State v. FERNANDO A.State v. FERNANDO A.
Lead Opinion
Opinion
In this рublic interest appeal, we consider the nature of the hearing that a defendant must receive prior to the issuance of a criminal protective order in a family violence case (criminal protective order) pursuant to
The record reveals the following undisputed facts and procedural history. The defendant and his wife are involved in divorce proceedings. On October 14, 2007, the defendant was arrested on numerous family violence criminal charges arising from an incident wherein he allegedly had assaulted his wife.
Subsequently, on October 18, 2007, the defendant appeared before the trial court, Bingham, J., to request an evidentiary hearing to contest the continuation of the criminal protective order. The defendant argued that he was entitled to a full evidentiary hearing under both
On appeal, the defendant contends, inter alia, that the trial court improperly failed to conduct an evidentiary hearing prior to issuing a criminal protective order because
In response, the state contends that criminal protective orders arise from bail or pretrial release proceedings that do not by themselves require an evidentiary hearing. The state also argues that, when the legislature enacted No. 07-123, § 1, of the 2007 Public Acts (P.A. 07-123), which amended
“Issues of statutory construction raise questions of law, over which we exercise plenary review. . . . The process of statutory interpretation involves the determination of the meaning of the statutory language as applied to the facts of the case, including the question of whether the language does so apply. . . .
“When construing a statute, [o]ur fundamental objective is to ascertain and give effect to the apparent intent of the legislature. ... In other words, we seek to determine, in a reasoned manner, the meaning of the statutory language as applied to the facts of [the] case,
We begin with the text of
The text of
Subsection (d) of
Similar to
The legislative history of both
The legislative history of the cross-referenced
Thus, it is significant that the language of
A review of other criminal procedure statutes demonstrates that, when the legislature has desired to impose specific requirements on the conduct of a pretrial hearing, it has said so explicitly. For example,
Moreover, our construction of
We agree, however, with the defendant’s claims that the extended effects of that initial emergency order may well cause a defendant significant pretrial deprivations of family relations and/or property.
With respect to the type of proof required at this subsequent hearing, we further conclude that, inasmuch
Indeed, requiring the evidence admitted at this subsequent hearing to comply with the rigors of the rules
Accordingly, we conclude that
The order in Docket No. SC 18103 is affirmed. The order in Docket No. SC 18045 is reversed and the case is remanded for further proceedings in accordance with the preceding paragraph.
In this opinion ROGERS, C. J., and VERTEFEUILLE, ZARELLA and McLACHLAN, Js., concurred.
Notes
This appeal is the consolidation of two separate proceedings, Docket Nos. SC 18045 and SC 18103. Docket No. SC 18045 is an appeal from the October 18, 2007 order of the trial court, Bingham,, J., filed pursuant to
“(b) The Chief Justice shall, within one week of receipt of the appeal, rule whether the issue involves a substantial public interest and whether delay may work a substantial injustice. . . .”
Because Chief Justice Rogers was unavailable, Justice Norcott, as the senior available associate justice, considered and granted the defendant’s application in SC 18045 pursuant to
Docket No. SC 18103 is an appeal from the October 15, 2007 order of the trial court, Pavia, J., to the Appellate Court, and raises an issue identical to that of the certified appeal in SC 18045. Ordinarily, this appeal would not properly be before this court because a defendant’s exclusive nondiscretionary remedy from an order concerning conditions of release is a petition to the Appellate Court pursuant to
“(b) The Court Support Services Division, in accordance with the agreement between the Chief State’s Attorney and the Judicial Department, shall establish within each geographical area of the Superior Court a local family violence intervention unit to implement sections 46b-1, 46b-15, 46b-38a to 46b-38f, inclusive, and 54-lg. The Court Support Services Division shall oversee direct operations of the local units.
“(c) Each such local family violence intervention unit shall: (1) Accept referrals of family violence cases from a judge or prosecutor, (2) prepare written or oral reports on each case for the court by the next court date to be presented at any time during the court session on that date, (3) provide or arrange for services to victims and offenders, (4) administer contracts to carry out such services, and (5) establish centralized reporting procedures. All information provided to a family relations officer in a local family violence intervention unit shall be solely for the purposes of preparation of the report and the protective order forms for each case and recommendation of services and shall otherwise be confidential and retained in the files of such unit and not be subject to subpoena or other court process for use in any other proceeding or for any other purpose, except that if the victim has indicated that the defendant holds a permit to carry a pistol or revolver or possesses one or more firearms, the family relations officer shall disclose such information to the court and the prosecuting authority for appropriate action.
“(d) In all cases of family violence, a written or oral report and recommendation of the local family violence intervention unit shall be available to a judge at the first court date appearance to be presented at any time during the court session on that date. A judge of the Superior Court may consider and impose the following conditions to protect the parties, including, but not limited to: (1) Issuance of a protective order pursuant to subsection (e) of this section; (2) prohibition against subjecting the victim to further violence; (3) referral to a family violence education program for batterers; and (4) immediate referral for more extensive case assessment. Such protective order shall be an order of the court, and the clerk of the court shall cause (A) a certified copy of such order to be sent to the victim, and (B) a copy of such order, or the information contained in such order, to be sent by facsimile or other means within forty-eight hours of its issuance to the law enforcement agency for the town in which the victim resides and, if the defendant resides in a town different from the town in which the victim
“(e) A protective order issued under this section may include provisions necessary to protect the victim from threats, harassment, injury or intimidation by the defendant, including, but not limited to, an order enjoining the defendant from (1) imposing any restraint upon the person or liberty of the victim, (2) threatening, harassing, assaulting, molesting or sexually assaulting the victim, or (3) entering the family dwelling or the dwelling of the victim. A protective order issued under this section may include provisions necessary to protect any animal owned or kept by the victim including, but not limited to, an order enjoining the defendant from irquring or threatening to injure such animal. Such order shall be made a condition of the bail or release of the defendant and shall contain the following language: ‘In accordance with section 53a-223 of the Connecticut general statutes, any violation of this order constitutes criminal violation of a protective order which is punishable by a term of imprisonment of not more than five years, a fine of not more than five thousand dollars, or both. Additionally, in accordance with section 53a-107 of the Connecticut general statutes, entering or remaining in a building or any other premises in violation of this order constitutes criminal trespass in the first degree which is punishable by a term of imprisonment of not more than one year, a fine of not more than two thousand dollars, or both. Violation of this order also violates a condition of your bail or release, and may result in raising the amount of bail or revoking release.’ Every order of the court made in accordance with this section after notice and hearing shall also contain the following language: ‘This court had jurisdiction over the parties and the subject matter when it issued this protection order. Respondent was afforded both notice and opportunity to be heard in the hearing that gave rise to this order. Pursuant to the Violence Against Women Act of 1994, 18 USC 2265, this order is valid and enforceable in all fifty states, any territory or possession of the United States, the District of Columbia, the Commonwealth of Puerto Rico and tribal lands.’ The information contained in and concerning the issuance of any protective order issued under this section shall be entered in the registry of protective orders pursuant to section 51-5c. ...”
The defendant was charged with one count each of the crimes of assault in the third degree in violation of
The fourteenth amendment to the United States constitution, § 1, provides in relevant part: “No State shall . . . deprive any person of life, liberty or property, without due process of law . . .
Specifically, Judge Bingham concluded that giving the defendant a full evidentiary hearing with the right to examine and subpoena witnesses, including the complainant, would place an “undue burden” on the complainant, who had indicated her fear of the defendant. Judge Bingham also rejected the defendant’s statutory argument, concluding that the language of the statute did not expressly mandate a “full evidentiary hearing,” and required only notice and the opportunity to be heard. For a more complete discussion of Judge Bingham’s ruling, see footnote 26 of this opinion.
We note that Judge Bingham subsequently modified the criminal protective order to permit the defendant some visitation with his children.
