Steadwell v. Warden, Connecticut Correctional Institution, Somers
Steadwell v. Warden, Connecticut Correctional Institution, Somers
Dissenting Opinion
(dissenting). The issue here is not one of confrontation between the constitutional powers of the judiciary and the legislature but simply of legislative intention. It must be borne in mind that when the Personal Data Act became effective on July 1,1977,
Unless § 917 exceeds the judicial power, both statutory and constitutional, to adopt rules of practice, it is “law” and its restrictions upon availability of the PSI must have been accepted by the legislature in the exclusion created by § 4-194 (a) from the Personal Data Act requirements. “[C]ourts have an inherent power, independent of statutory authorization, to prescribe rules to regulate their proceedings and facilitate the administration of justice as they deem necessary.” State v. Clemente, supra, 514. It was in the exercise of this power that the judges of the Superior Court adopted § 917 in 1976 as part of a major revision of the rules of criminal procedure.
The majority opinion does not question the power of the judges to adopt the prohibitions against public access to the. PSI under their authority to “facilitate the administration of justice.” Only the restriction upon a defendant’s access after his PSI comes into the possession of the institution to which he has been committed is found to be invalid. The portion of Practice Book § 917 allowing correctional or mental health institutions to receive a copy of the report for an inmate committed to their custody was inserted to conform the rule to General Statutes § 54-91a which contains a similar provision. This accommodation of the legislative will by the judiciary can hardly be given the effect of invalidating restrictions upon disclosure which would otherwise come within the judicial power. The legislature
In this opinion Wright, J., concurred.
Public Acts 1976, No. 76-421, § 9.
Practice Book, 1963, §2328 (effective October 1, 1976).
Publie Acts 1976, No. 76-421, §§ 3, 7, 9.
Public Acts 1979, No. 79-538, §2.
Practice Book, 1963, § 2328, adopted June 7, 1976, to take effect October 1, 1976; Orland, Connecticut Criminal Procedure § 2328.
Opinion of the Court
This case presents a question of first impression in this state concerning the extent to which presentence investigation reports in the possession of the department of correction are subject to disclosure, under the Personal Data Act, General Statutes §§ 4-190 to 4-197.
The facts are not disputed. The department of correction (hereinafter DOC) maintains personal data files concerning inmates in its custody. After July 1, 1977, when the Personal Data Act, Public Acts 1976, No. 76-421, § 9 (hereinafter the act) became effective, the plaintiff, an inmate confined at the Connecticut Correctional Institution, Somers, filed a written request with the warden for disclosure of all personal data concerning him maintained by the DOC.
I
As a threshold issue the defendant has raised the jurisdiction of this eourt to address the subject matter of this appeal. The defendant claims that the present case is an administrative appeal and therefore should have been brought to this court by way of a certification for review.
“Appeals from final judgments or actions of the superior court shall be taken to the supreme court ... except for ... administrative appeals as provided for in section 51-197b . . . .” General Statutes § 51-197a. General Statutes § 51-197b, as amended to 1980, provides that appeals from a trial court’s
General Statutes § 4-195 provides that any person aggrieved by a refusal of disclosure may “petition the superior court . . . for an order requiring the agency to disclose the personal data. .. . The court, after hearing and an in camera review of the personal data in question, shall issue the order requested unless it determines that such disclosure would be detrimental to the person or is otherwise prohibited by law.” The petition filed under this section seeks an independent determination by the court of whether disclosure is required.
The plaintiff claims that the Act requires the disclosure of PSIs. General Statutes § 4-193 (g) provides that “[e]ach agency shall . . . [e]xcept as otherwise provided in section 4-194, disclose to a person, upon written request ... all personal data concerning him which is maintained by the agency.” It is undisputed that the DOC is an agency for purposes of the act.
