State v. CainState v. Cain
Lead Opinion
The dispositive issue of this appeal is whether a 911 emergency telephone call is a “statement” within the meaning of
The relevant facts were stated by the Appellate Court: “From 1985 until December, 1987, the defendant and the victim were romantically involved. In December, 1987, the victim severed her relationship with the defendant. After their breakup, the defend
“On February 14, 1988, the defendant telephoned the victim at her apartment and asked her to go to lunch with him. She refused his invitation and turned on her answering machine to avoid further calls from him. After the victim showered and got dressed, she noticed that her cat was standing by the door. She opened the door and the defendant forced his way into her apartment, forced her onto the sofa, and sexually assaulted her. The victim then retreated to the bathroom and locked the bathroom door behind her. She stayed in this room until the defendant left the apartment.
“After the defendant left her apartment, the victim called a friend, who advised the victim to call 911. The victim then dialed 911 and reported that she had been sexually assaulted and named the defendant as her assailant. The defendant was arrested and charged with first degree sexual assault and burglary in the third degree, and was released on bond.” State v. Cain,
On appeal to the Appellate Court, the defendant claimed that the trial court improperly denied his motion to strike the testimony of the victim, because of the state’s failure to produce the tape of her 911 telephone call. Id., 507. The Appellate Court stated the following facts that were necessary for the resolution of that claim: “At trial, the victim testified that when she called her friend after the defendant had left the apartment, she told her, ‘Tony assaulted me.’ The victim also testified that when she dialed 911 to report
“Before the trial began, the trial court granted the defendant’s motion for discovery seeking ‘[c]opies of statements of prosecution witnesses in the possession of the State or its agents, including state and local law enforcement officers, which statements relate to the subject matter about which the witness will testify . . . .' Although the 911 call was tape-recorded when it was made, this tape was erased thirty days after the incident pursuant to Milford police department policy. Consequently, the state was unable to produce the tape at the time of trial. The defendant contends that the destruction of the 911 tape and the state’s inability to produce it violated his rights under
The Appellate Court held, in accordance with an acknowledgment by the state, that the tape recording of the 911 call was a “statement” within the meaning of
We granted the defendant’s petition for certification, as supplemented by the state’s response thereto.
With respect to the first certified question; see footnote 7; the defendant argues that, first, under the plain language of
We begin with a history and description of the 911 emergency telephone call system in our state.
Since the 911 system identifies only the telephone number and geographical location of the source of the incoming call, but not necessarily the location and nature of the need for service, that information can only
Since tape recordings of 911 calls are public records, they are subject to the regulations regarding preservation and disposition of such records promulgated by the public records administrator pursuant to
With this background in mind, we turn to the defendant’s contention that the language of
Pursuant to these Practice Book sections, whenever the state or its agents tape-records the words of an individual and that individual subsequently testifies for the state in a criminal trial regarding the subject matter of his tape-recorded words, that tape recording must have been preserved for production to the defendant in that trial pursuant to a request under § 752. Thus, if a tape recording is deemed to be a “statement” within the meaning of § 749 (2), the state or its agents must preserve that tape recording, or a copy thereof, until its production is requested in a criminal trial some time in the future. This means, therefore, that some such tape recordings must be preserved almost indefinitely, since there will be some cases in which the trial may not take place until many years after the tape recording in question was made, either because no arrest was made until years later, or because the defendant had absconded, or for other valid reasons. It also means that whenever the state or any of its agencies, which under the defendant’s reading of §§ 749 and 752 includes all municipalities, tape-records an individual’s words, that tape recording must be preserved on the chance that it will be required to be produced at some time in the future pursuant to a request under § 752.
Application of this analysis to the tape-recording of 911 telephone calls leads us to conclude at a minimum that, despite the seemingly clear language of § 749 (2), it is not absolutely clear that the definition of “statement” was intended to include such a tape recording. Furthermore, even if we were to regard § 749 (2) as clear, a literal interpretation of that section would lead to an unworkable result. Such a conclusion would mean, as a practical matter, that each municipality would be required by the provisions of the Practice Book to preserve indefinitely tapes of all 911 emergency telephone
The extent of the administrative and financial burdens that this process would impose cannot be gainsaid.
