State v. DavisState v. Davis
- Reporters:
- , ,
- Before:
- Arthur H. Healey
Lead Opinion
On December 8, 1981, the defendant, Craig Davis, entered a plea of nolo contendere to one count of second degree kidnapping in violation of
The sentencing hearing was held on January 22, 1982. The report from the institute was received by Davis’ counsel on January 21,1982, one day before the hearing. The report concluded that “the present examination provides no evidence of the need for additional diagnostic assessment and/or in-patient treatment at the mental health facility at this time. It is, therefore, the opinion of these examiners that this young man [Davis] does not meet the statutory criteria for commitment (under C.G.S. 17-244 [a]).” At the hearing, Davis requested that sentencing be continued for one week in order to bring in the two people who signed the report from the Whiting Forensic Institute as well as a doctor from the Yale Psychiatric Center who had treated Davis. Davis’ counsel stated to the court that he had planned to bring these three people to the hear*331ing but was unable to do so because the report was only received the day before, leaving him no time to contact the individuals. The state objected to the request for a continuance on two grounds. First, it claimed that the report was unequivocal in its opinion, rendering it unnecessary to have a hearing. It claimed further that there was no authority under the statute to conduct such a hearing. The court, Ment, J., denied the request for a continuance without stating its grounds. After hearing a number of witnesses for both the state and the defendant testify as to the most appropriate sentence, the court imposed a total effective sentence of not less than ten nor more than twenty years to serve.
On February 1, 1982, Davis appealed his sentence to this court. On the same day, he moved in the trial court to open judgment and for reasonable bail pending appeal. The defendant alleged four grounds in the motion to open: the court’s previous refusal to grant a continuance; the court’s acceptance of the report from the Whiting Forensic Institute, when the report made no mention in its recommendation regarding the appropriateness of outpatient care as mandated by
In regard to the motion to open the judgment, the defendant claimed then for the first time that the Whiting report did not comply with the requirements of the statute because it did not make any recommendation regarding the propriety of ordering that Davis be placed on probation.3 The defendant went on to claim that this failure constituted a denial of his due process rights. He also claimed then for the first time that his *333due process rights had been violated by the trial court’s refusal to grant a continuance in order to have a hearing on the recommendation contained in the report filed by the institute. Finally, he claimed, also for the first time, that the statute violated his constitutional rights because
On appeal, the defendant has briefed two issues.5 As stated by the defendant, the first issue is whether “due process requires that at the time of sentencing, the accused be present with counsel, have an opportunity to be heard, be confronted with witnesses against him, have the right to cross examine and to offer evidence of his own.” Although not stated explicitly, it is evident from the defendant’s brief, as well as from that *334of the state, that the defendant has included in this issue the claimed failure of the report to make a recommendation regarding probation.6 The second issue briefed by the defendant is whether “the failure [of
Prior to considering the merits of the defendant’s claims, we must review the procedural posture in which this case has come before us. Specifically, we must address the authority of the trial court to open the judgment in this case.
We begin by noting that pursuant to
The first time the issues briefed in this appeal were brought to the attention of the trial court was at the *335hearing on the motion to open the judgment on February 17,1982. No authority was cited by the defendant as to the trial court’s authority to act at that time. Rather, at the hearing, counsel for the defendant merely alluded to “the general authority in the Superior Court. . . .” Overlooked by both parties is the fact that there are two Practice Book rules on point. Section 934 provides: “At any time during the period of a definite sentence, the judicial authority may, after a hearing and for good cause shown, reduce the sentence or order the defendant discharged or released on probation or on a conditional discharge for a period not to exceed that to which he could have been sentenced originally.” Section 935 provides: “The judicial authority who sentenced the defendant may, within ninety days, correct an illegal sentence or other illegal disposition, or he may correct a sentence imposed in an illegal manner or any other disposition made in an illegal manner.”