“(b) The application form shall allow the applicant, at the applicant’s option, to indicate whether the respondent holds a permit to carry a pistol or revolver or possesses one or more firearms. The application shall be accompanied by an affidavit made under oath which includes a brief statement of the conditions from which relief is sought. Upon receipt of the application the court shall order that a hearing on the application be held not later than fourteen days from the date of the order. The court, in its discretion, may make such orders as it deems appropriate for the protection of the applicant and such dependent children or other persons as the court sees fit. Such order may include temporary child custody or visitation rights and such relief may include but is not limited to an order enjoining the respondent from (1) imposing any restraint upon the person or liberty of the applicant; (2) threatening, harassing, assaulting, molesting, sexually assaulting or attacking the applicant; or (3) entering the family dwelling or the dwelling of the applicant. The court, in its discretion, may make such orders as it deems appropriate for the protection of any animal owned or kept by the applicant including, but not limited to, an order enjoining the respondent from injuring or threatening to ipjure such animal. If an applicant alleges an immediate and present physical danger to the applicant, the court may issue an ex parte order granting such relief as it deems appropriate. If a postponement of a hearing on the application is requested by either party and granted, the order shall not be continued except upon agreement of the parties or by order of the court for good cause shown.
“(c) Every order of the court made in accordance with this section shall contain the following language: ‘This order may be extended by the court beyond six months. In accordance with section 53a-107, entering or remaining in a building or any other premises in violation of this order constitutes criminal trespass in the first degree. This is a criminal offense punishable by a term of imprisonment of not more than one yeаr, a fine of not more than two thousand dollars or both.’
“(d) No order of the court shall exceed six months, except that an order may be extended by the court upon motion of the applicant for such additional time as the court deems necessary. If the respondent has not appeared
“(e) The applicant shall cause notice of the hearing pursuant to subsection (b) of this section and a copy of the application and the applicant’s affidavit and of any ex parte order issued pursuant to subsection (b) of this section to be served on the respondent not less than five days before the hearing. The cost of such service shall be paid for by the Judicial Branch. Upon the granting of an ex parte order, the clerk of the court shall provide two certified copies of the order to the applicant. Upon the granting of an order after notice and hearing, the clerk of the court shall provide two certified copies of the order to the applicant and a copy to the respondent. Every order of the court made in accordance with this section after notice and hearing shall contain the following language: ‘This court had jurisdiction over the parties and the subject matter when it issued this protection order. Respondent was afforded both notice and opportunity to be heard in the hearing that gave rise to this order. Pursuant to the Violence Against Women Act of 1994,18 USC 2265, this order is valid and enforceable in all fifty states, any territory or possession of the United States, the District of Columbia, the Commonwealth of Puerto Rico and tribal lands.’ Immediately after making service on the respondent, the proper officer shall send or cause to be sent, by facsimile or other means, a copy of the application, or the information contained in such application, stating the date and time the respondent was served, to the law enforcement agency or agencies for the town in which the applicant resides, the town in which the applicant is employed and the town in which the respondent resides. The clerk of the court shall send, by facsimile or other means, a copy of any ex parte order and of any order after notice and hearing, or the information contained in any such order, to the law enforcement agency or agencies for the town in which the applicant resides, the town in which the applicant is employed and the town in which the respondent resides, within forty-eight hours of the issuance of such order. ...”
“(b) A protective order shall set forth the reasons for the issuance of such order, be specific in terms and describe in reasonable detail, and not by reference to the complaint or other document, the act or acts being restrained. A protective order issued under this section may include provisions necessary to protect the witness from threats, harassment, irvjury or intimidation by the adverse party including, but not limited to, enjoining the adverse party from (1) imposing any restraint upon the person or liberty of the witness, (2) threatening, harassing, assaulting, molesting or sexually assaulting the witness, or (3) entering the dwelling of the witness. Such order shall contain the following language: ‘In accordance with section 53a-223 of the Connecticut general statutes, any violation of this order constitutes criminal violation of a protective order which is punishable by a term of imprisonment of not more than five years, a fine of not more than five thousand dollars, or both. Additionally, in accordance with section 53a-107 of the Connecticut general statutes, entering or remaining in a building or any other premises in violation of this order constitutes criminal trespass in the first degree which is punishable by a term of imprisonment of not more than one year, a fine of not more than two thousand dollars, or both.’ If the adverse party is the defendant in the criminal case, such order shall be made a condition of the bail or release of the defendant and shаll also contain the following language: ‘Violation of this order also violates a condition of your bail or release and may result in raising the amount of bail or revoking release.’ . . .”
On appeal, the defendant also renews his claim that the due process clauses of the United States and Connecticut constitutions; see
The procedure for the release of an arrestee is set forth by
Although State v. Doe, supra,
“(b) If the court, after an evidentiary hearing at which hearsay or secondary evidence shall be admissible, finds by clear and convincing evidence that the defendant has violated reasonable conditions imposed on the defendant’s release it may impose different or additional conditions upon the defendant’s release. If the defendant is on release with respect to an offense for which a term of imprisonment of ten or more years may be imposed and the court, after an evidentiary hearing at which hearsay or secondary evidence shall be admissible, finds by clear and convincing evidence that the defendant has violated reasonable conditions of the defendant’s release and that the safety of any other person is endangered while the defendant is on release, it may revoke such release.
“(c) If the defendant is on release with respect to an offense for which a term of imprisonment of ten or more years may be imposed and the court, after an evidentiary hearing at which hearsay or secondary evidence shall be admissible, finds by clear and convincing evidence that the safety of any other person is endangered while the defendant is on release and that there is probable cause to believe that the defendant has committed a federal, state or local crime while on release, there shall be a rebuttable presumption that the defendant’s release should be revoked. . . .” (Emphasis added.)
Other statutes similarly are illustrative of the legislature’s prerogative to require that the courts conduct a certain type of adversarial or evidentiary hearing. See, e.g.,
It is undisputed that criminal protective orders may have a significant impact on a defendant’s fundamental constitutional rights. See Williams v. State,
. .. The orders also exclude him from real property in which [the] defendant otherwise shares ownership and a right to possession.” [Citations omitted.]); Moore v. Moore,
On June 27, 2008, after this case had been argued before the original panel of this court, we ordered the parties to file supplemental briefs addressing the following question: “If this court concludes that an evidentiary hearing is required for the imposition of a domestic violence protective order in a criminal case, should the state be required to prove the necessity of that order by a preponderance of the evidence or by clear and convincing evidence?” Thereafter, both the state and the defendant filed comprehensive
We emphasize that this subsequent hearing should not be a minitrial on the underlying criminal charges, or, put differently, the state is not required to prove the elements of those crimes charged by a preponderance of the evidence. Indeed, only those defendants charged with crimes punishable by death or life imprisonment have a right to a probable cause hearing in Connecticut. See, e.g., State v. Mitchell,
We note that the defendant does not argue that the confrontation clause of the sixth amendment to the United States constitution requires that he be given the absolute right to examine the complainant at this early stage in the proceedings, particularly if she does not appear to testify on the state’s behalf. See State v. Randolph, 284 Conn. 328, 378-79 n.15,
Should the trial court, in the exercise of its sound discretion, deem it necessary for the complainant or children to testify, we note that such testimony may be taken and the witness cross-examined in a manner intended to address concerns, expressed herein by the state and the amici curiae, Connecticut Coalition Against Domestic Violence, office of the victim advocate and department of children and families, as well as both Justices Palmer and Schaller in their dissents, about the potential intimidation of testifying complainants and children. Cf. Public Acts 2008, No. 08-67, § 1, codified at
Justice Schaller expresses concern about the uncertainties that might develop during the implementation of this procedure, namely, the definition of terms such as “reasonable time,” and whether the arraignment court must inform the defendant of his right to the subsequent hearing. We acknowledge the impracticability of addressing in dicta every possible dispute that might arise during the implementation of this, or any other, judicial decision, and note that many such concerns are best addressed either through the rule-making process or the development of future case law.