That this would be the result of the strict application of purportedly “unambiguous” language, despite the obvious administrative and financial burdens imposed thereby, counsels strongly that we look further into its intended meaning. Indeed, the defendant’s suggested limitation on § 749 (2), that it applies only to tape recordings that might foreseeably be relevant to a subsequent criminal prosecution, is itself an implicit acknowledgment that the language of § 749 (2) cannot be taken literally in all cases, since no such limitation appears in that literal language. As applied to tape recordings of 911 telephone calls, therefore, § 749 (2) is inherently ambiguous. See In re Jessica M.,
We turn, therefore, to an analysis of the history and purpose of § 749 (2) in order to determine whether that section was intended to apply to 911 tape recordings. See Lauer v. Zoning Commission,
Until 1976, our rules of practice contained few provisions governing procedure in criminal cases. Responding to the need for a comprehensive set of such rules, the judicial branch established an Advisory Committee to Revise the Criminal Rules, consisting of representatives of the prosecution, defense and judiciary.
The definition of “statement” contained in
One of the principal purposes of the federal Jencks Act was to guard against the risk that “[distortion can be a product of selectivity as well as the conscious or inadvertent infusion of the recorder’s opinions or impressions. It is clear from the continuous congressional emphasis on ‘substantially verbatim recital,’ and ‘continuous, narrative statements, made by the witness
Aside from this general reference to certain of the inferences to be drawn from the legislative history regarding the scope and purpose of the Jencks Act, we have not discovered any similar discussion regarding the scope and purpose of that part of the definition of “statement” with which this case is concerned, namely, the simultaneous recording of an oral statement of a witness. Senate Report No. 981, which accompanied Senate Bill No. 2377, the Senate version of the proposed legislation, stated that “it is the specific intent of the bill to provide for the production only of written statements previously made by a Government witness in the possession of the United States which are signed by him or otherwise adopted or approved by him, and any transcriptions or recordings of oral statements made by the witness to a Federal law officer . . . .” S. Rep. No. 981, 85th Cong., 1st Sess., reprinted in 1957 U.S. Code Cong. & Ad. News 1862. The House of Representatives version, House Bill No. 7915, did not specifically include tape-recorded statements. It referred only to “such reports or statements of the witness in the possession of the United States as are signed by the witness, or otherwise adopted or approved by him as correct . . . .” (Emphasis in original.) H.R. Rep. No. 700, 85th Cong., 1st Sess. (1957), reprinted in III House Miscellaneous Reports on Public Bills 5. Commenting on the difference between the two versions, the joint Senate and House conference report simply stated that “[t]o remove any doubt as to the kinds of statements affected by the bill as agreed to by the con
We draw several conclusions from this history. First, since the source of
Earlier in this opinion, in the context of determining that the language of § 749 (2) is inherently ambiguous as applied to tape recordings of 911 calls, we outlined the severe administrative and financial burdens that would flow from such an application. See footnote 16, supra, and accompanying text. In the same context, we also discussed the state’s legislative and administrative response to the problem of preserving and maintaining such tapes for lengthy periods of time, namely, that under current schedules promulgated by the public records administrator pursuant to
Thus, when we are asked to read ambiguous rule-making language so as to yield such an unworkable result, we should require a clear indication of judicial intent to do so. There is no such indication in the language or history of § 749 (2). It is highly unlikely, therefore, that § 749 (2) was ever intended to encompass tape recordings of 911 calls, as those calls are made and received pursuant to our statewide, legislatively mandated 911 system.
Second, the definition contained in § 749 (2) derives directly from the Jencks Act. The thrust of the definition of “statement” under that act was to guard against
Finally, § 749 (2) was adopted by the judges in 1976 and was, at that time, taken directly from the Jencks Act definition adopted by the Congress in 1957. The 911 designation for emergency telephone calls was not designated by AT&T until 1968, however, and the telephonic system currently in place was not legislatively mandated until 1984 and not implemented, in accordance with that mandate, until 1989. This time sequence further convinces us that, when, in 1976, the advisory committee drafted and the judges adopted the language of § 749 (2), they did not contemplate that it would be applied in 1992 to a complex telephonic system that did not exist in 1976 and that, by legislative mandate, inextricably links, not only local law enforcement agencies, but fire, ambulance, medical and other emergency services as well.
The conclusion that § 749 (2) does not include a tape recording of a 911 emergency telephone call does not mean, as the defendant suggests, that the rights of defendants to fair trials will be severely impaired. In the eight years beginning with State v. Myers,
We emphasize that we do not decide in this case whether, upon a timely motion of the defendant and the requisite showing of good cause,
The judgment of the Appellate Court is affirmed.
