STATE OF CONNECTICUT v. RICKY OWEN
(SC 20127)
Supreme Court of Connecticut
May 14, 2019
Palmer, McDonald, D’Auria, Mullins, Kahn and Ecker, Js.
Argued November 6, 2018
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Syllabus
Pursuant to statute (
The defendant, who had been charged with various crimes in connection with an alleged assault on J, his girlfriend, appealed from the trial court’s denial of his motion to dismiss the charges after he objected to the prosecutor’s entry of a nolle prosequi as to all of the charges. The prosecutor represented, in her memorandum in support of her motion seeking to enter the nolle, that J had returned to North Carolina, where she had lived prior to the alleged assault, J had called the victim’s advocate and stated that she was experiencing bouts of depression and crying, the defendant’s friend had contacted her to urge her not to testify against the defendant, and she still thought about the incident frequently and it bothered her а great deal. J had been scheduled to travel to Connecticut to testify at the defendant’s trial, but, after a storm cancelled her planned transportation, she contacted the prosecutor to inform her that she would be unable to return to Connecticut to testify. During her conversation with the prosecutor, J requested help in finding counseling and indicated that she was afraid to testify and wanted to get on with her life. On the basis of these factual allegations, the prosecutor contended that J had become disabled for purposes of
Argued November 6, 2018—officially released May 14, 2019
Procedural History
Substitute information charging the defendant, in the alternative, with the crimes of strangulation in the second degree, assault in the third degree and unlawful restraint in the first degree, and with the crimes of assault in the second degree, threatening in the second degree, interfering with an emergency call and unlawful restraint in the second degree, brought to the Superior Court in the judicial district of Fairfield, geographical area number two, where the court, Holden, J., accepted the state’s entry of a nolle prosequi in the case and denied the defendant’s motion to dismiss, and the defendant appealed. Affirmed.
Kathryn W. Bare, assistant state’s attorney, with whom, on the brief, were John C. Smriga, state’s attorney, and Judy Ann Stevens, senior assistant state’s attorney, for the appellee (state).
Opinion
KAHN, J. The issue presented in this appeal is whether the trial court properly determined that the prosecutor did not abuse her discretion in a manner clearly contrary to manifest public interest when she entered a nolle prosequi on the basis that the state’s material witness had become disabled for purposes of
The record reveals the following relevant facts and procedural history. On May 31, 2016, the defendant was arrested in connection with an alleged assault on J,3 his girlfriend. He was charged with, among other crimes, strangulation in the second degree in violation of
On January 10, 2017, the day that evidence in the defendant’s trial was scheduled to begin, the prosecutor sought to enter a nolle prosequi. In her memorandum in support of her motion seeking to enter the nolle, the prosecutor represented that J was a material witness. The prosecutor also alleged that, on July 21, 2016, J, who was originally from North Carolina and had returned to live there following the incident, called the victim’s advocate and stated that she was experiencing “bouts of depression” and crying. She also reported to the victim’s advocate that a
Relying on these factual allegations, the prosecutor contended in her memorandum that J had “become disabled” for purposes of
The trial court heard argument on the prosecutor’s motion. At the hearing on the motion, the prosecutor reiterated her reliance on, inter alia, J’s statements indicating that J was going through bouts of depression and crying, that she needed counseling, was afraid, could not stop thinking about the incident and wanted to get on with her life. The prosecutor further represented that the state could not proceed without J’s testimony and contended that J was disabled.4 The prosecutor’s statements in support of her representation that J was disаbled demonstrate that she relied on multiple pieces of information to support her conclusion that J suffered from a disability due to the emotional trauma that she had experienced as a victim of domestic violence. Specifically, the prosecutor pointed not only to J’s “fear,” but also to her “depression” and “emotional issues.”
