State v. Banks
State v. Banks
Opinion
In this certified appeal
1
we consider whether the Appellate Court properly resolved a series of claims that the defendant, Mark Banks, raises in connection with General Statutes (Rev. to 2009) § 54-102g,
2
which authorizes the Commissioner
of Correction
to collect DNA samples from currently incarcerated felons in order to maintain a DNA data bank to assist in criminal investigations. The defendant appeals, following our grant of certification, from the judgment of the Appellate Court affirming both the trial court's judgment granting the state permission to use reasonable physical force to obtain a DNA sample from the defendant and the judgment of conviction rendered following the defendant's refusal to submit to the taking of a blood or other biological sample for DNA analysis in violation of § 54-102g (g).
State v. Banks,
The following facts and procedural history are relevant to the resolution of this appeal. In 1997, following a jury trial, the defendant was convicted of four counts of robbery in the first degree in violation of General Statutes § 53a-134 (a)(4), four counts of kidnapping in the first degree in violation of General Statutes § 53a-92, and two counts of criminal possession of a pistol or revolver in violation of General Statutes (Rev. to 1995) § 53a-217c for robberies committed in 1995. See
State v. Banks,
In his brief to this court, the defendant states that on December 8 and 29, 2009, personnel from the Department of Correction (department) instructed him to submit to the taking of a DNA sample pursuant to § 54-102g (a), but that he refused to comply. On March 17, 2010, department personnel again instructed the defendant and nine other inmates to provide DNA samples in accordance with the statute. The defendant remained steadfast in his refusal to submit to the taking of a DNA sample.
On May 19, 2010, the state filed a motion in the trial court seeking permission to use reasonable physical force to collect a DNA sample from the defendant and a fellow inmate, Roosevelt Drakes, 3 who had likewise refused to submit a sample. The state cited § 54-102g as the authority for its motion. The defendant opposed the state's motion, arguing that if he refused to submit a DNA sample for inclusion in the DNA data bank, the only recourse available to the state was to prosecute him pursuant to § 54-102g (g) for refusal to provide a blood or other biological sample for DNA analysis. 4 The defendant further argued that he was not required to submit a DNA sample because at the time of his convictions in 1997, General Statutes (Rev. to 1997) § 54-102g applied only to those persons convicted of certain sex offenses and did not apply to incarcerated felons, such as the defendant, until the legislature amended the statute in 2003. See Public Acts 2003, No. 03-242, § 1 (P.A. 03-242). Accordingly, the defendant claimed that requiring him to provide a DNA sample would constitute an added punishment to his original sentence and run afoul of the ex post facto clause.
On February 8, 2011, the trial court, Mullarkey, J., issued a written memorandum of decision rejecting the defendant's claims and granting the state's motion for permission to use reasonable physical force to collect a DNA sample from the defendant. The trial court determined that submitting to the taking of a DNA sample for the purposes of § 54-102g was a nonpunitive, regulatory measure that did not affect the defendant's original 1997 sentence and, therefore, that the trial court had subject matter jurisdiction over the state's motion. Likewise, because the trial court determined that § 54-102g is regulatory in nature, it concluded that the statute did not run awry of the ex post facto clause. Additionally, after examining the text and legislative history of § 54-102g, the court determined that the statute necessarily included the option of enforcing compliance through reasonable force, because allowing incarcerated felons to simply refuse to provide DNA samples would substantially frustrate the legislature's goal of creating a comprehensive DNA data bank to aid in criminal investigations. The defendant appealed to the Appellate Court from the trial court's decision. 5
Subsequently, the defendant was charged via a substitute information with refusal to submit to the taking of a blood or biological sample for DNA analysis in violation of § 54-102g (g) for his March 17, 2010 refusal. The defendant moved to dismiss the charge and, at a hearing before the trial court, Carbonneau, J., presented similar arguments to those he previously presented in opposition to the state's motion to use physical force, namely, that application of the statute would violate the ex post facto clause as applied to him. The trial court adopted the reasoning of Judge Mullarkey in his memorandum of decision, concluded that the taking of a DNA sample was not a penalty and denied the defendant's motion to dismiss. Following a bench trial, the defendant was found guilty and sentenced to one year incarceration, consecutive to his existing sentences. The defendant filed a separate appeal to the Appellate Court from the judgment of conviction.
