State v. McFarland
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Although I certainly agree with Justice Alexander that we must conduct a “more rigorous analysis than simply tallying holdings” of other jurisdictions; Doe v. Hartford Roman Catholic Diocesan Corp., 317 Conn. 357, 427, 119 A.3d 462 (2015); I do not find persuasive the opinions of the minority of jurisdictions on which the two other concurrences rely or the two concurrences themselves. I find no compelling reason to depart from our consistent application of the test that a majority of jurisdictions apply, and I disagree with both concurrences, which announce a balancing test while providing almost no guidance to trial courts about how to fix what both concurrences view as broken.
I
As an initial matter, I do not understand why the rest of this court has concluded that it is necessary to address the need for a balancing test under our state constitution when the state constitutional test yields the defendant no relief in this case. I am aware that my view on the matter is suspect because I disagree with the balancing test that the court announces today. But, in my opinion, we should wait for a case in which the application of the new balancing test would make a difference to the defendant. Because all members of the panel agree that the defendant cannot prevail on any test compelled by the due process clauses of
II
Until today, this court for a generation has consistently agreed with and applied the two-pronged test
In Marion, the court recognized that statutes of limitations are legislatively enacted limits on prosecutorial delay that provide “predictability” and are “the primary guarantee against bringing overly stale criminal charges.” (Internal quotation marks omitted.) United States v. Marion, supra, 404 U.S. 322. Nevertheless, the court stated that a “statute of limitations does not fully define [a defendant‘s] rights with respect to the events occurring prior to indictment” and held that the federal due process clause “would require dismissal of the indictment if it were shown at trial that the [preindict-
Later, in Lovasco, the court clarified that the federal due process clause “has a limited role to play in protecting against oppressive delay,” requiring proof both that a defendant suffered prejudice by the delay and that the reasons for the delay were unjustifiable. United States v. Lovasco, supra, 431 U.S. 789-90. The court held that delay caused by the government‘s investigation may be justifiable because, “[r]ather than deviating from elementary standards of fair play and decency, a prosecutor abides by them if he refuses to seek indictments until he is completely satisfied that he should prosecute and will be able promptly to establish guilt beyond a reasonable doubt.” (Internal quotation marks omitted.) Id., 795. The court then concluded that, “to prosecute a defendant following investigative delay does not deprive him of due process, even if his defense might have been somewhat prejudiced by the lapse of time.” Id., 796; see also United States v. Gouveia, 467 U.S. 180, 192, 104 S. Ct. 2292, 81 L. Ed. 2d 146 (1984) (describing Lovasco and Marion test as requiring “dismissal of an indictment, even if it is brought within the statute of limitations, if the defendant can prove that the [g]overnment‘s delay in bringing the indictment was a deliberate device to gain an advantage over him and that it caused him actual prejudice in presenting his defense“).
The court in Lovasco articulated meaningful policy reasons in support of its two-pronged approach. First, and principally, the court recognized that it is “undesirable” to adopt a rule that “would increase the likelihood of unwarranted charges being filed, and would add to the time during which defendants stand accused but untried. These costs are by no means insubstantial since
The court articulated three other compelling reasons supporting its two-pronged test. “First, compelling a prosecutor to file public charges as soon as the requisite proof has been developed against one participant on one charge would cause numerous problems in those cases in which a criminal transaction involves more than one person or more than one illegal act. In some instances, an immediate arrest or indictment would impair the prosecutor‘s ability to continue his investigation, thereby preventing society from bringing law-breakers to justice. In other cases, the prosecutor would be able to obtain additional indictments despite an early prosecution, but the necessary result would be multiple trials involving a single set of facts. Such trials place needless burdens on defendants, law enforcement officials, and courts.
“Finally, requiring the [g]overnment to make charging decisions immediately upon assembling evidence sufficient to establish guilt would preclude the [g]overnment from giving full consideration to the desirability of not prosecuting in particular cases. The decision to file criminal charges, with the awesome consequences it entails, requires consideration of a wide range of factors in addition to the strength of the [g]overnment‘s case, in order to determine whether prosecution would be in the public interest. Prosecutors often need more information than proof of a suspect‘s guilt, therefore, before deciding whether to seek an indictment. . . . Requiring prosecution once the evidence of guilt is clear, however, could prevent a prosecutor from awaiting the information necessary for such a decision.” (Footnotes omitted.) Id., 792-95.
