State v. Swebilius
State v. Swebilius
Opinion
In
State
v.
Crawford
,
The following undisputed facts and procedural history are relevant to our resolution of this appeal. On May 28, 2008, the Connecticut State Police executed a search warrant on room number 59 at the Meriden Inn, the defendant's place of residence at the time. During the search, the police seized thirty-four computer related items, which were submitted on the same day to the state forensic laboratory for analysis. The police did not receive the results of the forensic analysis until April 2, 2013, and another month elapsed before they secured a warrant for the defendant's arrest. 2 The arrest warrant was issued on May 9, 2013, nineteen days before the expiration of the five year limitation period of General Statutes (Rev. to 2007) § 54-193 (b). A short time after the limitation period expired, the defendant contacted the state police seeking the return of the property seized from his residence on May 28, 2008. As a result of this inquiry, the defendant learned about the warrant for his arrest, and, on June 10, 2013, he voluntarily surrendered to the state police. 3
Following his arrest, the defendant moved to dismiss the charge, claiming that, even though the arrest warrant had been issued within the statutory limitation period, the delay in its execution was unreasonable, and, therefore, the prosecution was barred by the statute of limitations. Prior to the hearing on his motion to dismiss, the defendant entered a conditional plea of nolo contendere subject to the trial court's ruling on the motion to dismiss. Thereafter, a hearing on that motion was held before the court, S. Moore , J . At the hearing, the defendant presented uncontested evidence that he had lived openly in Connecticut and was available for arrest throughout the five year limitation period. The state adduced no evidence. Following the hearing, the trial court found that the defendant "was not elusive, was available in the area and did not evade at the time service was made." The court also found that the state police "did not attempt execution of the [arrest] warrant before June 10, 2013, and only executed the warrant on that date upon the [defendant's] surrendering himself at the police barracks." Although the state presented no evidence as to the reasons for the delay in the execution of the arrest warrant, it argued that the delay was not unreasonable because of its short duration, because the defendant suffered no prejudice as a result thereof, and because there had been "no showing" by the defendant "of any lack of due diligence" on the part of the police in executing the warrant.
The trial court agreed with the state that the issuance of the arrest warrant, in this case, tolled the statute of limitations. Although it recognized that, under Crawford , "there is no per se approach as to what constitutes a reasonable time to execute a warrant," the court was unable to find "that a period of time as [short] as [thirty-two] days would be considered unreasonable," noting that delays found by other courts to be unreasonable typically involved significantly longer periods of time. 4 Thus, the court concluded that, "[a]lthough the police efforts might be characterized as [minimal] or nonexistent ... given the very short period of time that elapsed from the signing of the warrant to the execution of service, the police actions resulted in a timely commencement of prosecution." 5
The defendant appealed to the Appellate Court, claiming that the trial court improperly relied solely on the length of the delay in finding that the thirty-two day delay
was reasonable. See
State
v.
Swebilius
, supra,
On appeal to this court, the defendant argues that the Appellate Court's conclusion that the delay was sufficiently brief as to require no justification ignores this court's express rejection of a per se rule in
State
v.
Crawford , supra,
The state responds that, even if delays in the execution of a warrant require justification in all cases, regardless of the brevity of the delay,
Crawford
places the burden on the defendant to prove that the delay
was unreasonable. Thus, when the defendant fails to produce evidence demonstrating that the police failed to act with due diligence in serving a warrant, the delay must be presumed to be reasonable. Accordingly, the state maintains that cases such as
State
v.
Soldi , supra,
We agree with the defendant that the Appellate Court incorrectly determined that some delays in the execution of an arrest warrant may be so brief as to be reasonable as a matter of law for the purpose of tolling the applicable statute of limitations. 6 We further conclude that the burden shifting framework that the Appellate Court applied in Soldi and other cases is fully consistent with Crawford and properly allocates burdens between the parties.
General Statutes (Rev. to 2007) § 54-193 (b) provides in relevant part that "[n]o person may be prosecuted for any offense, except a capital felony, a class A felony or a violation of section 53a-54d or 53a-169, for which the punishment is or may be imprisonment in excess of one year, except within five years next after the offense has been committed. ..." In
State
v.
Crawford , supra,
In doing so, we recognized that, as a general matter, "[w]hen an arrest warrant has been issued, and the prosecutorial official has promptly delivered it to a proper officer for service, he has done all he can under our existing law to initiate prosecution and to set in motion the machinery that will provide notice to the accused of the charges against him. When the prosecutorial authority has done everything possible within the period of limitation to evidence and effectuate an intent to prosecute, the statute of limitations is tolled." (Footnote omitted.) Id., at 450,
In light of the inadequacy of the record in
Crawford
, we had no occasion to consider what kind of evidence a defendant must present to support a statute of limitations defense. Subsequent Appellate Court cases, however, have considered that question and concluded that, once a defendant presents evidence of his availability for arrest during the limitation period, the burden shifts to the state to present evidence of its due diligence in executing the warrant. See, e.g.,
State
v.