The Appellate Court considered the defendant's consolidated appeals and ultimately upheld both the defendant's conviction and the trial court's grant of the state's motion for permission to use reasonable physical force in obtaining a DNA sample from the defendant.
State v. Banks,
supra,
Prior to addressing the defendant's substantive claims, we provide an overview of the history of the statutory scheme which underlies the defendant's claims. The current revision of § 54-102g (b) requires DNA samples to be collected from all persons convicted of a felony, among others. When initially enacted in 1994, however, the statute only required the collection of DNA samples from persons convicted of certain sex offenses. Public Acts 1994, No. 94-246, § 1; see General Statutes (Rev. to 1995) § 54-102g. The statute was further amended in 1999 to extend the DNA collection requirements to individuals who had committed a criminal offense against a victim who was a minor. Public Acts 1999, No. 99-183, § 1. In 2003, the legislature expanded the scope of the statute to require all incarcerated felons to submit a DNA sample for inclusion in the state DNA data bank. See P.A. 03-242, § 1. The 2003 amendment broadening the category of those subject to § 54-102g is the source of the defendant's present appeal. 6
I
A
We first address the defendant's claim that the Appellate Court incorrectly concluded that the trial court properly granted the state's motion for permission to use reasonable physical force as a means of obtaining a sample of the defendant's DNA.
State v. Banks,
supra,
In the most fundamental sense, subject matter jurisdiction "involves the authority of a court to adjudicate the type of controversy presented by the action before it." (Internal quotation marks omitted.)
State v. Fowlkes,
The critical question in determining whether a court may take action affecting a defendant's sentence following its imposition is whether the requested action is punitive in nature. If the requested action "is not punitive in nature, then a defendant's sentence is not affected, and the trial court has jurisdiction to take that action. If it is punitive, then a defendant's sentence
is
affected, and the trial court lacks jurisdiction to take that action." (Emphasis in original.)
Like the similar claim in Waterman, the defendant's argument that the trial court did not have jurisdiction to grant the state's motion for permission to use reasonable force because § 54-102g constitutes a penalty must fail. After our review of § 54-102g, we conclude that the Appellate Court properly determined that the requirements in the statute to provide DNA samples are not punitive in nature and, therefore, the trial court properly had subject matter jurisdiction to consider the state's motion.
Under the first part of our analysis, we examine the statutory text and conclude that the legislature did not intend for DNA collection to be punitive in the context of the statutory scheme that encompasses § 54-102g. In determining the legislative purpose of a statute, we employ the familiar rules of statutory construction. See
Lieberman v. Aronow,
In re Tyriq T.,
Indeed, the other provisions of the statutory scheme demonstrate that the collection of DNA samples is for regulatory rather than punitive purposes. For example, the statutory scheme contains provisions regulating: the manner in which DNA samples are collected; General Statutes § 54-102h ; the manner in which the analysis of DNA samples is to be conducted; General Statutes § 54-102i ; and the legitimate purposes for which information in the DNA data bank may be used. General Statutes § 54-102j. Likewise, the statutory scheme contains provisions that: outline penalties for misuse of information in the DNA data bank; General Statutes § 54-102k ; provide for the destruction of DNA data bank information upon a person's exoneration; General Statutes § 54-102l ;
and create a DNA Data Bank Oversight Panel charged with safeguarding the information in the DNA data bank and the privacy of individuals registered therein. General Statutes § 54-102m. All of these provisions further the regulatory purpose and ensure that the DNA data bank is used only in accordance with its proper purpose of assisting in criminal investigations. Notably, all fifty states have
enacted statutes similar to Connecticut's that require convicted felons to submit a DNA sample in order to aid in criminal investigations.
Maryland v. King,
Although we conclude that § 54-102g is not punitive in law, under the second part of our analysis, we consider whether the statute may be " 'punitive in fact' " if the punitive effect of the statute is so substantial that it swallows the regulatory or civil purpose of the statute.
State v. Waterman,
supra,
In concluding that § 54-102g is not punitive in fact, the Appellate Court rejected the defendant's claim that because refusal to submit a DNA sample can result in a criminal prosecution pursuant to § 54-102g (g) the statute is necessarily punitive in its effect.