Even if the other concurrences in the present case disclaim that their rule is intended to require prosecutors to bring charges as soon as possible, as I will
III
The defendant has convinced a majority of this court to discard this precedent and implement a new balancing test forged under State v. Geisler, 222 Conn. 672, 685-86, 610 A.2d 1225 (1992). I disagree with both of the other concurrences that the Geisler factors2 support this dramatic change in our law. Beginning with the first five Geisler factors—constitutional text, Connecticut case law, federal case law, other states’ case law, and historical insights—I would conclude that none favors construing our due process clauses to demand the level of judicial scrutiny of the efforts of police and prosecutors that a majority of this court holds that our state‘s courts must now undertake. Finally, I conclude, as matter of our state‘s public policy, that the rule announced today does a good deal more harm than good.
A
First, in my view, no text or constitutional history supports a different rule under our state constitution.
Next, unlike the other concurrences, I do not find that our own precedent supports, let alone compels,
To the extent Hodge is relevant to the defendant‘s claim under our state constitution‘s due process clauses, as described, the test that this court articulated hews closer to the federal due process standard of Lovasco and Marion than to any minority balancing test that the concurrences propose. In Hodge, we indicated that, for a constitutional argument concerning prearrest delay to succeed, the defendant would have to establish not only prejudice but that “the delay in arresting a defendant (or in otherwise apprising him of the charges against him) continue[d] long after all the evidence ha[d] been assembled, and [became] a product of mere convenience to the state . . . .” Id. The authority that this court relied on in Hodge expressly required defen-
Further, “all the circumstances” we mandated in Hodge that a trial court consider, including “the length of the delay, the reason for the delay, prejudice to the defendant, and a timely presentation of the claim to the trial court“; State v. Hodge, supra, 153 Conn. 568; are no different from the considerations of the federal two-pronged test. It is clear, therefore, that we had never applied a balancing approach prior to Marion and Lovasco, and, since that time, we have consistently agreed with the United States Supreme Court, albeit in response to federal constitutional challenges, that due process protections are “‘limited‘” with respect to prearrest delay. State v. Morrill, supra, 197 Conn. 521; see also id. (due process clause “‘does not permit courts to abort criminal prosecutions simply because they disagree with a prosecutor‘s judgment as to when to seek an indictment‘“).3
Finally, as both concurrences acknowledge, the majority rule applied in courts across the country is in line
B
I also believe that public policy (the final Geisler factor) does not support the balancing test, which defendants may invoke in unlimited circumstances, that a majority of this court adopts today. This court is, of
I certainly have been open to these arguments and do not subscribe to following a particular rule as a matter of state constitutional law merely because the nation‘s highest court has established it.5 We are, after
I continue to believe that “[t]he statute of limitations, not the due process clause, defines the limits of protection” from prearrest delay. State v. Echols, supra, 170 Conn. 18. “The [d]ue [p]rocess [c]lause has a limited role to play in protecting against oppressive delay.” (Emphasis added.) United States v. Lovasco, supra, 431 U.S. 789. The legislative purpose behind a “statute of limitations is to safeguard criminal defendants from the deprivation of their liberty through the use of stale evidence to secure a conviction” by having “the important and salutary effect of encouraging law enforcement officials promptly to investigate suspected criminal activity.” (Internal quotation marks omitted.) State v. Darren Y., 350 Conn. 393, 410-11, 324 A.3d 734 (2024); see also State v. Police, 343 Conn. 274, 292, 273 A.3d 211 (2022) (statutes of limitations “represent legislative assessments of relative interests of the [s]tate and the defendant in administering and receiving justice‘“). The legislature‘s decision not to enact a statute of limitations for murder constitutes a policy declaration as well, and, in my view, it is just as firm a declaration of policy as when it enacts a statute of limitations—short or long—for certain crimes. This is not a situation in which it is difficult to discern intent from legislative silence. See, e.g., State v. Hurdle, 350 Conn. 770, 781, 326 A.3d 528 (2024). Rather, the legislature‘s decision not to enact a statute of limitations for murder establishes that it is the policy of the state to allow police and prosecutors an unlimited amount of time to investigate and prosecute the most serious crime: the taking of a life. See Drumm v. Freedom of Information Commission, 348 Conn. 565, 597, 308 A.3d 993 (2024) (“the fact that there is no statute of limitations means that unsolved murder investigations may remain open, at least nominally, forever“).