Justice Schaller argues in his dissent that our conclusion is “unwise policy” because, given the “unique kind of vulnerability” of family violence victims, the likelihood of examination and cross-examination at an early stage in the proceedings will deter them from pursuing criminal complaints against their abusers. We acknowledge Justice Schaller’s observations about the unique concerns of those involved in family violence cases, and emphasize that the state is not required to call a family violence complainant to testify at the subsequent hearing, and the trial court retains considerable discretion about whether to grant such a request by the defendant. To the extent that a defendant does “proffer [a] highly damaging [challenge]” to a complainant’s account, “virtually compelling the state to call victims in order to prove the necessity of continuing the order,” that concern is dependent solely on the trial court’s assessment of the credibility of the defense. Moreover, should the trial court in its discretion deem the complainant’s testimony necessary prior to the issuance of a criminal protective order, statutory mechanisms exist to facilitate that testimony in a manner that will mitigate intimidation concerns. See footnote 22 of this opinion.
In his dissent, Justice Palmer argues that we should affirm the judgment of the trial court because the defendant failed to argue before the trial court in support of the particular conclusion of law that we adopt herein, and argued only that he was entitled to a full, trial-like, evidentiary hearing. We agree, however, with Justice Schaller that Justice Palmer’s position represents a hypertechnical and unduly restrictive application of the rules of preservation, which we acknowledge “generally limit this court’s review to issues that are distinctly raised at trial.” (Internal quotation marks omitted.) Rowe v. Superior Court,
A review of the applicable transcript reveals that a reversal in this interlocutory public interest appeal does not operate as a judicial ambush of Judge Bingham, as, after he denied the defendant a full, trial-like hearing, defense counsel questioned him about the nature of the hearing to which the defendant was entitled. Defense counsel also pointed out that the state had not shown him any supporting affidavits, notwithstanding the fact that the defendant himself did not make a proffer in support of his request to call witnesses. Finally, a reversal here would not frustrate judicial economy, as the case has not been tried, and no evidence has been admitted in this pretrial hearing; this appeal, therefore, concerns solely a proposition of law that requires the defendant to receive what likely will be a brief hearing.
Indeed, for a more complete understanding of what took place before Judge Bingham, we note in detail that, during argument, the following exchange occurred between Judge Bingham and defense counsel.
“The Court: Well . . . you’re not entitled to a full hearing, with the right to subpoena witnesses and the right to call the wife. This puts an undue burden on the wife because she has—and the affidavits, evidently, indicate
“[Defense Counsel]: If I may then, Your Honor, if we’re doing it today, Iwouldpointoutto the court that we’ve been shoumno affidavits.’’ (Emphasis added.)
After further argument on the legislature’s intent, the following exchange occurred between the prosecutor, the court and defense counsel.
“[The Prosecutor]: . . . [W]e don’t do this arbitrarily and cavalierly. We have pictures; this is a documented case. This is not something that we’re just saying it’s a credibility issue, here. There’s plenty of facts that substantiate probable cause that the police found to make an arrest, and certainly the issuance of a protective order. That’s all I have to say, Your Honor. And, counsel, if the Appellate Court agrees with you, then the state will, in the future—will comply with any evidentiary hearing the court deems fit.
“The Court: Well—
“[The Prosecutor]: I’m going to ask for a continuance, Your Honor. We can put it on the regular docket. I think counsel’s been heard in our argument. I think it’s essentially a legal argument, Your Honor. The court would certainly be leaving—we issue, literally, hundreds and hundreds of these a week, Your Honor. And I’m not saying court efficiency or court economy is the determinant fact here, but the court understands the type of argument counsel is making. He’s saying that, essentially, we have a little minitrial before we have another trial, to determine whether this happened. The court makes decisions like this all the time, and not just only domestic violence cases. The fact that she’s a woman, believe me, plays no determination in this whatsoever for the state’s opinion on this case. It has nothing to do with it.
“[Defense Counsel]: I can only act on the basis of what I’ve heard in this courtroom, counsel.
“The Court: Well, my ruling is that you are not entitled to a full trial, with the ability to subpoena witnesses and have a full trial.
“[Defense Counsel]: May I know, then, Your Honor’s interpretation of the nature of the hearing that we are, then, permitted under§ 46b-38c , as referenced in Public Act 07-1231
“The Court: We gave you a right to be heard today.
“[Defense Counsel]: How, Your Honor, when I have heard no evidence against my client except statements which are not under oath? There [are] no facts before the court when, in fact, the Public Act itself states that the . . . protective order—issued by the police remains only in effect until the presentment under§ 54-lg , the arraignment statute, which wаs Monday, at which time there has to be a hearing. Well, if the hearing is simply the state saying, ‘we want a restraining order,’ and they submit to the court the report of the family—or the domestic violence response unit, what hearing is that?
“[The Prosecutor]: That’s the hearing you’re entitled to, counsel.
“[Defense Counsel]: Oh.
“ [The Prosecutor]: And if counsel has to—wants to putina hearing right now, say that he has reason to believe the credibility and the statements of the victim, or the Gerstein of the credibility of the police officers that responded, I’d like to hear that, myself, because the state’s interest here is to do justice. If this was a situation where there was—you know, things that were manufactured—
“[Defense Counsel]: Well, that’s—
“[The Prosecutor]: I’d like to hear it.
*33 “[Defense Counsel]: —that’s—
“[The Prosecutor]: I’m certainly—my own eyes, I met with the victim today, Your Honor, and I see bruises all over her body; so based on the statements that the police officers gave me when they made the arrest, I have reason to believe that an assault took place, here. And that’s what we do here on a daily basis, counsel. And I guess you’re going to have to meet with your local legislators] to maybe, you know, change the law. . . .
“The Court: Well, the argument of counsel for the defendant I don’t accept, and I am adopting the procedure which has been—this is similar to a bail hearing, and you’re not entitled to a full trial on a bail hearing. So, you may have an appeal ....
“[Defense Counsel]: We filed the appeal already, Your Honor.” (Emphasis added.)
Although we acknowledge the importance of preservation requirements to an orderly system of appellate review, it appears that Justice Palmer would conclude that a reviewing court may consider only those specific arguments made before the trial court on the given issue, namely, what type of hearing is required under
In our view, a more functional approach to preservation acknowledges the tension that exists between decision making by busy trial courts, which, as Justice Schaller acknowledges, frequently must occur at a rapid pace, and decision making by appellate courts, which often have available to them the luxury of a more comprehensive briefing process, as well as ample time to engage in a more thorough argument, research and writing process prior to issuing an opinion.