The sentence imposed by the trial court in this case was not illegal. Pursuant to
Although “good cause” might have been shown if the defendant had established that the sentencing proceedings on January 22, 1982, violated his constitutional rights, we cannot conclude that any such violation occurred in this case. Therefore, we affirm the decision of the trial court.
The fourteenth amendment provides, in part, “nor shall any State deprive any person of life, liberty or property, without due process of law . . . .” The interest at stake in the present proceeding is Davis’ liberty interest. There are two elements which must be established in order to find a due process violation. First, because not every liberty interest is protected, Davis must establish that he has a liberty interest that comes within the ambit of the fourteenth amendment. Hewitt v. Helms, 459 U.S. 460, 466, 103 S. Ct. 864, 74 L. Ed. 2d 675 (1983); Meachum v. Fano, 427 U.S. 215, 223-24, 96 S. Ct. 2532, 49 L. Ed. 2d 451, reh. denied, 429 U.S. 873, 97 S. Ct. 191, 50 L. Ed. 2d 155 (1976); Board of Regents v. Roth, 408 U.S. 564, 571, 92 S. Ct. 2701, 33 L. Ed. 2d 548 (1972); Society for Sav*337ings v. Chestnut Estates, Inc., 176 Conn. 563, 571, 409 A.2d 1020 (1979). If it is determined that a protected liberty is implicated, then the second element that must be addressed is what procedural protections are “due.” Goss v. Lopez, 419 U.S. 565, 577, 95 S. Ct. 729, 42 L. Ed. 2d 725 (1975); Board of Regents v. Roth, supra, 569-70; Morrissey v. Brewer, 408 U.S. 471, 481, 92 S. Ct. 2593, 33 L. Ed. 2d 484 (1972); see Williams v. Bartlett, 189 Conn. 471, 477, 457 A.2d 290 (1983). Finally, it should be noted that the due process clause only prevents the state from acting in derogation of a protected interest. Vitek v. Jones, 445 U.S. 480, 489, 100 S. Ct. 1254, 63 L. Ed. 2d 552 (1980); Meachum v. Fano, supra, 224; Wolff v. McDonnell, 418 U.S. 539, 557, 94 S. Ct. 2963, 41 L. Ed. 2d 935 (1974). It is significant that this defendant, unlike the individuals seeking relief in such cases as Vitek, Meachum and Wolff, is not the focus of any involuntary deprivation of a right, but rather is himself voluntarily seeking the benefit of the statute.
“Liberty interests protected by the Fourteenth Amendment may arise from two sources—the Due Process Clause itself and the laws of the States.” Hewitt v. Helms, supra, citing Meachum v. Fano, supra. We will consider first whether Davis has a liberty interest protected by the due process clause. It is important at this juncture to note the narrowness of the issue presented because of the circumstances of this case. In determining whether Davis has a liberty interest arising from the due process clause, the issue that must be resolved is whether a defendant, following a valid conviction, has a constitutional right to be sentenced to a particular type of facility. We hold that he does not.
The United States Supreme Court has specifically stated that “given a valid conviction, the criminal *338defendant has been constitutionally deprived of his liberty to the extent that the State may confine him and subject him to the rules of its prison system so long as the conditions of confinement do not otherwise violate the Constitution. The Constitution does not require that the State have more than one prison for convicted felons; nor does it guarantee that the convicted prisoner will be placed in any particular prison if, as is likely, the State has more than one correctional institution. The initial decision to assign the convict to a particular institution is not subject to audit under the Due Process Clause, although the degree of confinement in one prison may be quite different from that in another. The conviction has sufficiently extinguished the defendant’s liberty interest to empower the State to confine him in any of its prisons.” (Emphasis in original.) Meachum v. Fano, supra, 224; see also Vitek v. Jones, supra, 493; Greenholtz v. Nebraska Penal Inmates, 442 U.S. 1, 7, 99 S. Ct. 2100, 60 L. Ed. 2d 668 (1979). Although the specific claim that a convicted defendant has a right to be placed in a mental hospital has not been analyzed under the language quoted from Meachum,8 we believe that the reasoning employed by the court is determinative of this claim. The only limitation placed upon the state in confining a defendant in its prison system is that “the conditions of confinement [must] not otherwise violate the Constitution.” *339Meachum v. Fano, supra. No such claim has been made here; therefore, the state is empowered “to confine him in any of its prisons.”9 (Emphasis in original.) Id.