I understand the other concurrences to contend essentially that, under the due process clauses of our state constitution, the legislature‘s determination to have, or not to have, a statute of limitations for certain crimes, can be held to be unconstitutional as applied to the circumstances of a potential case. To protect against this hypothetical future case, both concurrences propose a test for criminal defendants that is less stringent than that outlined by federal law and that augments the legislatively determined limitation period. As Justice Ecker reminds us; see part I A 3 of Justice Ecker‘s concurring opinion; when evaluating whether a particular additional or substitute procedural safeguard is necessary as a matter of state constitutional due process, we have “[b]orrow[ed] from the federal constitutional standard enunciated by the United States Supreme Court in Mathews v. Eldridge, 424 U.S. 319, 334-35, 96 S. Ct. 893, 47 L. Ed. 2d 18 (1976), [and] we have held that due process under the Connecticut constitution requires us to ‘consider three 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]overnment‘s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.’ ” State v. Morales, 232 Conn. 707, 721, 657 A.2d 585 (1995). Based on the familiar Mathews analysis, I conclude that the balancing test that this court has adopted is not required (or, frankly, a good idea) as a matter of state constitutional law. I am not satisfied that our state constitution, any more than the federal constitution, mandates that a trial court at a pretrial or posttrial hearing evaluate the reasons why the prosecution made specific tactical or legislative decisions during its investigation, including those made based on the availability of financial and personnel resources. I now consider the Mathews factors.
1. Private Interest and Risk of Erroneous Deprivation. The private interest at stake—the defendant‘s liberty—is obviously high. This would be true in any given criminal prosecution in which a defendant claims he has been prejudiced by the state‘s delay in prosecuting him, although it is depicted in dramatic relief in the present case, involving a murder prosecution brought thirty-two years after the death of the victim.
But the facts of the present case do not make the private interest in favor of the balancing test adopted by a majority of this court any higher given that the other concurring justices do not suggest—nor could they—that their balancing test will be confined only to (1) murder cases, (2) prosecutions with no statutes of limitations, (3) prosecutions delayed for at least thirty years, or (4) cases solved by DNA testing, in which the claim of prejudice involves lost alibi witnesses or witnesses, such as in the present case, who would have identified a third party as the perpetrator. The balancing test adopted in this case permits defendants to demand, for even the shortest delays, a pretrial inquiry into the investigative techniques and motivations of the state and the police, regardless of whether the charged crimes are subject to a statute of limitations. See, e.g., State v. Echols, supra, 170 Conn. 16-17 (rejecting defendant‘s claim of constitutional prejudice based on six month delay in bringing charge of sale of narcotics to undercover police agent); State v. Coleman, 199 Conn. App. 172, 180 n.6, 235 A.3d 655 (rejecting defendant‘s due process claim that he was prejudiced by state‘s three year delay in bringing charges of assault, robbery and possession of firearm, which were subject to five year statute of limitations), cert. denied, 335 Conn. 966, 240 A.3d 281 (2020). In fact, Hodge, the case that both of the other concurrences consider seminal to the constitutional question in this case, involved a prosecution for the sale of narcotics in which the defendant claimed that he was prejudiced by a three week delay before being arrested. See State v. Hodge, supra, 153 Conn. 566-67.
Nor can the other concurrences credibly maintain that the “risk of an erroneous deprivation of [the defendant‘s] interest through the procedures used“; Mathews v. Eldridge, supra, 424 U.S. 335—the trial rights that defendants presently enjoy—is high without the newly minted due process balancing test. In fact, both concurrences admit the risk is low. Justice Ecker, for example, assures us of “how difficult it is for a defendant to establish a due process violation and how rarely prosecutions are dismissed on th[e] basis [of the balancing test].” Part I A 4 of Justice Ecker‘s concurring opinion. Justice Alexander seconds that notion, suggesting to trial courts that it will be “an exceedingly rare case for a defendant to establish a due process violation when ‘the delay is legitimately investigative in nature.‘” Because the cases in which the new test will be invoked are likely to be anything but rare, however, making an appropriate evaluation of the remaining two factors under Mathews is critical. I now turn to the government‘s interest.
2. The government‘s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail. The burdens likely to accompany the standard adopted by a majority of this court and explained by the other concurrences are substantial. The United States Supreme Court was able to foresee that increasing the
The balancing test that a majority of this court makes mandatory today under our state constitution will require that authorities investigating a crime preemptively anticipate how the passage of time might impact a suspect‘s defense (if they have a suspect and happen to know his defense), including when witnesses or other evidence might become unavailable. These anticipatory forces work to discourage prosecutors from waiting to bring a case until they are “completely satisfied that [they] should prosecute and will be able promptly to establish guilt beyond a reasonable doubt,” or risk losing the prosecution altogether. Id., 795. I would decline this invitation to undermine the legislature‘s public policy determination—reflected in its determination of whether to enact a statute of limitations—by adopting a test authorizing a court to void a prosecution before or after trial and in the name of due process—absent state action seeking to gain a tactical advantage.
