kitchen earlier that day.
Saliva taken from the victim's shoulder and left breast matched defendant's DNA. In addition, the victim had a bruise
Defendant was charged with rape in the first degree, burglary in the second degree, sexual abuse in the first degree, rape in the third degree, and criminal impersonation in the first degree. After a Huntley hearing, County Court denied defendant's motion to suppress his statements to the police.
At trial, the prosecutor told the jurors during opening statements that they would hear defendant's grand jury testimony, during which defendant asserted that he and the victim had consensual sex in the bathroom of her apartment on the day in question. The prosecutor further stated that the jury would be able to compare defendant's grand jury testimony with defendant's statements to the detective during the custodial interview, which the prosecutor characterized as "not outright denying what ha[d] happened, but not admitting to it either."
During her opening statement, defense counsel told the jury that defendant had a right to refuse to speak to the police and that his silence should not be used against him. Defense counsel later objected to the part of the prosecutor's opening referring to defendant's postarrest silence. County Court refused to issue a curative instruction. The court reasoned that defense counsel had adequately responded to the prosecutor's opening statement in her own opening statement.
The court permitted the detective who had interviewed defendant to testify, over defense counsel's objection, as follows:
Later during the People's direct case, the court admitted defendant's grand jury testimony in evidence. Defendant did not testify at trial and did not present any evidence.
During closing arguments, the People again noted defendant's failure to respond when the detective asked defendant
The Appellate Division modified County Court's judgment in respects that are not pertinent here and, as modified, affirmed (107 A.D.3d 1391 [4th Dept 2013]). The Court determined that defendant's contention regarding the People's use of his selective silence was preserved with respect to the prosecutor's opening statement and the detective's testimony (see id. at 1393). The Court further determined that defendant's contention with respect to the prosecutor's closing argument was unpreserved, but it addressed that part of defendant's contention as a matter of discretion in the interest of justice (see id.). On the merits, the Appellate Division held that the comments by the prosecutor concerning defendant's postarrest silence during opening and closing statements were improper and that County Court erred in admitting into evidence that portion of the detective's testimony concerning defendant's selective silence (see id. at 1394). The Appellate Division further concluded, however, that "any such errors were harmless beyond a reasonable doubt" (id. [internal quotation marks omitted]).
A Judge of this Court granted defendant leave to appeal (22 N.Y.3d 1160 [2014]). We now reverse.
As a preliminary matter, we agree with the Appellate Division that defendant's contention regarding the People's use of his selective silence was preserved as to the prosecutor's opening statement and the detective's testimony, but not as to the prosecutor's closing statement. Consequently, we do not consider defendant's challenge to the prosecutor's closing argument.
It is a well-established principle of state evidentiary law that evidence of a defendant's pretrial silence is generally inadmissible (see People v Rutigliano, 261 N.Y. 103, 106-107 [1933]). In
We subsequently held in People v De George (73 N.Y.2d 614 [1989]) that our decision in Conyers applied to a defendant's "pretrial" silence and was not limited to "postarrest" silence (id. at 619-620). We reiterated that, as a matter of state evidentiary law, the People generally may not use evidence of defendant's pretrial silence either on their direct case or to impeach the defendant's trial testimony (see id. at 617-618).
There may be a rare set of circumstances in which it is permissible for the People to refer to a defendant's silence during their case-in-chief. However, the general evidentiary principles established in Conyers and De George remain in place today: the People generally may not refer to a defendant's silence during their direct case, and, absent unusual circumstances, the People may not use a defendant's silence to impeach his or her trial testimony.
We have twice held that such unusual circumstances existed. In People v Rothschild (35 N.Y.2d 355 [1974]), the defendant, a police officer, was accused of larceny by extortion for his conduct in threatening members of the victim's family in order to obtain money from the victim. At trial, the defendant testified that he had agreed to accept money from the victim in order to arrest the victim for bribery. On cross-examination, the prosecutor elicited from defendant that he had not told any of his superior officers after his arrest about the victim's supposed bribe offer. We held that such inquiry on cross-examination was permissible because the defendant had a duty to inform his superior officers of any bribe and, in light of that duty, his failure to speak was "patently inconsistent with the defense asserted" (id. at 360).
