State v. Damato - Kushel
State v. Damato - Kushel
Opinion of the Court
This case is before us on a writ of error. The plaintiff in error
[b] [5] ).
The following facts and procedural history are undisputed. On the basis of allegations lodged by the plaintiff in error, Damato-Kushel was arrested and charged with sexual assault in the second degree, risk of injury to a child, sexual assault in the fourth degree, and tampering with a witness. Shortly thereafter, Attorney James Clark of the Victim Rights Center of Connecticut, Inc., filed an appearance in the criminal case on behalf of the plaintiff in error.
At Damato-Kushel's arraignment, her counsel noted that Clark had filed an appearance in the case and advised the court that he objected to Clark's presence at any pretrial disposition conferences held in chambers. The court sustained the objection, explaining that amendment XXIX (b) (5) allows a victim to attend only those court proceedings that the defendant has a right to attend, and concluding that, because a defendant has no right to attend in-chambers, "judicial [pretrial]" conferences-generally, only his or her attorney attends such conferences-a victim also has no right to attend those conferences.
Thereafter, the plaintiff in error filed a motion for reconsideration, claiming that, contrary to the determination of the trial court, a victim does have a right to attend pretrial disposition conferences because, under Practice Book § 39-13,
The trial court subsequently granted the plaintiff in error's motion for reconsideration but denied the relief requested therein. In so ruling, the court acknowledged that a victim's right to attend court proceedings is "in parity with that of the defendant" but observed that Practice Book § 44-7 lists only five instances in which a defendant has the right to be present, none of which involves in-chambers, pretrial conferences.
Thereafter, the plaintiff in error brought this writ of error against the defendants in error, claiming that the trial court's ruling barring him from all future, in-chambers, pretrial disposition conferences violated his rights under amendment XXIX (b) (5). Damato-Kushel subsequently filed a motion to dismiss the writ as untimely and improperly filed, which this court denied. We then transferred the writ of error to the Appellate Court pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1, and that court ordered the parties to address, in addition to their other claims, "whether the trial court's interlocutory order precluding the victim from attending pretrial, in-chambers conferences concerning plea negotiations is a final judgment." We subsequently transferred the writ back to this court, also pursuant to General Statutes § 51-199 (c) and Practice Book § 65-1.
In this court, the plaintiff in error renews his contention in the trial court that in-chambers, pretrial disposition conferences are court proceedings that the accused-and thus the victim-have a right to attend under amendment XXIX (b) (5). Before turning to the merits of that claim, however, we first must address the claims of the defendants in error that this court lacks subject matter jurisdiction over the writ of error because (1) the plaintiff in error was not aggrieved by the trial court's ruling and, therefore, does not have standing to bring a writ of error, and (2) the trial court's
interlocutory ruling was not an appealable final judgment under the test established in
State
v.
Curcio
,
I
Our rules of practice provide in relevant part that "[w]rits of error for errors in matters of law only may be brought from a final judgment of the superior court to the supreme court following ... a decision binding on an aggrieved nonparty ...." Practice Book § 72-1 (a) (1). The defendants in error assert that the plaintiff in error is not aggrieved by the trial court's ruling pre-venting his attendance at pretrial disposition conferences because the trial court never determined, "even preliminarily," that the plaintiff in error was, in fact, a " 'victim' " for purposes of the victim's rights amendment,
As the plaintiff in error observes, the issuance of an arrest warrant requires a finding of probable cause that a crime was committed by a particular defendant. See Practice Book § 36-1 (arrest warrant may be issued "if the judicial authority determines that the affidavit accompanying the application shows that there is probable cause to believe that an offense has been committed and that the accused committed it"). It is undisputed, moreover, that, in the present case, the arrest warrant application clearly alleged that Damato-Kushel's criminal misconduct was perpetrated against the plaintiff in error specifically. In such circumstances, we agree with the plaintiff in error that the arrest warrant constitutes a sufficient determination of his status as a victim to trigger the rights afforded by amendment XXIX (b) of the
Connecticut constitution. See, e.g.,
State
v.
Stauffer
,
The defendants in error next maintain that the ruling of the trial court was not a final judgment from which a writ of error may be brought. We also disagree with this claim. This court previously has held that "[a]n otherwise interlocutory order is appealable in two circumstances: (1) where the order or action terminates a separate and distinct proceeding, or (2) where the order or action so concludes the rights of the parties that further proceedings cannot affect them."