I am reluctant to permit defendants and trial courts to wade into and second-guess the prosecution‘s assessment of when appropriately to bring its case. “Allowing inquiry into when the police could have arrested or when the prosecutor could have charged would raise difficult problems of proof,” causing trial courts to “be engaged in lengthy hearings in every case to determine whether or
On its face, it might appear that the balancing test benefits defendants while the two-pronged federal test favors the state. In my view, this is not accurate. The fundamental basis supporting the United States Supreme Court‘s adoption of the two-pronged approach is the fairness afforded to prospective defendants and the rejection of a rule that would require an arrest prematurely. See United States v. Lovasco, supra, 431 U.S. 791, 793. I fear that prudential concerns that presently discourage the state from arresting a defendant as soon as possible just because it can, including “the rights of the accused and . . . the ability of society to protect itself “; id., 791; will be undermined by the balancing test, which, indeed, will create its own significant burdens by (1) pressuring prosecutors into resolving doubtful cases in favor of early and possibly unwarranted prosecutions, (2) discouraging the state from fully considering factors in addition to the strength of the case before determining whether prosecution would be in the public interest, and (3) impairing a prosecutor‘s ability to continue to investigate cases that involve more than one criminal transaction or actor. See id., 793.
Finally, balancing tests such as those the other concurrences favor are notoriously difficult to administer. It might be true that some balancing tests, such as the test for whether a defendant has been deprived of a speedy trial, involve factors similar to those relevant to the test announced today. See, e.g., State v. DePastino, 228 Conn. 552, 560, 638 A.2d 578 (1994) (factors to balance relevant to claim of violation of speedy trial right include “‘[1] [l]ength of delay, [2] the reason for the delay, [3] the defendant‘s assertion of his right, and [4] prejudice to the defendant‘“). That is where the resemblance ends. For example, the speedy trial test
The administrative and financial burdens the balancing test creates are not fictional or hypothetical. In fact, plagued by these problems, some jurisdictions (including the Fifth Circuit, which spawned the minority rule) have rejected their prior adoption of the balancing test, returning instead to the federal two-pronged approach. See, e.g., United States v. Crouch, supra, 84 F.3d 1508-11; see also Jackson v. State, 347 So. 3d 292, 306 (Fla. 2022) (rejecting balancing test under Florida law in favor of federal two-pronged test). The reasons that these jurisdictions have reversed course include both the impracticality of balancing two very distinct values or considerations, and the separation of powers concerns implicated by requiring that courts second-guess decisions such as the staffing of certain investigations. See United States v. Crouch, supra, 1512-13; Jackson v. State, supra, 305.8 I would heed the warning of these jurisdictions.
3. The Value of Additional Safeguards.
I understand my colleagues’ sincere concerns that delayed prosecutions have the potential to compromise a defendant‘s due process right to a fair trial. I share those concerns. But I am not persuaded that it is sensible (let alone required) to “constitutionalize” the apparatus that a majority of this court erects in this case. Nor am I persuaded that it, in fact, brings with it significant additional safeguards.
Prosecutors already have significant incentives to initiate an arrest as promptly as they can. Delays can significantly compromise the state‘s case as much as it can a defendant‘s case: evidence can decay, memories can fade, suspects may flee, and witnesses can become unavailable. Proving the defendant‘s guilt beyond a reasonable doubt is a high burden as it is. It does not become easier to meet this standard with aging evidence and witnesses. Pressure from victims and their families can also work to prevent prosecutors from delaying the decision to make an arrest. And, of course, there are statutes of limitations for many crimes. For reasons already discussed, I do not believe that interpreting our due process clauses to require that the state hasten to make “[t]he decision to file criminal charges, with the awesome consequences it entails“; United States v. Lovasco, supra, 431 U.S. 794; is a wise policy choice for either the state or for potential defendants.
Moreover, our courts are already equipped with tools to ensure that a defendant‘s rights are protected. One notable existing procedure available to defendants is embodied in
Furthermore,
Ultimately, I would not conclude, as my colleagues do, that the balancing test adopted by a minority of jurisdictions is necessary or appropriate as a matter of our state constitutional law. I do not believe that anything in the text or history of our state constitution, or in this court‘s precedent, supports recognition of the additional procedural safeguard that a majority of this court today mandates, and, assisted by the Mathews test, I do not conclude that the state constitution otherwise compels it as a matter of policy. My analysis involves essentially the same reasons that both the Fifth Circuit and the Florida Supreme Court cited to when they both abandoned the balancing test after having initially started down that road. To use an idiom that, in my view, sums up the Mathews test, “the juice isn‘t worth the squeeze.” In light of the procedures already available to defendants and the ample discretion trial courts already possess to conduct trials fairly, I am not persuaded that the value of the majority‘s balancing test is sufficient to justify the burdens that it will impose on the state, the courts, and ultimately on defendants, especially given what the other concurrences admit is a low risk. I would decline the invitation that the other concurrences have accepted to go beyond the federal two-pronged standard, and instead would trust trial and appellate courts to ferret out that unicorn delayed prosecution that substantially prejudices a defendant, which the other concurrences are on a quest to prevent, and render relief more conventionally.