Concurrence Opinion
concurring and dissenting. I disagree with the majority that
In accordance with existing practice pursuant to
Depending on the trial court’s discretion, the defendant may be allowed to testify and present witnesses. The defendant’s only unconditional right, aside from cross-examining state’s witnesses, is to proffer relevant evidence, not to present it. In sum, under the new rule created by the majority, the defendant has no federal constitutional or state statutory right to an evidentiary hearing. In other words, according to the majority, neither due process nor the relevant statutes—
Assuming that my understanding of the majority opinion is correct, my disagreement is limited to the following points. The decision to create a special hearing, to
I
The only question raised in the defendant’s statutory claim is the meaning of the word “hearing” as used in
Moreover, as I have noted, the purpose of the hearing provided for in
The majority’s own statutory analysis lends further support to this conclusion. The majority correctly points out that a defendant who wishes to challenge a protective order that is issued following a hearing pursuant to
The majority makes two additional points that support the conclusion that the plain and unambiguous
Second, the majority points out that in other criminal statutes, when the legislature has intended to impose specific procedural requirements in the context of a pretrial hearing, it has done so explicitly. See, e.g.,
Specifically, in support of this entirely new rule, purportedly arrived at through the process of statutory interpretation—a process that, by the majority’s own admission, when applied to the statutoiy language itself, yields the conclusion that the legislature intended to impose no procedural requirements on the arraignment hearing guaranteed by
Based on the majority’s single justification for its statutory interpretation, I can conclude only that, without directly saying so, the majority, in actuality, grounds its conclusion not on a statutory analysis, but on an implicit determination that due process requires the creation of this new right to an expanded, second hearing. I therefore turn to the question of whether the
II
The United States Supreme Court, in determining whether an individual’s right to procedural due process has been violated by a state action, employs two distinct tests, depending on whether the claim arises in the civil or criminal context. In the civil context, the court applies the three part balancing test that it first set forth in Mathews v. Eldridge,
Although this court has in the past unquestioningly applied the Mathews test in the criminal context; see, e.g., State v. Patterson,
In Patterson v. New York, supra,
The United States Supreme Court subsequently has reinforced its declaration in Medina that the applicable rule in the criminal context is not the Mathews balancing test, but rather the Patterson historical basis test. In Montana v. Egelhoff
Federal courts consistently have applied the Patterson test to due prоcess challenges of state rules of criminal procedure. See, e.g., Bey v. Bagley,
The present statutory scheme challenged by the defendant, which entitles a family violence defendant only to notice and a hearing at the time of arraignment, at which the defendant has the right to be heard, reflects the very type of careful balancing of society’s interests—in this context, the interest in protecting victims of family violence from further intimidation and abuse—against the rights of the accused that Patterson deemed to be appropriately the province of state legislatures. Patterson v. New York, supra,
The defendant specifically seeks a full evidentiary hearing to allow him to challenge the imposition of nonfinancial conditions of release. The majority concludes that, although the defendant does not have a procedural due process right to a full evidentiary hearing, he is entitled to the newly defined, expanded, second hearing. The challenged procedural rule is the failure to require more than a brief hearing at which the defendant is not permitted to present evidence; the affected principle of justice is the right to pretrial release absent the imposition of nonfinancial conditions. The historical basis inquiry properly should examine whether the principle of justice that the defendant claims is “offended” by the state’s procedural rule is so deeply rooted in our traditions that it is deemed a fundamental principle of justice. Not only does the defendant fail to make any showing that the state procedural rules—which do not require the trial court to hold a full evidentiary hearing following the issuance of a protective order as a condition of his release—violate a fundamental principle of justice, the defendant does not even cite to Medina or Patterson. The defendant instead relies on the Mathews balancing test, a test that, as I already have noted, is not even applicable in this
Ill
Finally, I explain the various prudential and policy reasons that persuade me to conclude that the majority’s decision is both imprudent and unnecessary. Specifically, the new rule announced by the majority today is: (1) unfair to defendants in other criminal cases, because it singles out family violence defendants for special treatment; (2) unwise, because it does not take into account the special vulnerability of victims of family violence and undermines the efforts that the legislature has made to protect these victims; (3) unworkable, because it burdens already busy trial courts and provides only conflicting and confusing guidance; and (4) unnecessary, because trial courts already have the discretion to order, on a case-by-case basis, what the majority now holds is the defendant’s right upon request.
A
The majority’s decision is unfair to other criminal defendants because no such procedure is extended to
B
The decision is unwise policy because the victims in these cases, who are recognized by our legislature as suffering a unique kind of vulnerability and as needing special protection, are now exposed to the likelihood of examination and cross-examination during an early stage of the proceedings, the net effect of which will be likely to intimidate them and even discourage prosecution of family violence cases.
The threat that this careful balance may be undermined is not an insignificant one. If the state believes that the order protecting the victim is in jeopardy, and opts to put the victim on the stand, the compelling policy reason for protecting family violence victims will be severely compromised. Defendants may cross-examine the victims but are likely to choose not to testify. The procedure would then become simultaneously a means by which defendants could intimidate victims with the aim of preventing them from proceeding with the prosecution, a real risk in family violence cases, and a “discovery vehicle” for the benefit оf defendants. Defendants could, in fact, proffer highly damaging challenges to victims’ stories, thereby virtually compelling the state to call victims in order to prove the necessity of continuing the order. Ironically, no other crime victims are placed at such a risk that they may be compelled to take the witness stand and face cross-examination by the accused at such an early stage of a criminal case.
C
The creation of the second, expanded hearing encumbers the criminal justice system by imposing burdensome and confusing duties on busy trial judges, yet provides only confusing guidance to assist the trial judges in complying with the new rule. Specifically, the framework created by the majority consists of a
I provide a few, brief examples of some of the difficulties that may arise as a result of this new rule. At arraignment, the court must comply with the initial hearing requirement, but also must respond to a request by the defendant for a second hearing by providing such a hearing within a reasonable time. It is unclear whether the court must inform the defendant, during the first hearing, of his right to a second hearing. Also unclear is what constitutes a reasonable time. Presumably, that determination is left to the discretion of the trial court. Suppose the state is ready to make “proffers” based on its file at the time of arraignment—would the trial court have discretion to hold the expanded hearing then and there, or may the defendant demand time to prepare for his “proffers?”
As for the applicable procedure during the second hearing, it is unclear from the majority opinion whether the “proffers” should be offers of proof, accompanied, or not, by any reports, statements or other material. “Reliable hearsay” also is unexplained and uncertain as well as the meaning of the term “rigors of . . . evidence.” The court must make a finding as to whether the state has met its burden of proof by a fair preponderance of the evidence. How the trial court is to make a finding by a fair preponderance of the evidence based on nothing more than “proffers” of information of vary
D
The decision is unnecessary because trial courts already have similar discretion in deciding whether to issue such orders. Under the new procedure, the trial court has complete discretion over reasonable scheduling, the scope of the expanded hearing, the information that may be submitted and the appropriate relief. This differs in small measure, if at all, from present procedure, except as to outlining some of the structural steps and areas of discretion. If the trial courts choose to apply this procedure in most cases based on no more than offers of proof, defendants will gain little that is not available with the present discretionary procedure, other than having a second hearing at which they can make proffers as well. In short, trial courts already appear to have the discretion to do all that is provided by the new hearing procedure with no more uncertainty than presently exists.
In summary, the newly created procedure in my view accomplishes little, risks a great deal for victims, and may significantly burden already overcrowded dockets. It singles out a particular class of criminal defendants for a special procedure that establishes a right of uncertain dimension. My hope is that the trial courts will exercise their discretion cautiously and wisely in weighing the proffers of “evidence” and in protecting the victims in these cases in the course of determining whether an order should be issued. I believe that the United States Supreme Court wisely recognized in Patterson that, in the area of criminal law, the legislature is in the best position to engage in the “subtle balancing” of society’s interests in safety against the rights of defendants. Patterson v. New York, supra,
For the foregoing reasons, I respectfully dissent.
For the text of
For the text of
As the majority explains in footnote 3 of its opinion, this appeal is the consolidation of two separate proceedings. The appeal in Docket No. SC 18103 challenges the order of the trial court, Pavia, on the day of the defendant’s arraignment, denying the defendant’s request for an immediate evidentiary hearing and сontinuing the case for three days so that the defendant could then request an evidentiary hearing. The majority affirms the order of the trial court in Docket No. SC 18103, and I concur in that result.
The appeal in Docket No. SC 18045 challenges the subsequent order of the trial court, Bingham,denying the defendant’s request for an evidentiary hearing. For the reasons discussed in this concurring and dissenting opinion, I disagree with the majority’s decision to reverse the order of the trial court in Docket No. SC 18045.