State
v.
Curcio , supra,
The defendants in error argue, nonetheless, that, under
State
v.
Longo
,
Thus,
Longo
actually belies the claim of the defendants in error that the trial court's ruling in the present case is not a final judgment: the right to attend court proceedings as a victim, like the protection against double jeopardy, is a right granted by the state constitution, not a right that emerges only after the discretionary determination
of the trial court. See
State
v.
Skipwith , supra,
Finally, the defendants in error argue that the victim's rights amendment itself bars the plaintiff in error from seeking any kind of appellate relief. See Conn. Const., amend. XXIX (b) ("[n]othing in this subsection or in any law enacted pursuant to this subsection shall be construed as creating a basis for vacating a conviction or ground for appellate relief in any criminal case"). Following oral argument in the present case, however, this court rejected just such an argument in
State
v.
Skipwith , supra,
We turn now to the merits of those claims. The plaintiff in error contends that the trial court improperly excluded his attorney from in-chambers, pretrial disposition conferences at which the presiding judge, the state's attorney and Damato-Kushel's counsel engaged in plea negotiations, in violation of his "right to attend the trial and all other court proceedings the accused has the right to attend," as guaranteed by amendment XXIX (b) (5).
Amendment XXIX (b) of the Connecticut constitution provides in relevant part that, "[i]n all criminal prosecutions, a victim ... shall have ... (5) the right to attend the trial and all other court proceedings the accused has the right to attend, unless such person is to testify and the court determines that such person's testimony would be materially affected if such person hears other testimony ...." With respect to the contention of the defendants in error that the plaintiff in error has no right to attend the pretrial conferences at
issue because they are not "court proceedings," as that term is used in amendment XXIX (b) (5), the term appears twice in the victim's rights amendment; see Conn. Const., amend. XXIX (b) (5); see also Conn. Const., amend. XXIX (b) (4) ("the right to notification of court proceedings"); but the term is not defined in the state constitution, in our statutes, or in any case of this court or the Appellate Court. At the time of the amendment, however, Black's Law Dictionary defined "proceeding" as, inter alia, "[a]n act [that] is done by the authority or direction of the court, agency, or tribunal, express or implied" and noted that it "may be used to describe any act done by authority of a court of law ...." Black's Law Dictionary (6th Ed. 1990) p. 1204.
The text of amendment XXIX (b) makes clear that a victim's right to attend such conferences is wholly contingent on the defendant's right of attendance. See Conn. Const., amend. XXIX (b) (5). This court has previously determined, however, in
State
v.
Lopez
,
Contrary to the assertions of the plaintiff in error, our conclusion in
Lopez
that a defendant has no right to attend disposition conferences is fully consistent with the language of Practice Book § 39-13,
The plaintiff in error further claims that the attendance of counsel for the defendant during plea negotiations at a disposition conference is no different from attendance by the defendant personally for purposes of the victim's right of attendance under amendment XXIX (b). Again, we disagree.
Although it is well established that counsel often functions as an agent of the defendant; see, e.g.,
Monroe
v.
Monroe
,
We also disagree with the plaintiff in error that excluding victims from off-the-record, in-chambers disposition conferences is contrary to the goals of the victim's rights amendment. An important purpose of
amendment XXIX (b) (5) and other state constitutional provisions like it was to address the concern that victims were being unreasonably excluded from the courtroom at trial and other on-the-record proceedings. See, e.g.,
State
v.
Ticknor
, Docket No. 1 CA-CR 11-0359,
By contrast, a victim's right to participate meaningfully in the plea bargaining process is safeguarded by other provisions of the victim's rights amendment-in particular, "the right to communicate with the prosecution" under amendment XXIX (b) (6), "the right ... to make a statement to the court" regarding any plea agreement prior to its acceptance under amendment XXIX (b) (7), and the broader, more encompassing right under amendment XXIX (b) "to be treated with fairness and respect throughout the criminal justice process ...." Conn. Const., amend. XXIX (b) (1); see, e.g.,
State
v.