Woodtke
,
In contravention to its position before the Appellate Court, the state argues before this court that Soldi and Woodtke are incompatible with Crawford because they eliminate the defendant's burden of proving the statute of limitations defense. 7 To the contrary, we hold that this burden shifting framework is a logical and proper extension of this court's decision in Crawford . Specifically, we hold that, once the defendant has demonstrated his availability for arrest, he has done all that is required to carry his burden; the burden then shifts to the state to demonstrate that any period of delay in executing the warrant was not unreasonable.
As we previously noted, in
Crawford
, this court had no reason to explore the extent of Crawford's burden in proving the statute of limitations defense. Nothing that we said in
Crawford
, however, is inconsistent with the burden shifting approach that the Appellate Court later adopted. In
Crawford
, we simply held that the statute of limitations is an affirmative defense in Connecticut, such that a defendant is required to present some evidence "concerning the reason for the delay in the execution of the warrant ...."
State
v.
Crawford , supra,
Our conclusion that a defendant satisfies his burden by producing evidence of his nonelusiveness and availability also accords with this court's observation in
Crawford
that, "[i]f ... the accused [does] not relocate or take evasive action to avoid apprehension, failure to execute an arrest warrant for even a short period of time might be unreasonable and fail to toll the statute of limitations."
State
v.
Crawford , supra,
Once the defendant has presented evidence of his availability for arrest, it is reasonable and proper that the burden should then shift to the state to explain why, notwithstanding the defendant's availability during the statutory period, the delay in his arrest was reasonable. Doing so allocates burdens efficiently by requiring each party to bring forth evidence uniquely within its knowledge. Such a burden shifting model is also consistent with the distribution of burdens with respect to other affirmative defenses in Connecticut, few of which require a defendant to present affirmative evidence of matters beyond his personal ken. 10 To dispense with that model in the present case would needlessly impose a significant burden on the defendant-and the judicial system-when the state is in a far better position to determine what efforts were undertaken to ensure the defendant's prompt arrest.
This burden shifting scheme also encourages diligence by law enforcement officials in providing timely notice of charges to defendants. Although we decline to specify the precise actions that they must undertake to serve a warrant with due diligence, or the precise timeline within which they must act, such officials must present some credible and persuasive factual basis for inaction when they fail to observe the statute of limitations. This requirement is consistent with the principle
that, when a judicial doctrine, "for all practical purposes, extends the statute [of limitations] beyond its stated term," that doctrine "should be applied in only limited circumstances ...."
11
(Internal quotation marks omitted.)
Toussie
v.
United States
,
The state nonetheless argues that the Appellate Court correctly determined that some delays in the execution of an arrest warrant, including the thirty-two day delay in question, are so brief as to require no justification on the part of the state. We are not persuaded by this contention.
In
Crawford
, as we have previously explained, this court explicitly declined to "adopt a per se approach as to what period of time to execute an arrest warrant is reasonable," concluding, instead, that the
reasonableness determination must be made on a case-by-case basis in light of the particular facts and circumstances
presented.
State
v.
Crawford , supra,
In reaching a contrary conclusion, the Appellate Court relied on its decision in
Kruelski
. See
State
v.
Swebilius
, supra,
Other cases applying
Crawford
provide similarly little support for the Appellate Court's conclusion that brief delays may be
reasonable simply because they are short in duration. It is true that the periods of delay considered in most Connecticut cases have been significantly longer than thirty-two days.
14
Such statistics, however,
have limited value in the present context because when lengthy delays were found to be reasonable in those cases, additional facts, aside from the length of the delay alone, supported that conclusion. See, e.g.,
State
v.
Derks
,
Finally, we agree with the defendant that a rule making some delays reasonable without any showing of due diligence is inconsistent with the purposes of statutes of limitations. As we have observed, such statutes serve several functions, among them "(1) prevent[ing] the unexpected enforcement of stale and fraudulent claims by allowing persons after the lapse of a reasonable time, to plan their affairs with a reasonable degree of certainty, free from the disruptive burden of protracted and unknown potential liability, and (2) ... aid[ing] in the search for truth that may be impaired by the loss of evidence, whether by death or disappearance of witnesses, fading memories, disappearance of documents or otherwise." (Internal quotation marks omitted.)
St. Paul Travelers Cos.
v.
Kuehl
,
Accordingly, we agree with the drafters of § 1.06(5) of the Model Penal Code 16 that "[i]t is undesirable ... to toll the statute of limitations in instances [in which] the warrant is issued but no effort is made to arrest a defendant whose whereabouts are known." Model Penal Code and Commentaries, supra, § 1.06, comment, p. 95. The policies underlying statutes of limitations are best served when exceptions are interpreted narrowly in favor of the accused and the state has a strong incentive to ensure that a defendant is provided timely notice of charges.