*340The second source from which a liberty interest can arise is the law of a particular state. Hewitt v. Helms, supra. In the present case, Davis is seeking to be committed to the Whiting Forensic Institute or to be placed on probation so that he may receive outpatient therapy as an alternative to being sentenced to prison pursuant to
In Vitek v. Jones, supra, the court distinguished two types of statutes. The first involved the Nebraska statute under consideration there which prohibited the transfer of a prisoner from a prison to a mental hospital without a finding that the defendant was suffering from a mental illness for which he could not secure adequate treatment in the correctional institution. In this type of statute the court held that a justifiable liberty interest was created. The second type of statute was that found in Meachum v. Fano, supra, which left the decision to transfer prisoners to other facilities in the discretion of the prison authorities. In Meachum, because the prison authorities were empowered with a discretionary *341determination, no justifiable expectation could arise. Id. We find the latter situation to be applicable to the particular statutes under consideration.
In summation, because no constitutionally protected liberty interest was implicated by the trial court’s refusal to grant the defendant’s request for a hearing on the report filed by the Whiting Forensic Institute, we hold that Davis was not deprived of any constitutional right. Therefore, we cannot conclude that, pursuant to
In addition, we cannot find that the claimed failure of the report to comply with the statutory requirements is sufficient to meet the “good cause shown” standard of § 934.10 As noted previously, the only claimed defect *342in the report that is properly before us is its failure to include a recommendation regarding the alternative of sentencing the defendant to a period of probation. Our examination of the Whiting report discloses that the opinion of the examiners was that the defendant should be sentenced in accordance with the conviction. See
The final issue to be addressed is the defendant’s claim that
In Vitek v. Jones, supra, the court noted that confinement in a mental hospital entails “more than a loss of freedom from confinement.” Id., 492. Because of the different nature of the confinement, the court held that the constitution required a hearing before the state could transfer a defendant from a correctional facility to a mental hospital. Id. The purpose of this hearing was to protect the defendant from the “stigmatizing consequences” of a transfer to a mental hospital. The same rationale can be found in
The considerations involved when a defendant is not going to be confined are totally different and justify the omission of holding any hearing. As we have noted, in this latter situation, a valid conviction extinguishes the defendant’s right to be free from confinement and entitles the court or the state to place him in any of its prisons. Meachum v. Fano, supra. We hold that
There is no error.
In this opinion Peters, Parskey and Grillo, Js., concurred.
Notes
“(b) The request for such examination may be made by the state’s attorney or assistant state’s attorney who prosecuted the defendant for *330an offense specified in this section, or by the defendant or his attorney in his behalf. If the court orders such examination, a copy of the examination order shall be served upon the defendant to be examined.
“(c) Upon completion of the physical and psychiatric examination of the defendant, but not later than sixty days after admission to the diagnostic unit, a written report of the results thereof shall be filed in triplicate with the clerk of the court before which he was convicted, and such clerk shall cause copies to be delivered to the state’s attorney and to counsel for the defendant.
“(d) Such report shall include the following: (1) A description of the nature of the examination; (2) a diagnosis of the mental condition of the defendant; (3) an opinion as to whether the diagnosis and prognosis demonstrate clearly that the defendant is actually dangerous to himself or others and requires custody, care and treatment at the institute; and (4) a recommendation as to whether the defendant should be sentenced in accordance with the conviction, sentenced in accordance with the conviction and confined in the institute for custody, care and treatment, placed on probation by the court or placed on probation by the court with the requirement, as a condition to probation, that he receive outpatient psychiatric treatment.”