In People v Savage (50 N.Y.2d 673 [1980], cert denied 449 U.S. 1016 [1980]), the defendant was arrested on charges of
The People contend that the circumstances present in this case are analogous to those present in Savage and Rothschild, and that the general principles articulated in Conyers and De George do not control. We disagree.
This case is fundamentally different from Savage and Rothschild. In those cases, the People used conspicuous omissions from the defendants' statements to police during cross-examination of the defendants, in order to impeach the credibility of the exculpatory testimony provided by the defendants at trial. Here, by contrast, the People introduced, as part of their case-in-chief, evidence regarding defendant's failure to tell the detective during custodial interrogation that he and the victim had consensual sex. Later during their case-in-chief, the People also introduced defendant's grand jury testimony, during which defendant insisted that he and the victim had consensual sex. The People's use of defendant's silence during their case-in-chief therefore violated our common-law rules of evidence (see De George, 73 NY2d at 618). Inasmuch as defendant did not testify at trial, there is no need for us to consider whether unusual circumstances such as those present in Savage and Rothschild would have allowed the People to use defendant's selective silence to impeach him if he had testified (see Conyers, 52 NY2d at 459).
The People claim that they were essentially impeaching the defendant's grand jury testimony because evidence of defendant's omission was necessary to demonstrate that the version of events he told the grand jury was false. The People also contend that the admission of defendant's grand jury testimony
Furthermore, although evidence of defendant's silence was inadmissible during any part of the People's direct case, the People's claim that their purpose was to impeach defendant's grand jury testimony is weakened by the fact that they introduced evidence of defendant's silence before they introduced his grand jury testimony. Thus, at the time that the detective testified that defendant neither admitted nor denied having sex with the victim, there was no contrary version of events to impeach. The risk that the jurors drew an improper inference of guilt was therefore even greater.
There is no need to depart from the principles articulated in De George and Conyers merely because defendant's silence here was only partial. If silence could constitute an answer, then the People could meet their burden simply by asking a question. Moreover, evidence of a defendant's selective silence "is of extremely limited probative worth" (Conyers, 52 NY2d at 458). A defendant who agrees to speak to the police but refuses to answer certain questions may have the same legitimate or innocent reasons for refusing to answer as a defendant who refuses to speak to the police at all (see id.). Furthermore, the potential risk of prejudice from evidence of a defendant's selective silence is even greater than the risk to a defendant who chooses to remain totally silent. Jurors are more likely to construe a defendant's refusal to answer certain questions as an admission of guilt if the defendant has otherwise willingly answered other police inquiries. The ambiguous nature and limited probative worth of a defendant's selective silence is outweighed by the substantial risk of prejudice to the defendant from admission of such evidence (see id. at 459). Evidence of a defendant's selective silence therefore generally may not be used by the People during their case-in-chief and may be used only as "a device for impeachment" of a defendant's trial testimony in limited and unusual circumstances (Savage, 50 NY2d at 680; see Conyers, 52 NY2d at 459).
The People's use of defendant's selective silence in this case was improper for another reason. In her opening statement,
In light of our holding that the People's use of defendant's selective silence violated our common-law evidentiary principles, we need not address defendant's contention that the People's use of his selective silence also violated the State and Federal Constitutions (see De George, 73 NY2d at 618; Conyers, 52 NY2d at 457).
The People contend, in the alternative, that any error was harmless. Under the standard applicable to nonconstitutional errors, an error is harmless if the proof of defendant's guilt is overwhelming and there is no significant probability that the jury would have acquitted defendant had the error not occurred (see People v Crimmins, 36 N.Y.2d 230, 242 [1975]).