I disagree with Justice Palmer’s conclusions that the defendant failed to preserve his claim, that the trial judge should be affirmed rather than reversed, and that the majority is unfairly ambuscading the trial judge. Rowe v. Superior Court,
It is unclear whether and, if so, by what analysis, the majority concludes that the defendant has a procedural due process right to an evidentiary hearing after the arraignment stage. The majority suggests that it bases its conclusion that the defendant is entitled to a second, expanded hearing on state statutory grounds, and further suggests that it has not considered whether the defendant’s right to procedural due process under the federal constitution requires the new rule. The majority’s statutory analysis, however, is based entirely on its reliance on the notion that the legislature desired to protect the due process rights of family violence defendants. As I observe in part I of this concurring and dissenting opinion, by concluding, in the context of its statutory analysis, that due process impliedly requires the second, expanded hearing, the majority forgoes the opportunity to explain the precise reasoning that apparently has led it to conclude that procedural due process requires this result.
Interestingly, the majority does not draw the more obvious inference from Representative Lawlor’s statement—that providing the defendant with the brief, nonevidentiary hearing to which he is entitled pursuant to
In Mathews v. Eldridge, supra,
See S. Brauerman, comment, “Balancing the Burden: The Constitutional Justification for Requiring the Government to Prove the Absence of Mental Retardation Before Imposing the Death Penalty,” 54 Am. U. L. Rev. 401, 425-26 (2004) (“[o]nce the [c]ourt recognizes a due process right, it applies either the Patterson . . . ‘historical basis’ test or the Mathews . . . ‘balancing test’ ” [emphasis added]).
I note that the Supreme Court has not interpreted the concept of a fundamental principle of justice as synonymous with the concept of a fundamental right, a concept central to a substantive due process analysis. See, e.g., Washington v. Glucksberg,
The legislation was enacted following a successful civil rights action brought by Tracey Thurman and her son, Charles Thurman, Jr., against the defendants, the city of Torrington and police officers employed by the city. See Thurman v. Torrington, 595 F. Sup. 1521 (D. Conn. 1984). The District Court refused to dismiss Tracey Thurman’s claim alleging that the defendants had violated her right to equal protection under the law by impermissibly providing police protection to “persons abused by someone with whom the victim has no domestic relationship,” but affording lesser protection “when the victim is (1) a woman abused or assaulted by a spouse or boyfriend, or (2) a child abused by a father or stepfather.” Id., 1527. A jury later awarded Tracey Thurman $2.3 million in compensatory damages. M. Hoctor, comment, “Domestic Violence as a Crime Against the State: The Need for Mandatory Arrest in California,” 85 Cal. L. Rev. 643, 654 (1997). When the defendants challenged the award on appeal, Tracey Thurman settled out of court for $1.9 million in damages and her son was awarded an additional $300,000. Id., 654 n.83.
Legislative recognition of that unique vulnerability is evidenced both in the express language of
The unique difficulties of protecting victims of family violence from their abusers recently has been the focus of a series in the Hartford Courant, entitled “Battered Lives.” See http://www.courant.com/news/domestic-violence (last visited October 23, 2009). The series explores the severity of the problem of domestic violence in our society and examines the particular difficulties presented to law enforcement when victims and abusers are connected by complex familial ties. Id.
Dissenting Opinion
dissenting in part. Under
Before addressing the merits of the defendant’s claims, it is necessary to underscore certain aspects of the history and substance of the statutory scheme at issue in this case. In 1986, the legislature enacted Public Acts 1986, No. 86-337, entitled “An Act Concerning Family Violence Prevention and Response,” § 3 of which is now codified as amended at
In 2007, the legislature passed Public Acts 2007, No. 07-123 (P.A. 07-123), entitled “An Act Concеrning Domestic Violence,” which amended, among other statutes,
II
With this statutoiy background in mind, I now turn to the relevant undisputed facts and procedural history, some of which are set forth in the majority opinion. On August 8, 2007, the victim, who is the defendant’s wife, filed an action seeking to dissolve her marriage to the defendant. At that time, the couple lived together with their two children, ages four and two. On August 27, the victim, in accordance with
At the conclusion of the hearings, the trial court declined to extend the protective order, concluding that the victim’s allegations did not meet the stringent requirements of
Several weeks later, on October 14, 2007, the police were called to the home shared by the victim and the defendant. According to the victim, who exhibited “a large golf ball sized bump” on her forehead, she and the defendant had had an argument during which the defendant pushed her down a flight of stairs and kicked her in the head. The couple’s two children witnessed the victim’s fall. After the incident, the defendant left the residence in his vehicle. The police called an ambulance to take the victim to the hospital, where she was treated for contusions on her head and knee. After taking a sworn statement from the victim and interviewing the victim’s treating physician, the police arrested the defendant and charged him with assault in the third degree, two counts of risk of injury to a child, reckless endangerment and disorderly conduct. In accordance with
The defendant was arraigned the next day, October 15, 2007. At that time, he requested a full evidentiary hearing prior to the issuance of any protective order, claiming that such a hearing was mandated both by
At the hearing on October 18, 2007, before the court, Bingham, J., the defendant again claimed that he was entitled to a full evidentiary hearing—or what defense counsel referred to as a “trial-like” proceeding—for the purpose of challenging the issuance of the protective order. Judge Bingham denied the defendant’s request for such a hearing, explaining that the defendant was “not entitled to a full hearing, with the right to subpoena witnesses and the right to call the [victim]. This puts an undue burden on the [victim] because she . . . evidently ... is afraid of the [defendant] .... And you’re not entitled to a full trial here in this court.” Thereafter, Judge Bingham explained that the hearing contemplated under
In these consolidated appeals from the decisions of the trial court, Pavia, J., and Bingham, J., the defendant claims that the court violated his right to due process and his rights under
The majority rejects the defendant’s claim that he is entitled to a full evidentiary hearing. Specifically, the majority concludes that “
For the reasons that follow, I agree with the majority that the defendant is not constitutionally entitled to a full evidentiary hearing. Because there is nothing in the relevant statutes or legislative history to suggest that the defendant has a statutory right to a full evidentiary hearing, I also agree that the defendant has no such entitlement. I disagree, however, with the majority’s conclusion that the hearing to which the defendant is entitled under our statutory scheme is different from a bail hearing.
Ill
As I have indicated, the defendant claims on appeal, as he claimed in the trial court, that whatever hearing rights he may be afforded under
Both the state and the defendant utilize the balancing test set forth by the United States Supreme Court in Mathews v. Eldridge,
In Mathews, the court explained that “[d]ue process, unlike some legal rules, is not a technical conception with a fixed content unrelated to time, place and circumstances. . . . [D]ue process is flexible and calls for such procedural protections as the particular situation demands. . . . Accordingly, resolution of the issue whether the administrative procedures provided . . . are constitutionally sufficient requires analysis of the governmental and private interests that are affected. . . . More precisely, our prior decisions indicate that identification of the specific dictates of due process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the [g]ovemment’s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.” (Citations omitted; internal quotation marks omitted.) Mathews v. Eldridge, supra,
Following its decision in Mathews, however, the United States Supreme Court, in Medina, addressed a claim that principles of procedural due process bar a state from imposing on a criminal defendant the burden of establishing his incompetence to stand trial. See Medina v. California, supra,
“In the field of criminal law, we ‘have defined the category of infractions that violate “fundamental fairness” very narrowly’ based on the recognition that, ‘[b]eyond the specific guarantees enumerated in the [b] ill of [r]ights, the [d]ue [p]rocess [c]lause has limited operation.’ . . . The [b]ill of [r]ights speaks in explicit terms to many aspects of criminal procedure, and the expansion of those constitutional guarantees under the open-ended rubric of the [d]ue [p]rocess [c]lause invites undue interference with both considered legislative judgments and the careful balance that the [constitution strikes between liberty and order.” (Citations omitted.) Medina v. California, supra,
The court further explained that “[t]he proper analytical approach ... is that set forth in Patterson v. New York, [supra,
A threshold issue, therefore, is whether the Mathews test or the Medina test applies to the determination of whether the trial court properly concluded that the defendant was not entitled to a full evidentiary hearing for the purpose of challenging the issuance of the protective order barring him from the family home during the pendency of his criminal case. The answer to this question hinges on whether the procedures pursuant to which protective orders are issued in criminal cases involving family violence “are part of the criminal process”; id., 443; or, put differently, “part of the proceedings in the criminal case . . . (Internal quotation marks omitted.) Id.