Thomas
,
We therefore conclude that in-chambers, off-the-record disposition conferences between the prosecuting attorney, defense counsel, and the presiding judge are not "court proceedings the accused has the right to attend" under amendment XXIX (b) (5). Consequently, neither the victim nor his authorized representative has a right to attend them.
The writ of error is dismissed.
In this opinion ROGERS, C. J., and EVELEIGH, McDONALD, ROBINSON and VERTEFEUILLE, Js., concurred.
CONCURRENCE
In accordance with our policy of protecting the privacy interests of victims of sexual assault, we decline to identify the plaintiff in error. See General Statutes § 54-86e.
Article first, § 8, of the Connecticut constitution, as amended by articles seventeen and twenty-nine of the amendments, provides in relevant part: "b. In all criminal prosecutions, a victim, as the general assembly may define by law, shall have the following rights: (1) The right to be treated with fairness and respect throughout the criminal justice process; (2) the right to timely disposition of the case following arrest of the accused, provided no right of the accused is abridged; (3) the right to be reasonably protected from the accused throughout the criminal justice process; (4) the right to notification of court proceedings; (5) the right to attend the trial and all other court proceedings the accused has the right to attend, unless such person is to testify and the court determines that such person's testimony would be materially affected if such person hears other testimony; (6) the right to communicate with the prosecution; (7) the right to object to or support any plea agreement entered into by the accused and the prosecution and to make a statement to the court prior to the acceptance by the court of the plea of guilty or nolo contendere by the accused; (8) the right to make a statement to the court at sentencing; (9) the right to restitution which shall be enforceable in the same manner as any other cause of action or as otherwise provided by law; and (10) the right to information about the arrest, conviction, sentence, imprisonment and release of the accused. The general assembly shall provide by law for the enforcement of this subsection. Nothing in this subsection or in any law enacted pursuant to this subsection shall be construed as creating a basis for vacating a conviction or ground for appellate relief in any criminal case."
Hereinafter, we refer to this provision as amendment XXIX (b) or the victim's rights amendment.
These in-chambers, pretrial disposition conferences are almost invariably conducted off the record, that is, they are not recorded, and, therefore, no transcript of the conference is available. Our consideration of the issue presented by this appeal is limited to such off-the-record, in-chambers disposition conferences.
Practice Book § 39-13 provides: "The prosecuting authority, the defense counsel, and, in cases claimed for jury trial, the defendant shall appear at the time set for the disposition conference unless excused by the judicial authority. Requests for postponements shall be made only to the presiding judge and shall be granted upon good cause shown."
Practice Book § 44-7 provides in relevant part: "The defendant has the right to be present at the arraignment, at the time of the plea, at evidentiary hearings, at the trial, and at the sentencing hearing, except as provided in Sections 44-7 through 44-10...."
General Statutes § 1-1k defines "victim of crime" as "an individual who suffers direct or threatened physical, emotional or financial harm as a result of a crime and includes immediate family members of a minor, incompetent individual or homicide victim and a person designated by a homicide victim ...."
The defendants in error also argue that the case will become moot if the underlying criminal case is resolved before this court issues an opinion in the present appeal. Suffice it to say that the underlying criminal case remains pending, and we cannot say that there will be no further pretrial disposition conferences in the case. Consequently, the claim of the plaintiff in error is not moot.
We also note that the plaintiff in error contends that the defendant in error, Superior Court, judicial district of Fairfield, lacks standing to participate in this appeal, even though the plaintiff in error brought this writ of error against both Damato-Kushel
and
the Superior Court, judicial district of Fairfield, and that we therefore must strike that party's briefs. In support of this claim, the plaintiff in error contends that the Superior Court, judicial district of Fairfield, has no cognizable interest in the outcome of this appeal, and, consequently, it has no right to be heard. On the contrary, the Superior Court, judicial district of Fairfield, as well as its trial judges, who preside over and take an active role in those conferences, have a legitimate interest in the efficacy of the conferences-and, therefore, the manner in which they are conducted-and that interest, it is claimed, will be adversely affected if the plaintiff in error prevails in this appeal. Such a stake in the outcome of this appeal is more than sufficient to satisfy the requirements of standing. See, e.g.,
Broadnax
v.
