In re Daniel A.
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Renee Bevacqua Bollier, assistant attorney general, with whom, on the brief, were George Jepsen, attorney general, and Benjamin Zivyon and Susan T. Pearlman, assistant attorneys general, for the appellee (petitioner).
Michael D. Day, for the appellee (respondent mother).
Opinion
SCHALLER, J. The respondent father, Daniel A., appeals from the judgment of the trial court terminating his parental rights with respect to his minor child, Daniel A., Jr.1 On appeal, the respondent claims that the court improperly (1) failed to conduct an adequate canvass with respect to his election to represent himself during trial, thereby depriving him of his right to counsel, and (2) terminated his parental rights pursuant to
The record reveals the following relevant facts and procedural history. In January, 2011, the respondent and the mother left the child, who was less than one year old at the time, at the home of his paternal grandparents’ (grandparents) without notifying the grandparents where they were going or when they would return. With the whereabouts of both the respondent and the mother unknown, the petitioner, the Commissioner of Children and Families (commissioner), filed an order of temporary custody and a petition of neglect with respect to the child. In March, 2011, the child was adjudicated neglected and committed to the care of the commissioner. On the same date, the court ordered final specific steps for the respondent and the mother to regain custody of the child. It furthered ordered the grandparents licensed as relative foster parents for the child. The location of the respondent and the mother was unknown during all of the foregoing proceedings. Their whereabouts remained unknown until April, 2011, when the mother informed the commissioner that the respondent had been arrested and incarcerated on criminal charges. The mother was later arrested in June, 2011, on criminal charges.
On January 5, 2012, the commissioner filed a petition to terminate the parental rights of both the respondent and the mother. With respect to the respondent, the commissioner alleged that his parental rights should be terminated on the ground that he “failed to achieve such degree of personal rehabilitation as would encourage the belief that within a reasonablе time, considering the age and needs of the child, [he] could assume a responsible position in the life of the child.”
In its decision, the court found, as required by
I
The respondent first claims that the court improperly failed to conduct an adequate canvass with respect to his election to represent himself, thereby depriving him of his right to counsel. Specifically, the respondent contends that the court failed to advise him of his right to counsel, inter alia, at the time he was considering self-representation. As a result of this purported failure, the respondent further contends that his election to represent himself was not accompanied by an intelligent and voluntary waiver of his right to counsel. According to the respondent, because his waiver of counsеl was neither intelligent nor voluntary, he was deprived of his right to counsel.7 We disagree.
We begin our analysis by setting forth the governing legal principles regarding the right to counsel, self-representation, and waiver in the context of a termination of parental rights proceeding. It is well settled that a parent confronted with the termination of his or her parental rights is guaranteed the right to the assistance of counsel by virtue of
Our law further recognizes the possibility that a parent may waive his or her statutory right to counsel in favor of representing him or her self. See
Waiver, of course, is the intentional relinquishment of a known right. In re Baby Girl B., 224 Conn. 263, 296-97, 618 A.2d 1 (1992). “[A] proper waiver of counsel must be intelligent and voluntary and . . . its basis, having been clearly determined by the trial court, should appear on the record.” (Internal quotation marks omitted.) In re Manuel R., 207 Conn. 725, 736-37, 543 A.2d 719 (1988).
A
At the threshold of the rеspondent‘s claim is his contention that the court was required to conduct a specific canvass akin to the criteria set forth in
“The interpretive construction of the rules of practice is to be governed by the same principles as those regulating statutory interpretation. . . . The interpretation and application of a statute, and thus a Practice Book provision, involves a question of law over which our review is plenary.” (Citations omitted; internal quotation marks omitted.) Wiseman v. Armstrong, 295 Conn. 94, 99, 989 A.2d 1027 (2010).