Although it is true, of course, that
In the first of these cases, Hines v. Miller,
Soon after Hines, in United States v. Abuhamra,
In Krimstock v. Kelly,
The final case is McKithen v. Brown,
These cases, taken together, suggest that Mathews, and not Medina, represents the applicable due process test when, as in the present case, the challenged proce
A
I first consider the applicable standard under Medina, pursuant to which a defendant claiming a due process violation “must sustain the usual heavy burden that a due process challenge entails”; Montana v. Egelhoff,
That answer is dictated by a review of the case law governing the procedural due process rights of defendants at pretrial proceedings and, in particular, at post-arrest bail and release hearings. In Gerstein v. Pugh,
Furthermore, a protective order issued in a family violence case as a condition of bail or release in accordance with
A brief explanation of the act is necessary to an understanding of the court’s holding in Salerno. “The [a]ct represented] the [n]ational [legislature’s considered response to numerous perceived deficiencies in the federal bail process. By providing for sweeping changes in both the way federal courts consider bail applications and the circumstances under which bail is granted, Congress hoped to ‘give the courts adequate authority to make release decisions that give appropriate recognition to the danger a person may pose to others if released.’ . . .
“The judicial officer is not given unbridled discretion in making the detention determination. Congress has specified the considerations relevant to that decision. These factors include the nature and seriousness of the charges, the substantiality of the [g]ovemment’s evidence against the arrestee, the arrestee’s background and characteristics, and the nature and seriousness of the danger posed by the suspect’s release. [18 U.S.C.] § 3142 (g). Should a judicial officer order detention, the detainee is entitled to expedited appellate review of the detention order. [
The court in Salerno concluded that the act did not violate either substantive or procedural due process. Id., 746, 751-52. With respect to the latter, the court
Although the act contains сertain procedural protections, including the right of the defendant to present evidence at a detention hearing; see
Of course, an order of preventive detention results in physical confinement, a condition aptly characterized as “the ultimate deprivation of liberty”; United States v. Melendez-Carrion,
B
The defendant also cannot prevail under the Mathews balancing test. As I previously noted, that test is fact bound and requires consideration of three factors: (1) “the private interest that will be affected by the official action”; (2) “the risk of an erroneous deprivation of [that] interest” upon application of the challenged procedures, “and the probable value, if any, of additional or substitute procedural safeguards”; and (3) “the [state’s] interest, including the function involved and the fiscal and administrative burdens” resulting from any additional or substitute procedural requirement. Mathews v. Eldridge, supra,
With respect to the first factor, it cannot be disputed that the defendant’s liberty interest in residing at his home with his children is an extremely significant one. As the defendant maintains, courts have acknowledged that these interests are compelling. See, e.g., United States v. James Daniel Good Real Property,
The second factor entails an evaluation of the risk of an erroneous deprivation of liberty under the existing statutory provisions, which include the right to be heard, the right to provide the court with any relevant evidence or information, and the right to rebut any evidence or information that the state may offer. Because the defendant does not have a statutory right to a full evidentiary hearing at which he is entitled to call the victim as a witness, this second Mathews factor
It is no doubt true that, at least in some instances, permitting the defendant in a case involving a family violence crime to adduce testimony from the victim of that crime would increase the likelihood of an accurate determination of the need for a protective order barring the defendant from returning to his home. This is so because the court would be able to evaluate the victim’s credibility upon cross-examination by the defense. See California v. Green,
Application of the third Mathews factor leads to the conclusion that the state has a strong interest in retaining the existing procedures. As the state has explained, “[allowing the government to establish both the factual predicate and need for a criminal protective
Because thе state may take reasonable steps to ensure that a trial will take place, “[procedures may ... be used both to secure the defendant’s presence at trial and to prevent the defendant from aborting the trial by intimidating witnesses or physically harming them.” United States v. Melendez-Carrion, supra,
It also would result in a serious administrative burden. Under the scheme advocated by the defendant, the trial court would be obligated to conduct a full evidentiary hearing, at the defendant’s request, in any case in which the state seeks a family violence protective order that, if issued, would result in a significant deprivation of the defendant’s liberty. Although the majority does not attempt to identify the kinds of liberty deprivations that would trigger the right to a full eviden-
Moreover, there is no reason why entitlement to a full evidentiary hearing would be restricted to defendants in family violence cases whose conditions of release have resulted in a significant liberty deprivation. In fact, the due process principle that the defendant advances would apply to any defendant who, as a result of a condition of bail or release, suffers a significant deprivation of liberty. Consequently, the administrative burden on our courts would not be limited to family violence cases but would extend to many other cases. This burden on the state and on the courts would be great.
In addition, the evidentiary hearing contemplated by the defendant would be a minitrial on the merits of the state’s case against the defendant. This is the necessary result of the constitutional claim that the defendant raises because the propriety of an order barring the defendant from residing at his home will depend largely, if not entirely, on whether the trial court is persuaded by the state’s evidence that the defendant, in fact, had committed the family violence offense with which he was charged. If so, then it is extremely likely that the
Balancing the relevant factors, including, of course, the risk that use of the procedures now in place will result in an erroneous deprivation of the defendant’s right to remain in his home pending trial, I believe that it is clear that the defendant has failed to establish that his interest in an unconditional right to cross-examine the victim at the hearing on the protective order outweighs the state’s countervailing interest in a proceeding that does not necessarily involve such testimony. Although the defendant has a significant stake in the outcome of the hearing, his interests are protected by several important procedural safeguards, including the opportunity to persuade the trial court that live testimony, from the victim or anyone else, is necessary to a fair determination of whether the defendant should be barred from returning to his home.