“(b) If the report recommends confinement at the institute for custody, care and treatment, the court shall set the matter for a hearing not later *332than fifteen days after receipt of the report. Any evidence, including the report ordered by the court, regarding the defendant’s mental condition may be introduced at the hearing by either party. Any staff member of the diagnostic unit who participated in the examination of the defendant and who signed the report may testify as to the contents of the report. The defendant may waive the court hearing.
“(c) If at such hearing the court finds the defendant is not in need of custody, care and treatment at the institute, it shall sentence him in accordance with the conviction or place him on probation. If the court finds that such person is in need of outpatient psychiatric treatment, it may place him on probation on condition that he receive such treatment. If the court finds such person to be mentally ill and dangerous to himself or others and to require custody, care and treatment at the institute, it shall sentence him in accordance with the conviction and order confinement in the institute for custody, care and treatment provided no court may order such confinement if the report does not recommend confinement at the institute. The defendant shall not be subject to custody, care and treatment under this part beyond the maximum period specified in the sentence.”
At the hearing on February 17, 1982, Davis’ counsel stated that the failure of the report to comply with the statute “was the plain thrust of my sentencing argument.” A fair reading of the transcript of the sentencing hearing, however, indicates that this claim was never brought to the attention of the trial court. The basis for the defendant’s request for a continuance was not to enable the examiners at the Whiting Forensic Institute to prepare a report that complied with the statute. Rather, the only basis for the request was to bring in the examiners from the institute as well as a doctor from the Yale clinic.
In his amended preliminary statement of the issues, Davis also included the trial court’s denial of his motion for reasonable bail pending appeal. The trial court, however, reserved decision on this motion. The record does not indicate any action taken by the court in regard to this matter. Furthermore, although the claim was included in the defendant’s brief as part of his “Statement of Issues,” it was never addressed in the body of the brief. Therefore, it will not be considered.
The issue of whether the sentence imposed amounted to cruel and unusual punishment has not been briefed by the defendant and is considered abandoned. Stale v. Daniels, 180 Conn. 101, 104, 429 A.2d 813 (1980); Burritt Mutual Savings Bank v. Transamerica Ins. Co., 180 Conn. 71, 82n, 428 A.2d 333 (1980).
The defendant has also raised for the first time on appeal three other defects in the report. Because these alleged defects were not raised in the trial court, we will not consider them.
Although the defendant entitled his motion as a “Motion to Reopen Judgment,” we find
In Johnston v. State, 152 Ga. App. 133, 262 S.E.2d 161 (1979), the court rejected a claim that a trial court’s refusal to place a defendant convicted of a sex offense in a facility where he could receive psychiatric treatment was cruel and unusual punishment which violated the defendant’s eighth amendment rights. In Canfield v. State, 506 P.2d 987 (Okla. Crim. App.), appeal dismissed, 414 U.S. 991, 94 S. Ct. 342, 38 L. Ed. 2d 230 (1973), reh. denied, 414 U.S. 1138, 94 S. Ct. 884, 38 L. Ed. 2d 763 (1974), the court held that no constitutional rights were implicated where a defendant was sentenced to a facility without psychiatric treatment services, because the decision as to where to place prisoners was a legislative determination.
The cases cited in the defendant’s brief which purportedly support the proposition that Davis was entitled to a hearing are inapposite because they do not address the issue raised in this case. In Baxstrom v. Herold, 383 U.S. 107, 86 S. Ct. 760, 15 L. Ed. 2d 620 (1966), the state was seeking to have a defendant committed to a mental hospital at the expiration of his criminal sentence without the jury review available to all other persons civilly committed in New York. The court held that such a procedure violated the defendant’s rights under the equal protection clause of the fourteenth amendment. Id., 111. On this issue, therefore, this case stands for the principle that a defendant who is being involuntarily committed after serving his term, in which case the state no longer has a penal interest, has a right to procedural protections. In contrast, Davis is voluntarily seeking to be committed as an alternative to serving a prison sentence. There is no affirmative state action involved and no additional sentence being imposed.