This is not to say, however, that a court is without an obligation to determine whether a parent has intelligently and voluntarily waived the right to counsel in favor of self-representation. “[T]he determination of whether there has been an intelligent waiver of the right to counsel must depend, in each case, upon the particular facts and circumstances surrounding that case, including the background, experience, and conduct of the accused. . . . This important decision rests within the discretion of the trial judge. . . . Our task, therefore, is tо determine whether the court abused its discretion in allowing the defendant to discharge his counsel and to represent himself.” (Internal quotation marks omitted.) State v. Coleman, 83 Conn. App. 672, 685, 851 A.2d 329, cert. denied, 271 Conn. 910, 859 A.2d 571 (2004), cert. denied, 544 U.S. 1050, 125 S. Ct. 2290, 16 L. Ed. 2d 1091 (2005).
B
At the heart of the respondent‘s claim is his contention that the court improperly determined that his election to represent himself and waive his right to counsel was intelligent and voluntary. We are not persuaded.
To the extent that the court permitted the respondent to represent himself, it necessarily determined that he intelligently and voluntarily elected to do so. We review the latter determination for an abuse of discretion. See State v. T.R.D., supra, 286 Conn. 202 (“[w]e review [a] trial court‘s determination with respect to whether [a criminal] defendant knowingly and voluntarily elected to proceed pro se for abuse of discretion” [internal quotation marks omitted]).
This court previously has set forth what is required to support an effective waiver of the statutory right to counsel in a termination proceeding by way of analogy
The following additional facts and procedural history inform our review. On February 23, 2012, the court set a trial date in the underlying matter. At that time, the respondent was represented by his first appointed counsel. Thereafter, on July 24, 2012, the respondent‘s counsel moved to withdraw on the basis that the respondent no longer desired his representation. The сourt denied the motion and asked both counsel and the respondent to reassess the situation, which the court would reconsider at the next hearing. At the next hearing, on August 14, 2012, both the respondent and his counsel informed the court that their relationship was irretrievably broken. On the same date, the court granted the motion to withdraw and appointed the respondent new counsel. The matter then proceeded to trial as scheduled.
On the first day of trial, September 6, 2012, the commissioner‘s case-in-chief commenced. Neither the respondent nor his counsel indicated any issues regarding representation to the court. On the second day of trial, September 18, 2012, the respondent‘s counsel informed the court that there was an irretrievable breakdown in the attorney-client relationship. The respondent, addressing the court, stated that “a serious conflict of interest” existed with his counsel. When the court inquired whether this situation had just arisen, the respondent‘s counsel answered in the affirmative. The court ordered a short recess so that counsel could confer with the respondent. Following the recess, the respondent‘s counsel stated: “[A]pparently we have irreconcilable differences with regard to the defense of this case, and [the respondent] believes that he would be better off serving himself or without me, whichever.” The respondent‘s counsel again confirmed to the court that this situation had arisen that day. Thereafter, the following colloquy occurred:
“[The Respondent]: Actually, Your Honor, [the situation] started on our last court date but [respondent‘s counsel] didn‘t come out to talk to me . . . they rushed me right out of the building so I couldn‘t address it at that time, so this is the first time. . . . I put in for a legal call to the facility. They never called me in. I would have called him ahead of time with it but there‘s a
process that I have to go with . . . [because I am] incarcerated . . . . It gets to be tough sometimes, so I would have [called him ahеad of time] if I had a chance to, but the counselors [at the correctional facility], you know, do the best they can do. “The Court: So you‘re asking for another attorney?
“[The Respondent]: It‘d be nice, yes. Your honor, [counsel and I] agreed when he came up to visit me . . . at the [correctional] facility, and I showed him paperwork that I have with me now that‘s in direct contradiction to what‘s in this [petition for termination of parental rights] and what‘s been testified to. . . . I asked him to pursue it [during cross examination of the commissioner‘s witness]. He took it upon himself to totally not do it, deeming it irrelevant, but whatever, [he told] me one thing coming here, [but chose] to do another [thing].