This result, which is mandated by Mathews, also is dictated by the fact that the condition imposed on the defendant as a result of the protective order is no differ-
rv
My first and primary disagreement with the majority stems from its analysis and conclusion with respect to the nature of the hearing required under
Recognizing that
The majority next identifies with specificity the parameters of the more expansive hearing under
The majority’s determination that
The statutory construction that the majority adopts apparently is predicated on its belief that it would be impracticable for arraignment courts to hold the kind of hearing that the majority concludes is required by the statutory scheme. Putting aside the issue of whether that concern is justified in view of the relatively limited nature of the hearing that the majority asserts has been established under
Of course, under our law, bail hearings routinely are conducted in arraignment court. It is far more likely, therefore, that the legislature, aware of that fact, fully expected that the hearing under
This conclusion also finds strong support in the fact that, under
The majority’s construction suffers from other serious infirmities. First, as the majority has observed, “[a] review of other criminal procedure statutes demonstrates that, when the legislature has desired to impose specific requirements on the conduct of a pretrial hearing, it has said so explicitly.” The majority offers as examples
In addition,
Furthermore, the majority’s holding leads to an untenable, if not bizarre, result, namely, it creates one
A review of the majority opinion reveals that the majority’s conclusion concerning the nature of the hearing established under
With respect to the majority’s reliance on the legislative history of P.A. 07-123, the majority identifies what it characterizes as “the legislature’s desire to satisfy the defendant’s due process rights under the fourteenth amendment to the United States constitution . . . [as] reflected in the comments of the sponsor of the bill
In addition, and perhaps more to the point, the majority takes Representative Lawlor’s comment completely out of context. The comment was made in response to a proposed amendment to the bill that ultimately became P.A. 07-123 concerning the authority of the police to release a person arrested for a family violence crime
The only other authority on which the majority relies in support of its conclusion concerns its determination that the state must prove the need for a protective order by a preponderance of the evidence. Of course, with respect to other conditions of release, the trial court must exercise its sound discretion in determining whether a particular condition is appropriate in any given case. In the present case, however, the majority cites out-of-state precedent involving civil domestic violence protective orders as its primary basis for concluding that such a standard applies under
Finally, the majority, in holding that a defendant in a family violence case is somehow entitled to greater procedural safeguards than any other defendant before
I also disagree with the majority insofar as it reverses Judge Bingham’s decision to reject the defendant’s claim that he has a right to a full evidentiary hearing. Because the majority also concludes that the defendant was not entitled to such a hearing, the trial court’s decision should be affirmed, not reversed. Of course, the defendant has a right under
The majority itself correctly characterizes the claim that the defendant raised in the trial court as follows: “The defendant argued that he was entitled to a full evidentiary hearing under both
This is the same claim that the defendant has raised in this court. The majority aptly characterizes that claim, as well, explaining that the defendant contends on appeal that “the trial court improperly failed to conduct an evidentiary hearing prior to issuing a criminal protective order because
Indeed, the trial court characterized the hearing to which the defendant is entitled as “similar to a bail hearing . ...” In fact, under the majority’s interpretation of
The majority asserts that, although Judge Pavia did afford the defendant the initial or preliminary hearing that, in the majority’s view, is required under our statutory scheme, Judge Bingham must be reversed because the defendant “did not receive [the] subsequent hearing as requested . . . .” (Emphasis added.) This statement by the majority represents a mischaracterization of the record because the defendant never requested the hearing to which the majority now concludes he was entitled; indeed, he never even requested the opportunity to present any witnesses, evidence or other information. As I have explained, and as the majority expressly has acknowledged, the only hearing that the defendant sought was a full evidentiary hearing at which the state would be required to present testimony in compliance with the rules of evidence. The majority agrees that Judge Bingham properly denied the defendant’s request for such a hearing. It is simply wrong, therefore, to assert that Judge Bingham must be reversed because he improperly declined to grant the defendant a hearing “as requested.”
Unable to explain its reversal of Judge Bingham by reference to the facts and record of this case, the majority turns to another case, Rowe v. Superior Court,
Indeed, in characterizing the defendant’s claim in the trial court and on appeal, the majority itself acknowledges that the defendant’s claim is the same in both courts, namely, that he has a right to a full, trial-like hearing. Despite this express acknowledgment, the majority nonetheless asserts that it “represents a hyper-
The majority also seeks to justify its conclusion by reference to the fact that, after Judge Bingham had denied the defendant’s request for a full evidentiary hearing, defense counsel questioned the court about the nature of the hearing to which the defendant was entitled. Id. (asserting that reversal “[did] not operate as a judicial ambush of Judge Bingham, as, after he denied the defendant a full, trial-like hearing, defense counsel questioned [Judge Bingham] about the nature
More importantly, the majority’s approach to preservation—an approach that effectively dispenses with the heretofore critical component of fair notice—is unprecedented and unwarranted. The majority embraces a methodology pursuant to which it is enough to preserve a claim for appeal if the “issue” raised on appeal implicates the same issue that was raised in the trial court. Id. For purposes of the present case, the majority identifies that issue as “what type of hearing is required under
For very good reason, this court never before has adopted the expansive view of preservation that the majority employs in the present case. Under the majority’s approach, if a party claims in the trial court that a statute means one thing (X), and the trial court rejects the party’s construction on the ground that the statute means something entirely different (Y), and, then, on appeal, the party argues that the statute has yet a third meaning (Z), the party’s claim has been preserved because the “issue” at trial and on appeal is the same, that is, the meaning of the statute. Until now, this has not been the mode of analysis used to determine whether a claim has been preserved for purposes of appeal, and it should not be because, under that methodology, fair notice to the trial court simply is irrelevant; the trial court never was afforded the opportunity to address the party’s claim, raised for the first time on appeal, that the statute means Z. In this example, the only claim that the party has preserved is its claim that the statute means X; merely because the particular statutory interpretation urged by the party in the trial court—that is, the party’s claim—implicated the broader “issue” of the statute’s meaning, the party is not entitled to raise any and all other competing interpretations of the statute on appeal. That, however, is precisely the approach to preservation that the majority takes in the present case; the statutory interpretation that the defendant advocated in the trial court bears no resemblance to the interpretation of the statute that the majority adopts in the present appeal, yet the majority concludes that the preservation requirement has been satisfied.
A second scenario also highlights the extent to which the majority has departed from settled principles of
A condition of bail or release that precludes a defendant from residing at his home during the pendency of his criminal case undoubtedly results in a significant liberty deprivation to that defendant. Consequently, our trial courts must carefully evaluate the particular circumstances of each case in deciding whether to impose such a condition. For obvious reasons, however, the imposition of such a condition will be prudent, if not absolutely necessary, in some cases involving family violence, which aptly has been characterized as a “modern-day scourge.” J. Kaye, “Delivering Justice Today: A Problem-Solving Approach,” 22 Yale L. & Policy Rev. 125, 139 (2004).
Contrary to the conclusion of the majority, there is nothing in our statutory scheme to suggest that the legislature has devised a hearing specially designed for the propose of determining whether an order of protection should issue in a family violence case. In fact, such orders are no different than other conditions of bail or release, and the legislature expressly has designated them as such. Thus, as I previously explained, the state generally will be able to make its case for the issuance of a protective order on the basis of evidence, such as the alleged victim’s sworn statement, that otherwise might not be admissible at trial. And most often, the defendant will be unable to establish a sufficient basis for calling adverse or other witnesses for the purpose of challenging the issuance of such an order. Whether the existence of unusual circumstances may give rise to an exceрtion to these general rules is a determination
See footnote 2 of the majority opinion for the text of
A “family violence crime” is defined as a misdemeanor or felony that “in addition to its other elements, contains as an element thereof an act of family violence to a family member . . .
“Family violence” is defined as “an incident resulting in physical harm, bodily injury or assault, or an act of threatened violence that constitutes fear of imminent physical harm, bodily injury or assault between family or household members.”
See footnote 4 of the majority opinion for the text of
I agree with the majority only to the extent that it determines that the defendant is not entitled to a full evidentiary hearing and affirms the decision of the court, Pavia, J.
See footnote 9 of the majority opinion for the relevant text of
On November 8, 2007, the court, Bingham, J., modified the protective order by facilitating the defendant’s visitation with his children.
The majority does not articulate how the rights to which it asserts a defendant is entitled at a hearing under
Ordinarily, it might be appropriate simply to adopt the analytical approach advanced by the parties. Because, however, this is an appeal under
Although the court in Abuhamra applied the Mathews test, it did not discuss the Medina standard or explain why the Mathews test was applicable.