To be sure, our decision in the present case is not intended to impose an undue burden on the state. We have concluded merely that, if the defendant can demonstrate his availability during the statutory period, the state must make some effort to serve the arrest warrant before the relevant statute of limitations expires, or to offer some evidence explaining why its failure to do so was reasonable under the circumstances. Indeed, in cases involving relatively brief delays, evidence of a legitimate need to prioritize competing public safety responsibilities may well be sufficient to demonstrate compliance with the dictates of Crawford . 17 That fact sensitive determination, however, is a matter properly within the reasoned judgment of the fact finder. In the present case, the trial court relied solely on the length of the delay in ruling in the state's favor. As we have explained; see footnote 5 of this opinion; in doing so, the trial court effectively applied an incorrect legal standard. Because the standard employed by the trial court was incorrect, the state had no need to adduce evidence justifying the delay. Accordingly, on remand, the state must be afforded the opportunity to demonstrate that it made reasonable efforts to execute the warrant before the expiration of the statute of limitations or to explain why its failure to do so was reasonable under the circumstances.
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to reverse the judgment of the trial court and to remand the case to that court for further proceedings according to law.
In this opinion the other justices concurred.
The applicable statute of limitations is General Statutes (Rev. to 2007) § 54-193 (b), which provides in relevant part: "No person may be prosecuted for any offense, except a capital felony, a class A felony or a violation of section 53a-54d or 53a-169, for which the punishment is or may be imprisonment in excess of one year, except within five years next after the offense has been committed. ..."
The arrest warrant states that 119 images and 30 video recordings appearing to depict child pornography were recovered from the defendant's storage media.
The trial court found that counsel for the defendant learned of the arrest warrant, by telephone, from the police on May 31, 2013. The hearing testimony is less clear about whether it was counsel or the defendant himself who initiated contact with the police, and about when the defendant first became aware of the warrant. As the Appellate Court noted, however, it is clear that there was some contact between the defendant and the police after the statute of limitations had expired but prior to the execution of the arrest warrant. See
State
v.
Swebilius
, supra,
The trial court and, thereafter, the Appellate Court calculated the delay in the execution of the warrant in the present case as totaling thirty-one days. The parties, however, agree that the delay was thirty-two days. We agree with the parties and therefore treat the delay as thirty-two days.
While recognizing that a per se approach to reasonableness is improper under Crawford , the trial court's ruling, as reflected in its memorandum of decision, is predicated solely on the length of time that had elapsed. Although the state defends the trial court's decision as a matter of "basic common sense," we do not believe that simply citing a period of time and stating that "common sense" makes that period of time reasonable can, without more, render the trial court's determination one of fact. Thus, whether the trial court labeled this a per se rule or a matter of common sense, or something else entirely, is simply immaterial; it was essentially a legal, rather than factual, determination. In other words, the trial court effectively determined that the delay was reasonable as a matter of law, solely on the basis of the length of the delay and irrespective of any other facts.
In reviewing a motion to dismiss, appellate courts exercise plenary review over the trial court's ultimate legal conclusions, even as the facts underlying the decision are reviewed only for clear error. See, e.g.,
State
v.
Bonner
,
The state, in its Appellate Court brief in the present case, conceded that, "under circumstances [in which] the defendant has shown himself not to have been elusive and/or [when] it would not have been particularly difficult to locate him and [to] serve the arrest warrant,
the burden to prove that the arrest warrant was executed during a reasonable period of time shifts to the state
." (Emphasis added.)
State
v.
Swebilius
, Conn. Appellate Court Briefs & Appendices, April Term, 2015, State's Brief p. 22. The first case the state cited in support of that proposition was
Crawford
.
We note that the cases since
Crawford
that have considered the distribution of burdens in relation to § 54-193 (b) have been nearly uniform in placing the burden on the state to present evidence of due diligence. See, e.g.,
Roger B.
v.
Commissioner of Correction
,
General Statutes § 53a-12(b), which defines affirmative defenses, is instructive. Section 53a-12(b), which provides that "[w]hen a defense declared to be an affirmative defense is raised at a trial, the defendant shall have the burden of establishing such defense by a preponderance of the evidence," was incorporated into our Penal Code in 1969 "largely" on the basis of the New York Revised Penal Law, and the relevant statutes of New York and Connecticut are nearly identical. Commission to Revise the Criminal Statutes, Penal Code Comments, Conn. Gen. Stat. Ann. § 53a-12 (West 2012) comment, p. 429. Furthermore, like Connecticut, New York considers the statute of limitations to be an affirmative defense that "must be pleaded and proved by the party invoking it ...." (Citation omitted.)
Paladino
v.