“The Court: Okay. . . here‘s the situation: it‘s up to [your counsel] to determine what type of trial strategy to employ because . . . he is the individual who has reviewed the facts in your case, reviewed the evidence that the state had offered or intends on offering, and is acting zealously to represent your interests in this matter. . . . [A]s far as the court‘s concerned, for the first time this has been brought to the court‘s attention . . . .”
The court then confirmed that the respondent‘s counsel was moving to withdraw. After hearing from all of the parties on the motion to withdraw,12 the following colloquy occurred:
“The Court: If I deny the request to appoint new counsel, would you still be asking for [counsel] to be taken off the case and you represent yourself?
“[The Respondent]: Yeah. I mean, he‘s not going to do anything. I don‘t trust him anymore. Once we went down there and he refused to ask these questions and do anything, I [am left to believe] he‘s siding with them, the other state employees . . . there‘s a conspiracy going on and they‘re conspiring together . . . to not . . . ask these questions.
“The Court: So the answer to my question is . . . if I grant the motion to withdraw as counsel, I do not have any intention of appointing a third attorney. So are you prepared to represent yourself in this matter?
“[The Respondent]: Would I be able to use [the mother‘s] attorney just for asking certain questions?
“The Court: No.
“[The Respondent]: All right, then I‘ll do . . . .
“The Court: I‘ll tell you . . . .
“[The Respondent]: Then I‘ll represent myself. Okay.
“The Court: I‘ll tell you what I will do. For the balance
of the day I will instruct [counsel] to remain; you‘rе representing yourself. . . . If you want to turn to him and ask him something, I‘ll allow you to do that.”
The respondent then inquired how, in light of his incarceration, he should perform certain tasks related to his self-representation.
“The Court: You will . . . have to make your requests to the court and . . . the clerk‘s office, and we‘ll assist you in any way that we can. My advice would be to continue to work with [counsel], but you‘ve indicated to me that is something you cannot do. Am I right about that?
“[The Respondent]: Yeah. I have no faith in him and no trust in him at all and this is . . . probably the most important case in my life because it has to do with my son.
“The Court: Okay . . . . So I am going to grant the motion for [respondent‘s counsel] to withdraw. . . . I have indicated that counsel should remain in the courtroom, and if [the respondent] wishes to ask you a question and you can help him out, do so. . . . Before you leave today we will give you, [respondent], a copy of an appearance form so that you‘ll be acting on your own behalf in this matter, and you will be expected to comport yourself appropriate with regard to procedures. Anything you need to do, if there‘s something you need to file, objections you need to make, that‘s something that you will need to do. And I do this because this is the second time now that a request has been made to have new counsel appointed. So that‘s how we are going to proceed.”
When the trial continued, the commissioner‘s case-in-chief resumed with the presentation of a witness for testimony. During the respondent‘s cross-examination of the commissioner‘s witness, he attempted to elicit testimony that was potentially incriminating against him. The court interjected, reminding the respondent that he “has a right to remain silent. Anything you say can and will be used against you. You do have a right to be represented by an attorney with regard to any criminal issues. We‘ve already covered the issue with regard to this trial.” The respondent did not indicate that he desired counsel and continuеd on his own behalf for the remainder of the day‘s testimony. Prior to adjourning for the day, the court paused to inform the respondent of the posture of the case. The court notified the parties that it would be scheduling the next trial date as to provide the respondent with an opportunity to review certain documents. In addition, the court detailed for the respondent the arrangements it had made for him to work with the clerk‘s office. The court concluded by asking the respondent whether he wanted his standby counsel present for the remainder of trial. The respondent responded: “Yeah, he can stay on. Yes,
On the basis of the foregoing, it is evident that the court, on the second day of trial, was confronted with a motion from the respondent‘s counsel to withdraw and a request from the respondent himself for substitute counsel. The respondent continually insisted that his appointed counsel withdraw in the face of ample warnings from the court that it would not provide him with substitute counsel. In addition, the respondent initially associated his counsel‘s withdrawal as something that would precipitate his self-representation.13 When confronted with the choice of retaining appointed counsel and self-representation, the respondent elected the latter. His election was therefore voluntary unless it resulted from an antecedent deprivation of his statutory right to appointed counsel. See, e.g., McKee v. Harris, 649 F.2d 927, 931 (2d Cir. 1981) (“the very essence of a voluntary waiver is that it be the product of a free and meaningful choice“), cert. denied, 456 U.S. 917, 102 S. Ct. 1773, 72 L. Ed. 2d 177 (1982).