We conclude that the errors are not harmless as a matter of law. Even assuming that the evidence of defendant's guilt is overwhelming, there is a significant probability that the jurors would have acquitted defendant if the errors did not occur. For the reasons discussed above, evidence of defendant's selective silence is highly prejudicial, and there is a significant risk that the jurors deemed defendant's failure to answer the detective's question as to whether he had sex with the victim to be an admission of guilt. Moreover, the court refused to provide a curative instruction to the jury after the prosecutor referred to defendant's selective silence during her opening statement.
In light of our decision that there must be a new trial, we have no need to address defendant's remaining contentions.
Accordingly, the order of the Appellate Division should be reversed and a new trial ordered.
ABDUS-SALAAM, J. (dissenting).
I agree with the majority that the trial court erred in permitting the People to adduce evidence of, and comment upon, defendant's partial postarrest silence on their case-in-chief, for state evidentiary law barred the admission of that evidence (see majority op at 188, 190-194; see also People v De George, 73 N.Y.2d 614, 617-620 [1989]; People v Conyers, 52 N.Y.2d 454, 457-459 [1981]). As the majority's excellent and learned discussion of our case law in this area reveals (see majority op at 190-192), only the most unusual circumstances will justify the admission of a defendant's postarrest silence on the People's direct case, and no such circumstances exist here. However, unlike the majority (see majority
As the majority rightly points out (see majority op at 190-191, 193-194), evidence of postarrest silence has limited probative value and risks improperly prejudicing a defendant by causing the jurors to speculate that the defendant remained silent in an effort to hide his or her guilt (see Conyers, 52 NY2d at 459). But, here, defendant's silence in the face of police questioning, which should have been excluded from evidence, was scarcely any more harmful than the properly admitted evidence that he had revealed his knowledge of the breaking and entering aspect of the crime at a time when such knowledge could only have flowed from his participation in the offense.
In that regard, defendant's girlfriend told the police and, later, the jury, that on the day of the crime, defendant had pretended to be a police officer in order to convince her to open the door to her apartment. When she opened the door and saw defendant, she tried to close it again, but he pushed it open to force his way into the apartment, at which point she succumbed to a combination of his physical effort and oral entreaties. During their interview with defendant, the police did not disclose this information to him. Nonetheless, defendant told the police, "Honestly, do you think that I just broke the door down?" At the Huntley hearing, the court ruled this statement admissible, and therefore the jury properly received it regardless of whether they should have learned of defendant's postarrest silence. Having heard that statement, the jury surely would have inferred that defendant was conscious of his own guilt insofar as he knew that he had used a ruse and then physical force to effectively break into the apartment to commit the crime. Consequently, the forbidden evidence of defendant's postarrest silence did not significantly impact the outcome of the trial because, absent that evidence, the jury still would have drawn an adverse inference from defendant's interactions with the police based on the admissible evidence (see People v Crimmins, 36 N.Y.2d 230, 242 [1975]).
Furthermore, the evidence of defendant's guilt was overwhelming (see id.; see also People v Boop, 118 A.D.3d 1273, 1273 [4th Dept 2014], lv denied 24 N.Y.3d 1082 [2014]; see generally
Additionally, without knowledge of defendant's postarrest silence, the jurors still would have learned of the following physical evidence and explanatory testimony: (1) DNA evidence showing that defendant left his saliva on several of his girlfriend's body parts during the incident; (2) physical evidence of numerous cuts and a hand-shaped mark on the girlfriend's body; (3) physical evidence of a laceration between the girlfriend's vagina and anus; and (4) the sexual assault nurse examiner's testimony that this injury had been caused by blunt force trauma, that it was consistent with forcible sexual assault and that, while it could have theoretically occurred during consensual sex, the nature and location of the injury rendered a consent scenario unlikely. Given that the physical evidence corroborated defendant's girlfriend's account of a forcible rape and the testimonial proof thoroughly reinforced her credibility while undermining defendant's, the evidence overwhelmingly established defendant's guilt of the crimes of which he was convicted.
In sum, while I certainly do not condone the People's use of defendant's postarrest silence against him, I conclude that the
Order reversed and a new trial ordered.