Likewise, Specht v. Patterson, 386 U.S. 605, 87 S. Ct. 1209, 18 L. Ed. 2d 326 (1967), is another case in which the state was seeking to impose a potentially greater sentence than could be imposed based upon the crime with which the defendant had been convicted. The only prerequisite was that the trial court find the defendant to be an habitual offender and mentally ill. Id., 607. The defendant was convicted for indecent liberties under a statute carrying a maximum sentence of ten years. He was Sentenced, however, pursuant to a sex offenders act, which carried an indefinite sentence from one day to life. Id. The court held that the issue of whether the defendant qualified as a sex offender was a distinct issue to which due process protections attached. Id., 610. Once again, in the present case, the state is not seeking to impose an additional penalty or to incarcerate the defendant under a different statute from that under which he was convicted; rather, Davis is voluntarily seeking alternative treatment. This also distinguishes the case of State v. Warren, 169 Conn. 207, 363 A.2d 91 (1975), cited by the defendant.
In Lynch v. Overholser, 369 U.S. 705, 82 S. Ct. 1063, 8 L. Ed. 2d 211 (1962), the court was faced with a statute which permitted a trial cou^t automatically to confine a defendant to a hospital for the mentally ill if he is found not guilty by reason of insanity. The court held that where a defendant objects to the introduction of evidence regarding his sanity, if he is thereafter found not guilty by reason of insanity, he is then entitled to the procedures afforded a person being civilly committed. Id., 711. On this issue, therefore, this case stands for the proposition that to commit a person who insists that he is sane is, in effect, an involuntary commitment requiring procedural protections. It is not a case, as here, where the defendant is voluntarily seeking commitment after he has been convicted.
Finally, the two remaining cases cited by the defendant present no con*340stitutional issues. In Cross v. Harris, 418 F.2d 1095 (D.C. Cir. 1969), the court specifically stated: “We have not . . . here . . . decided any constitutional questions.” Id., 1101. It, therefore, provides no support for the defendant. In Leach v. United States, 320 F.2d 670 (D.C. Cir. 1963), the court only held that the trial court abused its discretion by not ordering a psychiatric examination which was requested by the defendant and which was statutorily authorized. Id., 672-73. It did not hold that once the report was completed the defendant had any right to be placed in a particular type of facility.
Because the defendant first raised the lack of statutory compliance at the hearing on the motion to reopen, we need not address the issue of whether a report must follow the requirements of the statute verbatim. This is because the crucial issue presented at the hearing on February 17, 1982, was not whether the report ritualistically followed the requirements of the statute; rather, that issue was whether there was “good cause” under
Concurrence Opinion
(concurring). I agree with the result and the essential holding of the court that the absence of any provision for a hearing to afford an opportunity for a defendant to contest a recommendation against commitment at the Whiting Forensic Institute in the report of the examining psychiatrists made pursuant to
I disagree, however, with the portion of the court’s opinion which indicates that
*345As both grounds upon which the defendant seeks relief in this appeal may be regarded as asserting that the sentence was “imposed in an illegal manner,” § 935 was clearly applicable. I have no overwhelming concern about the pristine integrity of the rules of practice, but I am disturbed by the precedent being set in using the “good cause” standard for modification of a sentence in § 934 to attack the legality of a sentence. Section 934 allows modification of a sentence only by reducing it or ordering the defendant discharged or released on probation or on a conditional discharge. It presupposes a valid sentence to be modified. Unlike § 935, which requires any sentence correction to be made within ninety days, a limitation which the defendant in this case has met, § 934 allows modification at “any time during the period of a definite sentence.” To allow § 934 to be employed for the purpose of considering claims which are cognizable under § 935 defeats the purpose of the provision limiting the time for seeking correction of a sentence alleged to be illegal. In my view, we have no need for this new avenue of post-conviction attacks upon judgments in addition to the right of appeal and the habeas corpus remedy.