In this opinion Peters, C. J., Callahan and Glass, Js., concurred.
Notes
“(b) Sexual assault in the first degree is a class B felony for which one year of the sentence imposed may not be suspended or reduced by the court.”
“(b) Burglary in the third degree is a class D felony.”
The defendant was also convicted of harassment in the second degree in violation of
“(b) If the prosecution fails to comply with the order of the court, the court shall strike from the record the testimony of the witness and the trial shall proceed unless the court in its discretion shall determine that the interests of justice require that a mistrial be declared.”
The defendant’s arguments in support of his claims of constitutional violations are premised on the antecedent claim that the tape recording in question was a discoverable statement of a witness for the state pursuant to
We certified the following questions: “1. Do Practice Book sections 748 through 755 require a municipality to preserve and produce 911 tapes?
“2. Did the Appellate Court properly establish a one year retention period for such tapes?
“3. Did the Appellate Court apply the proper harmless error standard to the destruction of the 911 tape in this case?
“4. What was the effect of the defendant’s failure promptly to seek preservation of the 911 tape in this case?” State v. Cain,
Although our granting of certification referred only to the provisions of the Practice Book, and did not refer to the provisions of General Statutes S 54-86b; see footnote 7, supra; the defendant also relies on the provisions of the statute. Unlike
This conclusion is buttressed by reference to the only legislative history applicable to
We acknowledge, as the defendant points out, that until now our cases have treated a tape recording of a 911 call as a “statement” under
Significantly, we have found no case of an appellate court in this nation that has explicitly held that a tape recording of a 911 emergency telephone call is a statement of a witness that must be preserved and disclosed to the defendant pursuant to rules of practice similar to
This conclusion renders it unnecessary to consider the remaining certified questions in this case.
As explained in the text, infra, Connecticut municipalities operate an “enhanced 9-1-1” system. This is a system that automatically identifies on a screen the telephone number and geographical location from which the call was made.
These statutes are located at chapter 518a of the General Statutes, entitled “Emergency Telecommunications.”
The public records administrator is appointed by the state librarian to carry out the duties of the librarian pursuant to
“(b) The state librarian shall, subject to the provisions of chapter 67, appoint an assistant who shall be the public records administrator. All powers, functions and duties assigned to the examiner of public records are hereby transferred to the public records administrator.”
“(b) In addition to the protection provided under subsection (a) of this section, each municipality shall protect and save harmless any such municipal officer or municipal employee from financial loss and expense, including legal fees and costs, if any, arising out of any claim, demand or suit instituted against such officer or employee by reason of alleged malicious, wanton or wilful act or ultra vires act, on the part of such officer or employee while acting in the discharge of his duties. In the event such officer or employee has a judgment entered against him for a malicious, wanton or wilful act in a court of law, such municipality shall be reimbursed by such officer or employee for expenses it incurred in providing such defense and shall not be held liable to such officer and employee for any financial loss or expense resulting from such act.
“(c) Each such municipality may insure against the liability imposed by this section in any insurance company organized in this state or in any insurance company of another state authorized to write such insurance in this state or may elect to act as self-insurer of such liability.
“(d) No action shall be maintained under this section against such municipality or employee unless such action is commenced within two years after the cause of action therefor arose nor unless written notice of the intention to commence such action and of the time when and the place where the damages were incurred or sustained has been filed with the clerk of such municipality within six months after such cause of action has accrued.
“(e) For the purposes of this section ‘municipality’ means any town, city, borough, consolidated town and city, consolidated town and borough, district, district department of health, or authority established by the general statutes, a special act or local law, ordinance or charter or any public agency.”
While the dissent may be “bewildered” by these so-called “new” rules of statutory construction, each rule is a well established tenet of statutory construction. See Rose v. Freedom of Information Commission,
The amicus, the city of Milford, points out that in Milford a 911 telephone call is received at two points—the public safety answering point and the department or service to which the call is transmitted. Each point has its own recording system. Thus, each tape would have to be preserved.