PSIs result from a presentence inquiry
“If an agency determines . . . that nondisclosure to a person of personal data concerning him is . . . permitted or required by law, the agency may refuse to disclose that personal data, and shall refuse disclosure where required by law.” General Statutes $ 4-194 (a); see General Statutes $4-195. The trial court held that Practice Book $ 917, which limits postsentencing access to PSIs to certain nonpublic contexts, is a law requiring nondisclosure to the plaintiff. Practice Book $917 provides that “[t]he presentence investigation report shall not be a public record and shall not be accessible to the public. It shall be available initially to the parties . . . for use in the sentencing hearing and in any subsequent proceedings wherein the same conviction may be involved, and it shall be available at all times to the following: (1) The department of adult probation; (2) The correctional or mental health institution to which the defendant is committed; (3) The board of parole; (4) The board of pardons; (5) The sentence review division of the superior court; (6) The judicial review council; (7) Any court of proper jurisdiction where it is relevant to any proceeding before such court. Such court may also order that the report be made available to counsel for the parties for the purpose of such proceeding; (8) Counsel for the defendant and the prosecuting authority during negotiations relating to other offenses pending against the defendant or subsequently charged against him; and (9) Counsel for the defendant in a sentence review hearing or habeas corpus proceeding upon counsel’s request to the department of adult probation.” This provision protects the defendant, the plaintiff herein,
Disclosure under the act does not result in public review of PSIs. It permits access to a person only
The Superior Court is empowered to adopt and promulgate rules “regulating pleading, practice and procedure in judicial proceedings in courts in which they have the constitutional authority to make rules, for the purpose of simplifying proceedings in the courts and of promoting the speedy and efficient determination of litigation upon its merits. Such rules shall not abridge, enlarge or modify any substantive right . . . .” General Statutes §51-14 (a). The act creates a substantive right of access to personal data maintained by agencies which does not encroach upon the operation or structure of the courts. Just as the general' assembly lacks the power to enact rules governing procedure that is exclusively within the power of the courts; Conn. Const., art. V § 1; State v. Clemente, supra, 510-11, 516; so do the courts lack the power to promulgate rules governing substantive rights and remedies. General Statutes § 51-14 (a); State v. Clemente, supra, 509-10; see State v. Rodriguez, 180 Conn. 382, 385-86, 429 A.2d 919 (1980). Additionally the court rules themselves are expressly limited in scope to practice and procedure in the Superior Court; Practice Book § 1; and do not purport to reach beyond
There is error; the judgment is set aside and the case is remanded with direction to render judgment in accordance with this opinion.
In this opinion Peters and Parskey, Js., concurred.
Originally nine individual actions were instituted, each, by an inmate confined at Somers. The actions were consolidated and tried together, but only the plaintiff Charles* Steadwell has appealed from the judgment of the court.
Besides PSIs, several other kinds of data were not disclosed. Among them the plaintiff claims that the court erred in not ordering disclosure of disciplinary and investigatory records maintained by the DOC. It is undisputed that there existed no such records pertaining to the plaintiff. Therefore, this claim of error is not properly before us and we decline to address it.
General Statutes § 4-195 provides: “petition to court for failure to disclose. If disclosure of personal data is refused by an ageney under section 4-194, any person aggrieved thereby may, within thirty days of such refusal, petition the superior court for the county or judicial district in which he resides for an order requiring the ageney to disclose the personal data. Such a proceeding shall be privileged with respect to assignment for trial. The court, after hearing and an in camera review of the personal data in question, shall issue the order requested unless it determines that such disclosure would be detrimental to the person or is otherwise prohibited by law.”
In denying disclosure the trial eourt erroneously stated that “[t]he petitioners fsie] appeal is overruled.” As discussed infra, a petition brought pursuant to General Statutes § 4-195 is not properly characterized as an appeal.
Seetion 3 of Public Acts 1981, No. 81-416, effective July 1, 1981, substituted a right of administrative appeal to the Appellate Session of the Superior Court for the previous certification for review to the Supreme Court. The provision further states that “[t]here shall be no right to further review except to the supreme court pursuant to the provisions of seetion 51-197Í of the General Statutes,” which provide for further review of Appellate Session determinations by certification to the Supreme Court. General Statutes § 51-197Í.
General Statutes § 4-195 creates a right of judicial recourse independent of the provisions of the Uniform Administrative Procedure Act, (hereinafter UAPA) General Statutes §§ 4-166 to 4-189. Although the DOC is on “agency” for purposes of the UAPA; General Statutes §§ 4-166 (1), 4-185, 18-78a (a); disclosure decisions are not “contested cases,” because the administrative proceeding pursuant to a disclosure request does not require an opportunity for a hearing according to statute; nor was a hearing in fact held in the present ease. General Statutes § 4-166 (2); Rybinski v. State Employees Retirement Commission, 173 Conn. 462, 469, 378 A.2d 547 (1977).