The court in Krimstock also made it clear that prosecutors could seek a retention order ex parte. Krimstock v. Kelly, supra,
In support of its determination that, on remand, the Mathews balancing test is applicable, the court also cited approvingly from the following analysis of Judge J. Michael Luttig, formerly of the Fourth Circuit Court of Appeals: “I believe that [Mathews], rather than [Medina], provides the proper analytical framework for determining whether there exists a procedural due process right to [postconviction] access [to evidence]. The asserted right of access does not entail a challenge to the underlying conviction, and neither (at least comfortably) is the state’s denial of access equivalent to a state rule of criminal procedure governing the process by which one is tried and found guilty or innocent of criminal offense.” Harvey v. Horan,
It is noteworthy that, in adopting a test for criminal cases that is “far less intrusive” than the Mathews balancing test; Medina v. California, supra,
As I previously noted, in adopting a narrow test for due process challenges involving the criminal process, the court in Medina relied heavily on the fact that, because procedure in criminal cases is governed expressly by the bill of rights, the use of the broad language of the due process
Thus, in the present case, the trial court could have permitted the defendant to call the victim as a witness if the court reasonably believed that unusual circumstances had warranted it. Before compelling the presence of an adverse witness such as the victim, however, the court should require a proffer from the defendant detailing why such testimony is truly necessary. As the court in United States v. Edwards, supra,
In Acevedo-Ramos, the court concluded that “the magistrate or judge possesses adequate power to reconcile the competing demands of speed and of reliability, by selectively insisting [on] the production of the underlying evidence or evidentiary sources [when] their accuracy is in question. Through sensible exercise of this power of selection, the judicial officer can make meaningful [the] defendant’s right to cross-examine [and to compel the attendance of witnesses] without unnecessarily transforming the [detention] hearing into a full-fledged trial or [the] defendant’s discovery expedition.” United States v. Acevedo-Ramos, supra,
I note that, in addition to its historical analysis, the court in Medina also considered whether the challenged procedure “transgresses any recognized principle of fundamental fairness in operation.” (Internal quotation marks omitted.) Medina v. California, supra,
The cited study used published judicial opinions in cases alleging family violence for the purpose of determining the substantiation rate of those claims. M. Shaffer & N. Bala, “Wife Abuse, Child Custody and Access in Canada,” 3 J. Emotional Abuse 253, 257 (2003). Because of the difficulties associated with proving abuse, the authors of the study suggest a likelihood that the 74 percent figure represents an understatement of the actual percentage of well founded abuse claims. Id., 259-61.
This is so because a defendant who is incarcerated pending trial suffers a far greater liberty deprivation than a defendant who is banned from the family home until the conclusion of his criminal case but who nevertheless remains at liberty.
As I previously indicated, I agree with the majority’s conclusion that the defendant is not entitled to a full-blown evidentiary hearing under
The majority does not explain what it means by “reliable” hearsay.
General Statutes § l-2z provides: “The meaning of a statute shall, in the first instance, be ascertained from the text of the statute itself and its relationship to other statutes. If, after examining such text and considering such relationship, the meaning of such text is plain and unambiguous and does not yield absurd or unworkable results, extratextual evidence of the meaning of the statute shall not be considered.”
Under
It is noteworthy that the majority dismisses the defendant’s claim that
The majority also relies on
The majority’s holding that the state must prove the need for a family violence protective order by a preponderance of the evidence places an additional burden on the state, one that the state does not bear in any other context involving the imposition of conditions of bail or release. Indeed, the state bears no such burden when it seeks a financial or nonfinancial condition of release for purposes of any other case. In all other such cases, the state makes a request for a condition of release and presents its reasons and supporting evidence or information. The defendant is entitled to respond, by way of proffer or, if appropriate, through the presentation of live testimony. The court then must exercise its sound discretion in determining what condition or conditions, if any, to impose. Indeed, even when the state seeks a financial condition of release that the defendant most likely will be unable to meet, the state carries no burden of proof with respect to the propriety of that condition. In such a case, the state merely must demonstrate to the court that the condition is reasonable under the circumstances. After hearing from the defendant, the court then is free to impose whatever financial condition it deems appropriate. In light of the new burden that the majority has placed on the state in family violence cases, the state may be prompted to—or even compelled to—present evidence at the hearing on the protective order that it would not have presented prior to the majority’s decision in this case.
It may be that the statutory construction that the majority adopts stems from its own concern that the imposition of a criminal protective order in a family violence case “amounts in practice to state-imposed de facto divorce”; J. Suk, “Criminal Law Comes Home,” 116 Yale L.J. 2, 42 (2006); because, it has been asserted, the issuance of such an order “shifts the very goal of pursuing criminal charges away from punishment to control over the intimate relationship in the home.” Id., 50; see footnote 18 of the majority opinion (quoting J. Suk, supra, 50). To whatever extent that consideration may have affected the majority’s construction of the statutory scheme at issue, there is nothing in the statutory scheme or its history to suggest that the legislature had any such consideration in mind when it included a reference to the hearing requirement of § 46-38c (e) in
I note, in addition, my general agreement with the observation of Justice Schaller in his concurring and dissenting opinion that the “special” hearing created by the majority under
The majority asserts that the defendant does not claim that he is constitutionally entitled to call or question the victim at the hearing required under
I note that the defendant’s appellate counsel reiterated that position at oral argument before this court.
The majority predicts that the hearing to which the defendant will be entitled on remand will be “a brief hearing.” Footnote 26 of the majority opinion. By contrast, the full, trial-like hearing to which the defendant consistently has claimed he is entitled—a hearing at which the state would be required to proceed on the basis of admissible, live testimony and the defendant would have the right to call the victim if the state failed to do so— is hardly comparable to the “brief’ hearing that the majority contemplates.
The majority incorrectly asserts that I advocate a position pursuant to which a claim would not be preserved for appeal unless the party raising the claim on appeal also made the specific argument in support of that claim in the trial court that he relies on on appeal. See footnote 26 of the majority opinion. I take no such position. Indeed, the majority’s contention appears to be based on a fundamental misunderstanding of the difference between an argument and a claim. Generally speaking, an argument is a point or line of reasoning made in support of a particular claim. Only claims are subject to our rules of preservation, not arguments. In the present case, the sole claim that the defendant raised in the trial court—and the sole claim he raises on appeal—is entitlement to a full evidentiary hearing. Contrary to the majority’s assertion, I do not suggest that, on appeal, the defendant is barred from raising arguments in support of that claim that he did not raise in the trial court. Indeed, the defendant makes many more such arguments in his submissions to this court than he made in the trial court, and properly so; in light of the different circumstances under which claims are made at
Of course, for the reasons set forth previously, I do not believe that any modification of our preservation principles is either necessary or appropriate.
The majority responds to my analysis of its new approach to preservation as follows: “[W]e simply state that, if a defendant asks for relief [in] the trial court that encompasses elements A, B, C and D, that request is adequate to permit relief on appeal that only grants elements A and B, but not C and D. Under Justice Palmer’s view, a defendant would need to argue explicitly that, ‘if I’m not entitled to A, I am still entitled to B, C and D,’ and ‘if I’m not entitled to A and B, then I am still entitled to C and D,’ and so on, in order to render that relief available on appeal. That strikes us as an unduly onerous burden on litigants.” Footnote 26 of the majority opinion. The problem with the majority’s response is that it does not represent a fair characterization either of my position or of this case. It is true that, in a particular case, a defendant’s claim may be broad enough to encompass several “elements” of relief, as the majority рuts it, and yet specific enough to provide the trial court with adequate notice of each of those elements. The present case, however, manifestly is not such a case. The record is perfectly clear that the defendant raised one claim in the trial court and one claim in this court, namely, an entitlement to a full, trial-lilce proceeding. Of course, that claim necessarily encompasses other, more narrow claims, such as the statutory interpretation that the majority adopts today, but it most certainly did not place the state or the trial court on fair notice that the defendant was asserting any one or more of those more narrow claims. Indeed, the defendant rejected the opportunity to proceed as he would have proceeded at a bail hearing even though the trial court characterized the hearing as similar to a bail hearing, a characterization that fairly describes
Justice Schaller, in his concurring and dissenting opinion, also disagrees with my “conclusions that the defendant failed to preserve his claim, that [Judge Bingham’s ruling] should be affirmed rather than reversed, and that the majority is unfairly ambuscading [Judge Bingham].” Footnote 4 of the concurring and dissenting opinion. To support his conclusion, Justice Schaller, invoking Rowe v. Superior Court, supra,
Moreover, although I agree with Justice Schaller that it should not lightly be asserted that a trial court has been ambushed by an appellate ruling, I can think of no clearer example of such an ambuscade than what the majority has done to the trial court in the present case, that is, reversing the trial court on the basis of a nonconstitutional claim that the court never was asked to resolve. Indeed, that is precisely the kind of appellate decision-making that this court—Justice Schaller included—repeatedly and consistently has refused to countenance. See, e.g., Rowe v. Superior Court, supra,