Several other statements made by the prosecutor at the hearing further demonstrate that her representation that J was “disabled” relied on more than a vague assertion regarding J’s fear of testifying. Acknowledging that she had been unable to find legal precedent supporting her claim that J’s mental condition constituted a disabil-ity pursuant to
The defendant objected to the nolle and moved to dismiss the charges, focusing solely on one of the facts that the prosecutor had referenced in representing to the court that J had become disabled pursuant
The court issued its decision from the bench, beginning with the observation that its role was not to receive evidence or to make a finding as to whether J was disabled, but only to determine whether, in entering the nolle, the prosecutor had exercised her discretion in a manner that was “clearly contrary to manifest public interest.” State v. Lloyd, supra, 185 Conn. 204. In finding that the prosecutor had not abused her discretion, the court relied on the facts alleged by the prosecutor during the hearing, viewed in light of the prosecutor’s seventeen years of experience litigating domestic violence cases. The court accordingly accepted the nolle prosequi and denied the defendant’s motion for dismissal. This appeal followed.5
Translated from Latin, the term “nolle prosequi” means “to be unwilling to prosecute.” Webster’s New International Dictionary (2d Ed. 1941) p. 1465; see also Black’s Law Dictionary (10th Ed. 2014) p. 1210 (“not to wish to prosecute”). We have explained that “a nolle is, except when limited by statute or rule of practice . . . a unilateral act by a prosecutor, which ends the pending proceedings without an acquittal and without placing the defendant in jeopardy.” (Citations omitted; internal quotation marks omitted.) Cislo v. Shelton, 240 Conn. 590, 599 n.9, 692 A.2d 1255 (1997). “Although the entry of a nolle prosequi
Section 54-56b strikes a balance between “the state’s right to enter a nolle prosequi in a pending prosecution and the defendant’s constitutional right to a speedy trial.” State v. Lloyd, supra, 185 Conn. 200. “Until the enactment of
The level of judicial review of the exercise of prosecutorial discretion is a deferential one, akin to “the review of thе exercise of judicial discretion . . . .” Id. In Lloyd, when this court first interpreted the effect of
The authorities that we relied on in Lloyd support the view that, rather than inviting courts to substitute their judgment for that of thе prosecutor, the limited purpose of
Similar to § 54-46b, rule 48 (a) of the Federal Rules of Criminal Procedure has modified the previous, absolute authority enjoyed by federal prosecutors to dismiss charges. The phrase “with leave of court” established a judicial check on that formerly absolute power. See id., 513. The court explained that the rule was not intended, however, “to confer on the [j]udiciary the power and authority to usurp or interfere with the good faith exercise of the [e]xecutive power to take care that the laws are faithfully executed. [Rule 48 (a)] was not promulgated to shift absolute power from the [e]xecutive to the [j]udicial [b]ranch. Rather, it was intended as a pоwer to check power. The [e]xecutive remains the absolute judge of whether a prosecution should be initiated and the first and presumptively the best judge of whether a pending prosecution should be terminated. The exercise of its discretion with respect to the termination of pending prosecutions should not be judicially disturbed unless clearly contrary to manifest public interest. In this way, the essential function of each branch is synchronized to achieve a balance that serves both practical and constitutional values.” Id.; see also United States v. Ammidown, 497 F.2d 615, 620 (D.C. Cir. 1973) (observing that role conferred on judiciary by rule 48 [a] of Federal Rules of Criminal Procedure was “role of guarding against abuse of prosecutorial discretion”). Like rule 48 (a),
It is highly significant that a prosecutor is an officer of the court, who owes a duty of candor to the tribunal. See Rules of Professional Conduct 3.3. Due to their function, in fact, prosecutors are held to an even higher standard than other attorneys. We have observed that “[the prosecutor] is not only an officer оf the court, like every attorney, but is also a high public officer, representing the people of the [s]tate, who
Our decision today should not be read to suggest that trial courts should function as “rubber stamps” for a prosecutor’s decision to enter a nolle. Abuse of discretion review is prеcisely what it sounds like—upon a defendant’s objection,
In the present case, in contrast to State v. Richard P., supra, 179 Conn. App. 676, the prosecutor’s representations fell within the range of a
The decision of the trial court is affirmed.
In this opinion the other justices concurred.