New Haven
,
At oral argument before this court, counsel for the plaintiff in error made clear that the plaintiff in error claims only that he or his counsel has the right to attend any off-the-record, in-chambers disposition conferences that may be conducted in the underlying criminal case; other than the right to be present to observe what occurs at those conferences, however, the plaintiff in error does not claim that he has the right to actually participate in them.
Although this court has not defined the term "proceedings" for purposes of amendment XXIX (b), in other contexts, we have defined the term broadly "to include all methods involving the action of courts"; (internal quotation marks omitted)
State
v.
Ventola
,
Disposition conferences are ordered by the court and scheduled under its auspices. See Practice Book § 39-11 ("[a]fter conferring with the clerk, the presiding judge shall assign for disposition conferences so much of the jury trial list as he or she shall deem necessary for the proper conduct of the court").
We reject the argument of the plaintiff in error that, because the victim's rights amendment does not limit the victim attendance provision to public court proceedings, as a number of other state constitutions do; see, e.g., N.M. Const., art. II, § 24 (A) (5) ("the right to attend all public court proceedings the accused has the right to attend"); victims in Connecticut have the right to attend off-the-record, in-chambers disposition conferences. The omission of such language from our victim's rights amendment, even if intentional, may simply indicate that victims generally may attend, in addition to public hearings, on-the-record proceedings that are closed to the public.
We note that such caution is consistent with the legislative history of Public Acts 2000, No. 00-200 (P.A. 00-200), "An Act Concerning Victim's Rights," which was passed by the legislature pursuant to its authority under amendment XXIX (b) to enact laws implementing the provisions of the victim's rights amendment. See Conn. Const., amend. XXIX (b) ("[t]he general assembly shall provide by law for the enforcement of this subsection"). In discussing that legislation, which provided that victims shall have the right to attend "all court proceedings that are part of the court record"; P.A. 00-200, § 7; see also House Bill No. 5785, 2000 Sess.; Representative Michael P. Lawlor, cochairman of the Judiciary Committee, expressly sought to clarify that, "for legislative intent ... this does not mean that the victim or anyone else has a right to be in any [off-the-record, in-camera] discussions which are customarily part of the pretrial phase of any court case ...." 43 H.R. Proc., Pt. 13, 2000 Sess., p. 4320. Of course, because this legislative history addresses the language of the implementing legislation and not the language of the victim's rights amendment itself, it bears only limited relevance to the meaning of the amendment.
Practice Book § 39-1 provides in relevant part: "The prosecuting authority and counsel for the defendant, or the defendant when not represented by counsel, may engage in discussions at any time with a view towards disposition...."
Practice Book § 39-2 provides in relevant part: The prosecuting authority shall not engage in plea discussions at the disposition conference, or at other times, directly with a defendant who is represented by counsel, except with such counsel's approval...."
Practice Book § 39-14 provides: "The prosecuting authority and counsel for the defendant should attempt to reach a plea agreement pursuant to the procedures of Sections 39-1 through 39-10."
Practice Book § 44-7 provides in relevant part: "The defendant has the right to be present at the arraignment, at the time of the plea, at evidentiary hearings, at the trial, and at the sentencing hearing ...."
See footnote 4 of this opinion.
Moreover, aside from Florida; see
Ault
v.
State
,
Practice Book § 39-24 provides: "A verbatim record shall be made of the proceedings at which the defendant enters a plea of guilty or nolo contendere. This record shall include the judicial authority's advice to the defendant, the inquiry into the voluntariness of the plea, including any plea agreement, and the inquiry into the factual basis for the plea."
See Practice Book § 42-36 ("[t]he judicial authority upon motion of the prosecuting authority or of the defendant shall cause any witness to be sequestered during the hearing on any issue or motion or during any part of the trial in which such witness is not testifying"); see also
State
v.
Robinson
,
See footnote 2 of this opinion.
Standard 3-3.4 (i) of the Criminal Justice Standards for the Prosecution Function provides: "Consistent with any specific laws or rules governing victims, the prosecutor should provide victims of serious crimes, or their representatives, an opportunity to consult with and to provide information to the prosecutor, prior to making significant decisions such as whether or not to prosecute, to pursue a disposition by plea, or to dismiss charges. The prosecutor should seek to ensure that victims of serious crimes, or their representatives, are given timely notice of:
"(i) judicial proceedings relating to the victims' case;
"(ii) proposed dispositions of the case;
"(iii) sentencing proceedings; and
"(iv) any decision or action in the case that could result in the defendant's provisional or final release from custody, or change of sentence."