State v. Banks,
supra,
Our examination of the other Mendoza-Martinez factors does not lead us to the conclusion that § 54-102g is punitive in fact. We are unaware of any tradition that considers the submission of a DNA sample to be a historically recognized punishment and the defendant offers no support for such a proposition. 8 Likewise, requiring convicted felons to submit to the taking of a DNA sample in no way furthers the retributive or deterrent goals of punishment for their underlying crimes.
The purpose of collecting DNA samples is not to punish felons for their underlying crimes or to deter future criminals, but to bolster the usefulness of the DNA data bank in criminal investigations. 9 The statutory scheme furthers this purpose by only imposing a minimal inconvenience on those who must submit DNA samples and thereafter safeguards the interests of those in the data bank via the DNA Data Bank Oversight Panel and the destruction of DNA records upon exoneration. The goals expressed in the statute and the operative statutory mechanisms by which they are to be carried out are inconsistent with the goals of punishment. We therefore conclude that the Appellate Court properly determined that § 54-102g is not punitive in fact under the factors set forth in Mendoza-Martinez. As the statute is neither punitive in law or in fact and therefore does not affect the defendant's original sentences, the Appellate Court was correct in its conclusion that the trial court properly had subject matter jurisdiction over the state's motion seeking permission to use reasonable physical force to obtain a DNA sample from the defendant.
B
Although the trial court was vested with jurisdiction to consider the state's motion, we must next determine whether the trial court properly granted the state's motion for permission to use reasonable physical force. At the time of the state's motion, § 54-102g contained no provisions explicitly outlining the remedies available to the department should an incarcerated felon refuse to willingly submit to the taking of a DNA sample. The legislature subsequently amended the statute to specifically allow department personnel to use reasonable force to obtain samples from those who refuse to do so. See P.A. 11-144. Thus, we must determine whether, prior to the legislature's amendment, it was permissible for the trial court to authorize the state to use reasonable physical force to obtain a sample of the defendant's DNA.
In its memorandum of decision on the state's motion, the trial court initially concluded that the plain meaning of § 54-102g is clear in that the DNA sample requirement is mandatory. The court observed, however, that at that point in time, the statute did not expressly provide for the use of reasonable force in the event of an individual's refusal to submit a sample. The defendant argued that the statute's silence evinced an inability to implement force as a means of obtaining the sample whereas the state argued that if the use of reasonable force were not permissible then the entire purpose of the statute would be rendered meaningless by the ability of inmates to refuse sampling. Determining that both interpretations were plausible, the trial court concluded that § 54-102g is ambiguous within the meaning of § 1-2z and proceeded to review the relevant legislative history, which provided no clarity on the use of reasonable force in this context. The trial court ultimately determined that the use of reasonable force to obtain a DNA sample was inherent in the statute because: (1) the legislature's silence on the topic could not be construed as evidence of legislative intent to the contrary; (2) it was department policy to seek a court order authorizing reasonable force in the event of an individual's refusal and the legislature had not addressed that question despite making interim revisions to the statute; and (3) the overall purpose of the statute would be substantially frustrated otherwise. Accordingly, the trial court granted the state's motion.
The Appellate Court affirmed the trial court's decision, holding that the department's ability to use reasonable force to obtain a DNA sample is implicit in the statute as its fundamental purpose would be subverted otherwise.
State v. Banks,
supra,
As the defendant's claim presents us with a question of statutory interpretation, we are guided by § 1-2z and the standard precepts of statutory construction. See
Lieberman v. Aronow,
supra,
in the language of the statute denotes a mandatory duty on the part of an individual to submit to the taking of a DNA sample upon the request of the department. We recognize that "the legislature's use of the word 'shall' suggests a mandatory command," and yet "the word 'shall' is not [necessarily] dispositive on the issue of whether a statute is mandatory."