The record also indicates that the trial judge was familiar with the respondent as a result of presiding over four previous proceedings in the underlying termination case. At least two of these proceedings involved a disagreement bеtween the respondent and his first appointed counsel concerning representation. Moreover, the respondent demonstrated a general understanding of legal proceedings and trial tactics prior to counsel‘s withdrawal and his self-representation. Specifically, the respondent indicated that he had drafted and delivered to counsel a list of witnesses before the second day of trial, made suggestions to counsel regarding cross-examination tactics on the first day of trial, asked practical questions regarding filings and motions to the court directly, and demonstrated a familiarity with particular allegations in the petition to terminate his parental rights. Finally, the record indicates that the respondent understood the gravity of the proceedings. When the court inquired whether his position was that he could no longer retain appointed counsel, having already been informed he would have to represent himself if appointed counsel were to withdraw, he responded: “Yeah. I have no faith in him and no trust in him at all and this is . . . probably the most important case in my life because it has to do with my son.”
Under these circumstances, we conclude that there is ample support in the record for the court‘s determination that the respondent intelligently and voluntarily elected to represent himself, thereby waiving his statutory right to counsel. Although the record indicates that the respondent did not state, in so many words, that he no longer desired counsel, he engaged in a course
In sum, the record unequivocally demonstrates that the respondent comprehended that substitute counsel would not be appointed upon the withdrawal of his appointed counsel. The respondent nevertheless insisted on counsel‘s withdrawal and understood this was functionally equivalent to an election to represent himself. Accordingly, we conclude that the court did not abuse its discretion in permitting the respondent to represent himself and waive his statutory right to counsel.
II
The respondent next claims that the court improperly terminated his parental rights. Specifically, he contends that the record does not support the court‘s findings that (1) he was either unwilling or unable to benefit from reunification efforts, (2) he had failed to rehabilitate himself, and (3) it was in the best interests of the child to grant the petition for termination of parental rights. In response, the commissioner argues that the respondent‘s first contention is moot and, therefore, not subject to appellate review. As to the respondent‘s second and third contentions, the commissioner argues that the court‘s findings are amply supported by the record. We agree with the commissioner.
A
The respondent first contends that the court‘s finding in the adjudicatory phase of the proceeding that he was unable or unwilling to benefit from reunification efforts was clearly erroneous. The commissioner, in response, argues that this contention is moot and not subject to appellate review. We agree with the commissioner.
Before a court may grant a petition for termination of parental rights, it must find, by clear and convincing evidence, “that . . . the [department] has made reasonable efforts to locate the parent and reunify the child with the parent in accordance with subsection (a) of section 17a-111b, unless the court finds in this proceeding that the parent is unable or unwilling to benefit from reunification efforts . . . .” (Emphasis added.)
In the present case, the court found by clear and convincing evidence that the department (1) “made reasonable efforts to reunify the parents with the son,” and (2) “that the parents are either unable or unwilling to benefit from reunification efforts.” The respondent challenges only the court‘s second finding on appeal. To the extent that the court‘s first finding provides an independent basis for satisfying
B
The resрondent‘s second contention is directed at the court‘s finding in the adjudicatory phase of the proceeding that he had failed to rehabilitate himself to such a degree that in the foreseeable future, he would be in a position to adequately provide for his child. The respondent contends that this finding was clearly erroneous. We disagree.