Time Warner Cable
,
Yet, New York cases require only that a defendant allege the expiration of the statutorily prescribed period in order to establish a prima facie defense under the statute of limitations, at which point the burden shifts to the state to show that the statute was tolled. See, e.g.,
People
v.
Burroughs
,
The cases cited in
Crawford
for the proposition that the statute of limitations is an affirmative defense do not contradict this lineage or otherwise undermine the distribution of burdens endorsed by the New York courts. Those cases merely acknowledge that, as an affirmative defense, the statute of limitations places some burden of proof on the defendant. They say nothing about the
extent
of that burden. See, e.g.,
State
v.
Coleman
,
See, e.g., General Statutes § 53a-13(a) (affirmative defense to prosecution if defendant "lacked substantial capacity ... either to appreciate the wrongfulness of his conduct or to control his conduct within the requirements of the law"); General Statutes § 53a-16b (affirmative defense for coparticipant in firearm offense if defendant was unarmed and "had no reasonable ground to believe that any other participant was armed"); General Statutes § 53a-67(a) (affirmative defense for sexual offenses involving mentally incapacitated or physically helpless victim, or victim impaired because of mental disability or disease, if defendant did not know that victim suffered from such condition); General Statutes § 53a-67(b) (affirmative defense for certain sex offenses if defendant and victim lived together by mutual consent in relationship of cohabitation); General Statutes § 53a-110(3) (affirmative defense to criminal trespass if defendant reasonably believed he would have been licensed to enter or remain on premises); General Statutes § 53a-134(a) (affirmative defense to first degree robbery if weapon used or displayed in robbery was not weapon from which shot could be discharged); General Statutes § 53a-190(b) (affirmative defense to charge of bigamy if defendant reasonably believed that prior spouse was dead or did not know that other person was legally married); General Statutes § 53a-196g (affirmative defense to charge of possessing child pornography if defendant possessed fewer than three pornographic images, did not knowingly take steps to possess such images, and promptly destroyed them or turned them over to authorities upon discovery); but see General Statutes § 53a-104 (affirmative defense to burglary if building was abandoned); General Statutes § 53a-110(1) (affirmative defense to criminal trespass if building was abandoned).
At oral argument, the state contended that the rule in
Crawford
should be viewed as recognizing an exception to a general rule that prosecution commences upon the issuance of an arrest warrant, and because such an exception benefits the defendant, it should be the defendant's burden to prove that the delay was unreasonable. It is unlikely, however, that the legislature ever intended to allow the statute of limitations to be tolled simply by the issuance of a warrant without further efforts to apprise the defendant of the warrant's existence. Doing so would contravene the policy of notice fundamental to statutes of limitations. See, e.g.,
State
v.
Almeda
,
It may be, as the defendant argues, that Kruelski intended to incorporate certain facts presented in the dissent in that case, such that the three day delay was reasonable not merely because of the brevity of the delay but also because the warrant was executed on the same day that it was delivered to the officer responsible for its execution. Undoubtedly, most courts would find such facts to be compelling evidence of reasonableness. Indeed, we acknowledge that, as a general matter, the burden of justifying a brief delay of the sort at issue in Kruelski is not a weighty one. But the court in that case provided no analysis supporting its conclusion, and nothing in the decision in that case indicates that the majority based its decision on any facts other than the length of the delay.
More in line with the approach that we adopted in
Crawford
is the approach that the Kansas Court of Appeals took in
State
v.
Divers
, Kansas Court of Appeals, Docket No. 106312,
Aside from
Kruelski
and
State
v.
Suarez
, Superior Court, judicial district of New London, Docket No. MV-99-0639258-S (November 23, 1999) (
In this case, there is no indication that the delay in the execution of the warrant was demonstrably prejudicial to the defendant. Indeed, at trial, the defendant declined to pursue a due process claim because he felt that " 'having investigated, [he did not] have any evidence to put on' " regarding prejudice.
Model Penal Code § 1.06(5), the provision that this court adopted in Crawford , provides: "A prosecution is commenced either when an indictment is found [or an information filed] or when a warrant or other process is issued, provided that such warrant or process is executed without unreasonable delay." Model Penal Code and Commentaries, supra, § 1.06(5), p. 84.
Significantly, thousands of new warrants are issued each month in Connecticut, and the execution of those warrants is only one of many competing demands placed on police departments throughout the state. See, e.g., Judicial Branch, State of Connecticut, Statistics/Reports, Arrest Warrants, available at http://jud.ct.gov/statistics/FTA_VOPS3rdquarter2016-2017.pdf (data regarding failure to appear, violation of probation, and order to incarcerate warrants); see also
Luurtsema
v.
Commissioner of Correction
,
Reference
- Full Case Name
- STATE of Connecticut v. Jon SWEBILIUS
- Cited By
- 19 cases
- Status
- Published