Southwick at Milford Condominium Assn., Inc. v. 523 Wheelers Farm Road, Milford, LLC,
The use of the word "required" along with "shall" in the text of the statute seems to imply that submitting to the taking of a DNA sample is mandatory. More tellingly, the objective at the heart of § 54-102g is the DNA data bank, the creation and efficacy of which would be substantially impeded without the collection of DNA samples from those persons covered by the statute. Thus, the submission of DNA samples by convicted felons is certainly a matter of substance rather than one of mere convenience, as fulfillment of the statute's goals would be utterly hindered by an individual's refusal to submit a DNA sample. Although the plain language of the statute clearly suggests that § 54-102g imposes a mandatory obligation on an individual to submit to the taking of a DNA sample, the mandatory language of the statute does not address the crux of the defendant's claim, namely whether the statute authorizes the use of reasonable force to obtain a sample from an unwilling individual. Although we observe that "statutory silence does not necessarily equate to
ambiguity"; (internal quotation marks omitted)
Hartford/Windsor Healthcare Properties, LLC v. Hartford,
Both the trial court and the Appellate Court, after reviewing the legislative history of § 54-102g, ultimately concluded that the history shed no light on the legislature's intentions as to the use of reasonable
force to obtain a DNA sample.
At first blush, the silence of the legislature during its debate on the statute appears to lend some support to the defendant's position that the silence of the statute militates against the use of reasonable force to obtain a DNA sample. It is well established, however, that when "we are left with silence on [an] issue ... we do not determine legislative intent" from such silence.
State v. Kirsch,
In the absence of any determinative legislative history on the statute, the Appellate Court focused on the fact that given the mandatory and substantive import of the DNA submission requirement, to permit individuals to refuse to comply with the statute at will would seriously defeat the statute's goal of creating a DNA data bank to assist in criminal investigations.
State v. Banks,
supra,
If we were to accept the defendant's position, those persons required to submit a DNA sample under the statute would be free to openly refuse and § 54-102g would be reduced to a ity and its objectives resoundingly defeated. Although, as the defendant observes,
§ 54-102g (g) subjects a person to further criminal prosecution for refusal to submit a DNA sample, such prosecution does not, as the defendant's case itself demonstrates, remedy the fact that the ultimate objective of § 54-102g has been thwarted. For the statute to be effective, it must necessarily allow for the department to use reasonable force in those instances where a person required to submit to the taking of a DNA
sample refuses to do so. See
Rendelman v. Scott,
Furthermore, at the time of the state's motion, the department had a policy in place that when an inmate subject to § 54-102g refused to provide a DNA sample, department personnel were to direct the inmate to complete a "DNA Advisement/Refusal Form" (refusal form) that informed the inmate that refusal to submit a sample pursuant to the statute was a prosecutable offense. See Department of Correction, Felony DNA Policy (October 1, 2010), available at www.ct.gov/doc/lib/doc/pdf/PolicyDNAFelony.pdf (last visited May 6, 2016). In its memorandum of decision, the trial court observed that the refusal form also advised an inmate that if the inmate continued to refuse to provide a sample, the department could seek a court order to use reasonable force in order to ensure compliance with the statute. The court noted that, despite the existence of such a policy, the legislature had not taken any action in subsequent amendments to disavow the state's policy of seeking the authorization of reasonable force should an individual refuse to submit to sampling. See generally
Connecticut Light & Power Co. v. Public Utilities Control Authority,
Accordingly, we agree with the conclusions of the Appellate Court. Given the statute's mandatory nature, its overall goals and objectives, and the legislature's subsequent amendment to the statute, it was proper for the trial court to grant the state's motion seeking permission to use reasonable physical force to obtain a DNA sample from the defendant.
II
We next address the defendant's claim that the Appellate Court incorrectly determined that the application of § 54-102g to the defendant did not run afoul of the ex post facto clause of the federal constitution. The defendant suggests that, because at the time of his underlying robbery related convictions in 1997, the statute applied only to those convicted of certain sex offenses, the requirement imposed by the 2003 amendment to § 54-102g that all convicted felons submit to the taking of a DNA sample violates the ex post facto clause and the defendant's due process rights. The state counters that the defendant's claim must fail due to the fact that providing a DNA sample is not a punitive sanction and therefore it does not contravene the ex post facto clause or the defendant's due process rights. We agree with the state that § 54-102g does not violate the federal constitution's bar on ex post facto laws.