IV
The due process balancing test applicable to claims of unconstitutional prejudice from delayed prosecutions, announced today and explained in the two other concur
But delayed prosecution claims come in all varieties, and, as previously discussed, this state‘s due process clauses (and therefore this balancing) are not limited to murder prosecutions, to crimes without statutes of limitations, or to particular cases finally solved by DNA testing. I do not believe it is wise to adopt a new test without a set framework as to how it is to work. Directing our trial courts to several federal circuits that apply a version of the balancing test offers very little guidance because, as at least some of my colleagues acknowledge, there is no prevailing balancing test and the decisions in those circuits are inconsistent. Compare United States v. Avants, 367 F.3d 433, 442 (5th Cir. 2004) (addressing only bad faith prong and not prejudice prong), with United States v. Davis, 571 Fed. Appx. 248, 249 (4th Cir. 2014) (“the [g]overnment did not commit prosecutorial [impropriety] in delaying [the] bringing [of] an indictment against [the defendant]“). Left unresolved is when trial courts are to apply the balancing (before or after trial), what evidence will suffice for the parties to meet their respective burdens, and how an appellate court will review the trial court‘s determination. It is predictable that the balancing test will not yield a consistent body of law. See, e.g., United States v. Wood, Docket Nos. 91-5186 and 92-5010, 1992 WL 301975, *1 (4th Cir. October 21, 1992) (decision without published opinion, 977 F.2d 575) (under balancing test, “a determination of whether such a delay has denied due process necessitates a case-by-case inquiry“).
The practicalities of implementing the balancing test that a majority of this court adopts present additional, and foreseeable, difficulties for the state, the defendant, and the courts. I highlight the most pressing of these issues in the hope of casting an eye forward to perhaps reconsidering whether the test is necessary or appropriate the next time we have the issue before us.11
1. When the trial court should conduct this balancing is not clear. Presumably, the trial court must hold a hearing to entertain claims of prejudice from the defendant and justifications from the state, both of which
2. Whenever this balancing is undertaken, the trial court must first determine whether the defendant has sufficiently made out a claim of harm from the delay that would result in “actual and substantial prejudice.” The two other concurrences provide examples of what does not satisfy the prejudice test but very little guidance about what would satisfy the test.12 In the present case, the trial court might have to make credibility determinations, including accounting for witnesses who might exculpate the defendant, inculpate another individual, or testify that the defendant had acted in self-
If the defendant succeeds in proving actual and substantial prejudice, and the burden shifts to the state to justify the delay, the court today provides even less guidance about what happens next. Although Justice Alexander indicates that a defendant will rarely be able “to establish a due process violation when ‘the delay is legitimately investigative in nature,‘” that inquiry, too, might require the trial court to assess the credibility of the witnesses offered in support of the legitimacy of the investigative delay. In a case that takes more than thirty years to solve, those who made choices in the investigation—for example, focusing on the wrong suspect, failing to interview certain witnesses, or putting the investigation on hold for lack of resources or for other priorities—might be long retired or deceased. Or will the court accept any reasonable explanation that is not contradicted by the record, including posthoc rationalizations, without regard to whether that was an actual reason for the delay? Cf. Johnson v. Commissioner of Correction, 330 Conn. 520, 550–51, 198 A.3d 52 (2019) (in reviewing performance of defense counsel, we are “required not simply to give [the] attorneys the benefit of the doubt . . . but to affirmatively entertain the range of possible reasons . . . counsel may have had for proceeding as they did” (internal quotation marks omitted)), quoting Cullen v. Pinholster, 563 U.S. 170, 196, 131 S. Ct. 1388, 179 L. Ed. 2d 557 (2011).13
In sum, I am not persuaded that we should adopt the minority rule that a majority of this court indulges today. I would uphold the trial court‘s denial of the defendant‘s motion to dismiss on a ground different from that relied on by the rest of the court, namely, the defendant‘s failure to satisfy the second prong of the federal two-pronged test: that the reasons for the delay were unjustifiable.
Accordingly, I respectfully concur in the judgment.