In addition to finding that the commissioner has established by clear and convincing evidence the reunification requirements of
The respondent focuses his contention on the personal rehabilitation requirement of
In addition, we set forth our standard of review. “On appeal, we review a trial court‘s finding that a parent has failed to rehabilitate [himself] in accordance with the rules that apply generally to a trier‘s finding of fact. We will overturn such a finding of fact only if it is clearly erroneous in light of the evidence in the whole
In the present case, the respondent contends that the only evidence the court relied on in finding that he had failed to rehabilitate pursuant to
We fail to perceive how any of these assertions demonstrate that the court‘s finding that the respondent had failed to rehabilitate is clearly erroneous. The record demonstrates that the court expressly predicated its finding not only on the testimony of Randall, but her written report made in connection with her psychological evaluation of the respondent, the mother, the child, and the paternal grandparents. Notwithstanding this additional evidence, even if we were to assume, arguendo, that the court relied solely on Randall‘s testimony, the record reveals that she was expressly asked to opine on the respondent‘s ability to care for the child on the assumption that the respondent would be released from incarceration in early 2013. She testified
On the basis of Randall‘s report and testimony, and the evidence offered by the respondent, the court found that “after eight years of incarceration for various crimes, [the respondent‘s] release to a sober house in March 2013 is only the beginning of a long road for [the respondent] regarding his rehabilitation. There is no evidence of his ability to maintain his sobriety outside of an institutional setting, his ability to seek and maintain housing and employment, and his ability to avoid new entanglements with the criminal justice system. [He] will be on parole and then probation until October 2018. He is subject to re-incarceration for a violation of the terms of either parole or probation, as well as for the commission of any new offenses. [He] needs to focus on these aspects of his life. It is possible that within a year or two he could achieve a certain level of stability and sobriety.” The respondent‘s efforts to improve his own affairs are certainly commendable, but are not dispositive of the question of whether he could assume a responsible position in the life of his child within a reasonable time. See In re Halle T., 96 Conn. App. 815, 838 n.18, 902 A.2d 670, cert. denied, 280 Conn. 924, 908 A.2d 1087 (2006).
In sum, we cannot conclude that the court‘s finding regarding the respondent‘s failure to rehabilitate was clearly erroneous. There was sufficient evidence to support the court‘s finding and we are not left with a definite and firm conviction that a mistake has been made.
C
The respondent‘s final contention is directed at the court‘s finding in the dispositional phase of the proceeding that it was in the best interests of the child to grant the petition for termination of the respondent‘s parental rights. The respondent contends that this finding was clearly erroneous. We disagree.
“In the dispositional phase of a termination of paren
The respondent contends that the court‘s finding that the termination of his parental rights was in the best interests of the child was clearly erroneous because (1) he continues to have meaningful contact with the child, and (2) he has made progress toward rehabilitating himself.
The respondent‘s efforts to rehabilitate, although commendable, speak to his own conduct, not the best interests of the child. The court nevertheless considered such efforts in its dispositional findings, noting that the respondent “took advantage of services offered to him, including substance abuse, mental health, and visitation” and that he “has made efforts at reunification, including successfully completing several programs while incarcerated. He visited his son while incarcerated and took advantage of any programs that were made available to him.” To the extent that the court expressly considered the respondent‘s efforts to rehabilitate in finding that it was in the child‘s best interests to terminate the respondent‘s parental rights, we fail to perceive how such efforts could now undermine the court‘s best interests finding.
With respect to the respondent‘s continued and meaningful contact with the child, it is apparent that the court considered this contact in rendering its best interests finding. The record reveals that the court expressly considered that the child “appeared to have a closer attachment to [the respondent].” Although the child may share a bond with the respondent, “[o]ur courts consistently have held that even when there is a finding of a bond between parent and a child, it still may be in the child‘s best interest to terminate parental rights.”
On the basis of the record before us, we decline to disturb the court‘s finding that the termination of the respondent‘s parental rights was in the best interests of the child.
The judgment is affirmed.
In this opinion the other judges concurred.
SCHALLER, J.
* In accordance with the spirit and intent of
** April 23, 2014, the date that this decision was released as a slip opinion, is the operative date for all substantive and procedural purposes.