The constitution of the United States, article one, § 10, provides in relevant part that "[n]o State shall ... pass any ... ex post facto Law...." A law may be considered to violate the ex post facto clause if it "punishes as a crime an act previously committed, which was innocent when done; which makes more
burdensome the punishment for a crime, after its commission, or which deprives one charged with [a] crime of any defense available according to law at the
time when the act was committed...." (Internal quotation marks omitted.)
Dobbert v. Florida,
The defendant first raised his ex post facto claim in a pro se supplemental memorandum at the time the state filed its motion seeking permission to use reasonable force against the defendant. The trial court rejected the defendant's claim on the ground that § 54-102g is not a penal statute and therefore does not fall within the purview of the ex post facto clause. When the defendant was subsequently prosecuted for violating § 54-102g, the defendant moved to dismiss on the basis of the ex post facto clause and the trial court denied the motion on the basis of the same reasoning it relied on in granting the state's previous motion to use reasonable physical force. On appeal, the Appellate Court concluded
that its determination that the statute was regulatory rather than punitive foreclosed the defendant's ex post facto claim and it therefore affirmed the trial court's judgments.
State v. Banks,
supra,
As the defendant notes, prior to the amendment in 2003 to § 54-102g, making all felons subject to the requirements of that statute; P.A. 03-242; § 54-102g applied only to those persons who had been convicted of particular sex offenses or who had committed an offense against a victim who was a minor. See General Statutes (Rev. to 2003) § 54-102g (a). Thus, at the time the defendant was convicted of his underlying offenses in 1997, he was not required to submit to the taking of a DNA sample for inclusion in the DNA data bank. The 2003 amendment, however, broadened the scope of the statute to include all persons convicted of a felony-a group that includes the defendant-to submit a biological sample for the purposes of the statute. See P.A. 03-242, § 1. Although this factual scenario would seemingly implicate the ex post facto clause, as we already extensively discussed in part I A of this opinion, § 54-102g is
not
a penal statute. The statute does not therefore implicate the ex post facto clause.
10
See
Collins v. Youngblood,
We observe that the courts of other jurisdictions that have addressed this issue
have all arrived at the same conclusion, namely that statutes requiring convicts to submit DNA samples do not contravene the ex post facto clause, even when the underlying convictions precede the DNA collection statutes. See
In re DNA Ex
Post Facto Issues,
As the regulatory nature of § 54-102g does not raise any concerns in regard to the constitutional prohibition on ex post facto laws, the defendant's due process concerns stemming from the application of a supposed ex post facto law are therefore not an issue in the present case. Accordingly, we conclude that the Appellate Court properly upheld the trial court's determinations that § 54-102g does not violate the ex post facto clause.
The judgment of the Appellate Court is affirmed.
In this opinion PALMER, EVELEIGH, McDONALD and VERTEFEUILLE, Js., concurred.
ROGERS, C.J., with whom ZARELLA, J., joins, concurring.
I agree with the majority opinion, but write separately because I believe that the time has come to attempt to clarify our jurisprudence regarding the distinction between mandatory and directory statutes, and specifically the use of the term "shall" in statutory language. As I discuss more fully in this opinion, the distinction between mandatory statutes, which must be strictly complied with, and directory statutes, which merely provide direction and are of no obligatory force, 1 despite the use of the term "shall," originated in cases that involved statutes that vested power in a public official. Over time, however, parties have begun to claim that the mandatory/directory distinction applies to statutory provisions that impose substantive requirements on private persons. The state in the present case contends that General Statutes (Rev. to 2011) § 54-102g (a), which provides in relevant part that "[a]ny person who has been convicted of a ... felony ... shall, prior to release from custody and at such time as the [C]ommissioner [of Correction] may specify, submit to the taking of a blood or other biological sample for DNA ... analysis," is mandatory, not directory. I agree.
As I have indicated herein, the distinction between mandatory and directory requirements first arose in cases involving statutes vesting power or jurisdiction in a public officer or body. See
Gallup v. Smith,
More recently, however, the mandatory/directory distinction has been applied to statutes that impose substantive requirements
on private parties.