General Statutes § 4-190 provides in part: “Definitions. As used in this chapter: (a) ‘Agency’ means each state board, commission, department or ofiieer, other than the legislature, courts, governor, lieutenant governor, attorney general or town or regional boards of education, which maintains a personal data system.”
General Statutes § 1-19 provides in part: “access to public records. exempt records, (a) Except as otherwise provided by any federal law or state statute, all records maintained or kept on file by any publie agency, whether or not sueh records are required by any law or by any rule or regulation, shall be publie records ....
“(b) Nothing in section . . . 1-19 . . . shall be construed to require disclosure of ... (3) records of law enforcement agencies not otherwise available to the publie which records were compiled in connection with the detection or investigation of crime, if the disclosure of said records would not be in the public interest because it would result in the disclosure of (A) the identity of informants not otherwise known, (B) information to be used in a prospective law enforcement action if prejudicial to such action, (C) investigatory techniques not otherwise known to the general public, or (D) arrest records of a juvenile, which shall also include any investigatory files, concerning the arrest of sueh juvenile, compiled for law enforcement purposes
Because PSIs are not connected with the detection or investigation of a crime; see State v. Gullette, 3 Conn. Cir. 153, 167, 209 A.2d 529 (1964) ; this exception to the definition of “personal data” does not apply to them.
Prior to October 1, 1978, the definition of “personal data” included criminal history. Section 2 of Publie Aets 1978, No. 78-200, entitled “An Act Concerning Security and Privacy of Criminal History Record Information as Required by Federal Regulations,” deleted “criminal history” from General Statutes § 4-190 (i). Section 1 of that act, however, expressly excluded PSI information from the definition of “criminal history.” General Statutes $ 54-142g (a). Accordingly, the amendment of General Statutes $ 4-190 (i) between the time of the plaintiff’s request for disclosure and the judgment rendered by the trial court on November 7, 1978 is of no consequence in the present case.
The record does not reveal when the plaintiff was sentenced. The statute providing for PSIs has remained substantially unaltered since its original enactment in 1955. Between' October 1, 1976 and July 1, 1978, General Statutes § 54-109 (now § 54-91a) provided:
“No defendant convicted of a crime, other than a capital felony, the punishment for Which may include imprisonment for more than
Section 5 of Publie Acts 1978, No. 78-188, effective July 1, 1978, added “and restitution specialist” after “probation officer” in two places in the third sentence. Section 48 of Public Acts 1980, No. 80-313, effective October 1, 1980, substituted “may” for “shall” in the first sentence and divided the section into two subsections.
For purposes of the act, “maintain” personal data is defined as “collect, maintain, use or disseminate.” General Statutes $ 4-190 (f).
The defendant also has aceess to his PSI prior to sentencing. Practice Book § 915 provides that “[t]he presentenee investigation report shall be provided to the judicial authority, and copies thereof shall be provided to the prosecuting authority and to the defendant or his counsel in sufficient time for them to prepare adequately for the sentencing hearing, and in any event, no less than twenty-four hours prior to the date of the sentencing. Upon request of the defendant, the sentencing hearing shall be continued for a reasonable time if the judicial authority finds that the defendant or his counsel did not receive the presentence investigation report within such time.” (Emphasis added.)
One purpose of providing a copy of the PSI to the defendant or his counsel before sentencing is to review the accuracy of the information contained therein. See General Statutes § 54-91b (formerly § 54-109a); State v. Harmon, 147 Conn. 125, 129, 157 A.2d 594 (1960). Before sentencing the trial court must hear motions addressing the accuracy of the PSI. General Statutes § 54-91b. The defendants have not advanced any policy reason for distinguishing access to a PSI after sentencing from access before sentencing for purposes of determining its accuracy.
Because we hold that Practice Book § 917 cannot require nondisclosure of personal data under the Act, we need not address the plaintiff’s additional claim that the Rules of Practice are not “law” generally and within the meaning of General Statutes § 4-194 (a).
Reference
- Full Case Name
- Charles Steadwell v. Warden, Connecticut Correctional Institution, Somers
- Cited By
- 28 cases
- Status
- Published