The amicus also represents to us that, even under the Appellate Court’s proposed one year retention schedule, the additional annual cost to the city of Milford of purchasing the required twenty-four hour tapes for each day of the year, rather than erasing and reusing them every thirty days under the public records administrator’s schedule, would be $35,499.75. This does not include, moreover, the additional costs for making copies of the tapes when requested if the case comes to trial, for the additional labor required to catalog, inventory, store, maintain and transfer the tapes to the proper party upon request, or for the construction or purchase of adequately dry and ventilated storage facilities in order to prevent the deterioration of the tapes. Nor does this estimate include, of course, the additional cost if such tapes were required to be preserved indefinitely, rather than merely for the one year period established by the Appellate Court.
Title 18 of the United States Code,
We do not suggest that
Indeed, that is true as well regarding the only other jurisdictions that have considered the effect on the trial of the erasure of a 911 tape recording assumed to have been a Jencks Act type statement. See, e.g., Slye v. United States,
Dissenting Opinion
dissenting. “A basic tenet of statutory construction is that when a statute [or Practice Book rule] is clear and unambiguous, there is no room for construction.” (Internal quotation marks omitted.) State v. Genotti,
Even applying the majority’s new tenet of construction, I fail to see what is not “absolutely” clear about
Likewise,
The majority does not rely only on the fact that § 749 (2) is not “absolutely clear and unambiguous.” They also create another new rule. According to the majority, even if the language to be construed is clear “on its face,” this court will avoid enforcing it if “a literal interpretation . . . would lead to unworkable results . . . .” The trouble with this is twofold.
First, the majority’s reliance on Fairfield Plumbing & Heating Supply Corporation v. Kosa,
Indeed, the majority of the Appellate Court points out that the “state acknowledges that the 911 tape is a statement within the meaning of
Moreover, the failure to provide the defense with the tape of the victim’s 911 call implicates the defendant’s
When the factors set forth in Belle are applied to this case, it is apparent that the statements made by the victim
“From the evidence adduced at trial, the state could not prove that the [nonproduction of the] missing 911 statement was harmless beyond a reasonable doubt. The defendant’s conviction rested squarely on the victim’s testimony in this case and her testimony contained critical inconsistencies. On direct examination, the victim testified that the first person she called after the incident was her friend. The victim claimed that she told her friend that the defendant had assaulted her. She then testified that after this conversation she called 911 and reported: T was raped.’ During her cross-examination, the victim testified that she told her friend, ‘[the defendant] raped me,’ not ‘[the defendant] hit me,’ as her friend had testified. She then explained that in her prior testimony she had used the word ‘assaulted’ because she was afraid to use the term ‘rape,’ and that she had, in fact, told her friend that she was raped. During recross[-examination], the victim reaffirmed the sequence of her telephone calls and that she had reported to the 911 operator that she had been raped. The victim’s friend testified that the victim called and said ‘[the defendant] hit me,’ but she was not certain of the wording, and later testified that it sounded like ‘[the defendant] hit me.’ The state submitted into evidence the victim’s statement to the police
The credibility of the victim was on the line and it was a critical issue in the case. Under the circumstances, even if we apply a standard that the state need prove only that it was more probable than not that the state’s nonproduction was harmless; State v. Johnson, supra, 175; a reversal is required. Although we are unable to determine what was on the 911 tape, its production would have given the defendant the opportunity to prove that what happened was not, in fact, a sexual assault. In short, I am bewildered by the majority opinion.
Accordingly, I dissent.
“(b) If the prosecution fails to comply with the order of the court, the court shall strike from the record the testimony of the witness and the trial shall proceed unless the court in its discretion shall determine that the interests of justice require that a mistrial be declared.”
“The application of Connecticut’s rules of construction has become exceedingly complex and unpredictable. This is due, in part, to the fact that the rule prohibiting a court from looking behind the plain and unambiguous language of an act has become blurred to the point where the court will often look beyond that language without first deciding the threshold issue of whether an ambiguity exists. . . . Thus, one can never be certain, no matter how clear and unambiguous the language of an act may be, that the court will not look beyond that language and interpret it in a manner contrary to its literal meaning. Such action, however, disregards the court’s prior warning that the ‘[g]eneral rules of construction are but imprecise and uncertain guides to the legislative intent behind an ambiguous enactment, and we must employ them with caution.’ [Levin-Townsend Computer Corporation v. Hartford,
The construction of
It is interesting that the state and its subdivision do not have any problem preserving 911 tapes when they aid in the prosecution of a person. See, e.g., State v. Traficonda,