6
By way of
example, in
Southwick at Milford Condominium
Assn., Inc. v. 523 Wheelers Farm Road, Milford, LLC,
As I previously have explained, the mandatory/directory distinction originally arose in cases involving procedural requirements directed at public officials, for reasons that are specific to that context. Accordingly, I would conclude that any substantive statute that requires a private party to perform or to refrain from some act in order to assert his or her own rights or to protect the substantive rights of other persons is mandatory, at least in the absence of clear legislative intent to the contrary. Indeed, even procedural requirements directed at private parties have generally been considered mandatory, in the sense that they must be complied with in the absence of waiver or consent by the opposing party. See footnote 6 of this concurring opinion. Thus, I do not believe that in the present case we are required to consider whether the requirement of General Statutes (Rev. to 2011) § 54-102g (a) that "[a]ny person who has been convicted of a ... felony ... shall, prior to release from custody and at such time as the [C]ommissioner [of Correction] may specify, submit to the taking of a blood or other biological sample for DNA ... analysis," is, as a matter of legislative intent, mandatory or directory. 8 In my view, the statute is mandatory because it uses the term "shall" and is directed at a private party. 9
When a party has failed to comply with a mandatory statute, the only questions that the court should address are whether the mandatory requirement is subject to
waiver and, if so, whether it has been waived.
Williams v. Commission on Human Rights & Opportunities,
Of course, as the majority points out, this does not answer the separate question of whether the defendant may be compelled by force to submit to the taking of a DNA sample. Because I agree with the majority's analysis of that question, I concur with the majority opinion.
We granted the defendant's petition for certification, limited to the following issues: (1) "Did the Appellate Court correctly determine that the state may obtain a DNA sample from a felon in the custody of the Commissioner of Correction who was convicted of crimes prior to the enactment of General Statutes § 54-102g ?"; and (2) "Did the Appellate Court correctly determine that prior to the passage of No. 11-144, § 1, of the 2011 Public Acts, which amended ... § 54-102g, it was permissible for the trial court to grant the state permission to use reasonable physical force to obtain a DNA sample?"
State v. Banks,
All references herein to § 54-102g are to the 2009 revision of the statute unless otherwise indicated.
Drakes' appeal, also decided today, raises issues similar to those of the defendant in the present case. See
State v. Drakes,
At the time of the state's motion and the defendant's refusal in March, 2010, refusing to submit to the taking of a DNA sample was punishable as a class A misdemeanor. See General Statutes (Rev. to 2009) § 54-102g (g). The legislature subsequently amended the statute to make the refusal to submit to the taking of a DNA sample a class D felony, effective October 1, 2010. Public Acts 2010, No. 10-102, § 2; see General Statutes (Rev. to 2011) § 54-102g (g).
The defendant, however, did not submit a sample of his DNA at this time. The trial court issued a stay delaying the enforcement of its decision pending the resolution of the defendant's appeal. See
State v. Banks,
supra,
General Statutes (Rev. to 2009) § 54-102g provides in relevant part: "(a) Any person who has been convicted of a criminal offense against a victim who is a minor, a nonviolent sexual offense or a sexually violent offense ... or a felony, and has been sentenced on that conviction to the custody of the Commissioner of Correction shall, prior to release from custody and at such time as the commissioner may specify, submit to the taking of a blood or other biological sample for DNA ... analysis to determine identification characteristics specific to the person...."
See
United States v. Coccia,
The defendant instead suggests that submitting a DNA sample should be recognized as a punishment because taking the sample would be a search and an intrusion under the fourth amendment to the federal constitution. There is no support, however, for the defendant's recasting of a fourth amendment search as a punishment. To the contrary, courts have held that actions generally are not punitive if they are minor and indirect in their effect. See
Smith v. Doe,
We observe that the defendant does not raise a separate fourth amendment claim in the present case. Rather, he argues only that the act of submitting a DNA sample should be considered a punishment because it would also constitute a search. At oral argument before this court, counsel for both the defendant and the state acknowledged that the defendant was not raising a fourth amendment claim in his appeal.
The defendant challenges the Appellate Court's determination that "[g]iven the ... importance of the objective to maintain a DNA data bank ... to implement the purpose of the data bank, it must be comprehensive."
State v. Banks,
supra,
Given our conclusion that § 54-102g does not fall within the ambit of the ex post facto clause by virtue of its nonpunitive nature, we need not address the defendant's claims regarding the retroactivity of the statute, which are premised on the defendant's theory that the statute is penal in nature.
Black's Law Dictionary (4th Ed. 1968) defines a directory requirement as "[a] provision in a statute, rule of procedure, or the like, which is a mere direction or instruction of no obligatory force, and involving no invalidating consequence for its disregard, as opposed to an imperative or mandatory provision, which must be followed.... The general rule is that the prescriptions of a statute relating to the performance of a public duty are so far directory that, though neglect of them may be punishable, yet it does not affect the validity of the acts done under them, as in the case of a statute requiring an officer to prepare and deliver a document to another officer on or before a certain day." (Citation omitted.) See also
See also
People v. Gray,
See also
People v. Gray,
See, e.g.,
United Illuminating Co. v. New Haven,
"There is an essential difference between statutory directions to public officers and to private persons. As to the former, the protection of public or private rights often depends upon the proper performance by the designated officer, a person whose dereliction in that respect is beyond the direct and particular control of those whose rights are at stake. Thus, it has been held that omissions or failures by public officials should not prejudice the interests of those who have no direct and immediate control over the public officials. But as to the latter, frequently the individual's own rights depend upon his own compliance with statutory directions, so no one is to blame but himself for the loss of those rights by a failure to comply. Accordingly, a different rule is followed in the latter situation. Where an individual's rights depend upon his compliance with the provisions of a statute, those provisions are generally mandatory, and compliance therewith is a condition precedent to the perfection of such rights." (Footnote omitted.) 3 N. Singer & J. Singer, supra, § 57.15, at pp. 66-67.
The mandatory/directory distinction has also arisen in cases involving procedural time limitations on private causes of action, which is not the type of statute at issue here. In
Williams v. Commission on Human Rights & Opportunities,
I would note that in
Williams,
this court failed to observe that the cases it cited involving the mandatory/directory distinction, as opposed to the jurisdictional/nonjurisdictional distinction, involved statutory provisions directed at public officials. See id., at 268,
It is clear to me, therefore, that our cases have used the word "mandatory" in two distinct senses. With respect to statutes vesting power in public officials, the term "mandatory" is used to describe provisions with which the public official must strictly comply, as distinguished from "directory" provisions, which have
no
obligatory force. In contrast, with respect to statutes placing time limitations on
private
parties,
all
such statutes are mandatory in the sense that the party must strictly comply with them, but the failure to comply strictly with a nonjurisdictional statute is fatal
only
in the absence of waiver, consent or equitable excuse. A comprehensive review of all of the hundreds, if not thousands, of Connecticut cases involving these distinctions is beyond the scope of this concurring opinion. Suffice it to say, however, that, as this court acknowledged in
Williams,
our jurisprudence in this area has not always been entirely clear or consistent. See, e.g.,
Statewide Grievance Committee v. Rozbicki,
I do not agree that the statutory requirement that an employer use a form approved by the commissioner is directory, i.e., that it constitutes "a mere direction or instruction of no obligatory force, and involving no invalidating consequence for its disregard...." Black's Law Dictionary (4th Ed. 1968). First, I would conclude that the mandatory/directory distinction properly applies only to procedural requirements directed at public officials, and § 31-71e (2) is not directed at a public official, but requires the employer to use a form approved by the commissioner. Second, the court's conclusion in Weems renders the statutory language entirely superfluous and essentially allows an employer to determine for itself whether a written authorization to withhold wages complies with substantive statutory requirements that are intended to protect employees, a result that the legislature could not have contemplated. Accordingly, I believe that the sole questions that the court should have addressed in Weems were whether the requirement that the employer use a form approved by the commissioner was waivable and, if so, whether the plaintiffs had waived it. I express no opinion on those questions here.
I note that the plain language of General Statutes (Rev. to 2011) § 54-102g (a) clearly
requires
a defendant to submit a blood or other biological sample for DNA analysis, and does not merely authorize or permit him to do so. Compare
C.R. Klewin Northeast, LLC v. Fleming,
Whether the reasons for applying the mandatory/directory distinction in cases involving statutes directed at public officials continue to be convincing is not at issue in the present case. Accordingly, I leave that question to another day.
Reference
- Full Case Name
- STATE of Connecticut v. Mark BANKS.
- Cited By
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- Published