Some states, along with the federal courts, explicitly prohibit any judicial participation in plea negotiations. See, e.g., Fed. R. Crim. P. 11 (c) (1) ("[t]he court must not participate in [plea] discussions"). Many other jurisdictions allow for varying degrees of limited participation by the trial judge, either during plea discussions or once a preliminary plea agreement has been crafted by the parties. See, e.g., Mass. R. Crim. P. 12 (b) (2) ("[t]he judge may participate in plea discussions at the request of one or both of the parties if the discussions are recorded and made part of the record");
People
v.
Cobbs
,
Justice Espinosa takes issue with our use of the term "disposition conference" to describe the in-chambers, pretrial conferences at issue in this appeal. She maintains that, under our rules of practice, "disposition conference" has a singular meaning, namely, "an in-court, on-the-record, formal proceeding." According to Justice Espinosa, the disposition conference does not include in-chambers, pretrial conferences or other plea negotiation conferences but, rather, "is the formal culmination of all of [those] efforts ...." We disagree. Practice Book §§ 39-11 through 39-17, which govern and describe disposition conferences from their inception to their conclusion, make clear that such conferences include off-the-record negotiations between "[t]he prosecuting authority and counsel for the defendant," during which the parties are required to "attempt to reach a plea agreement ...." Practice Book § 39-14. "Should the parties be unable to reach an agreement as to disposition," Practice Book § 39-15 directs them to "report to the presiding judge or to another judge assigned by him or her." If the parties are able to reach an agreement, Practice Book § 39-16 directs them to "advise the judicial authority ...." Practice Book § 39-17, entitled "Effect of Disposition Conference," finally provides that, "[i]f a case is not resolved at the disposition conference or if the judicial authority rejects the plea agreement [reached at the conference], the case shall be assigned to a trial list." Accordingly, it is apparent from the plain language of the relevant rules of practice that the "disposition conferences" identified therein are not limited to in-court, on-the-record, formal proceedings.
Justice Espinosa also asserts that it is unnecessary for us to decide whether pretrial disposition conferences are court proceedings within the meaning of amendment XXIX (b) (5) because the victim's rights amendment, by its literal terms, limits the right of attendance to the victim himself, not his attorney, and, in view of the fact that the plaintiff in error seeks only to have his attorney attend those conferences, the victim's right amendment is not implicated. As the trial court record and the record on appeal make clear, however, the right of attendance that the plaintiff in error seeks to vindicate in this matter is his own, albeit by and through counsel, his duly authorized legal representative. We note, moreover, that, although we ultimately conclude that the plaintiff in error possesses no such right of attendance, it is axiomatic that, if he did, it would include the right to have his counsel attend, either together with the victim or in the victim's stead. Any other reading of the victim's right amendment would lead to the bizarre and untenable result that a victim who, by reason of youth, infirmity, disability or otherwise, is unable to attend or fully understand a disposition conference, would effectively be foreclosed from exercising that purported right of attendance under the victim's rights amendment. We thus do not share Justice Espinosa's unduly narrow interpretation of the amendment because her construction is antithetical to the very purpose of the amendment, which, as this court previously has observed, is to "provide crime victims with the opportunity to participate meaningfully in the sentencing and plea bargaining process."
State
v.
Thomas , supra,
Concurring Opinion
I agree with the majority that the victim's rights amendment; Conn. Const., amend. XXIX (b);
The second flaw in the majority's analysis is that it accepts the plaintiff in error's characterization of the chambers discussions at issue in this writ of error as "disposition conferences" pursuant to Practice Book § 39-13. The plaintiff in error strategically conflated these informal meetings with disposition conferences-which are formal, on record and held in court-in order to bolster his argument that such discussions are "court proceedings" pursuant to amendment XXIX (b) (5). The term "disposition conference," as I explain in this concurring opinion, refers to an in-court, on-the-record proceeding.
I begin with the relevant procedural background. During the arraignment of Kyle Damato-Kushel, the defendant in the underlying criminal case in which the plaintiff in error is the alleged victim, the court accepted Damato-Kushel's plea of not guilty. Defense counsel then noted that Attorney James Clark had filed an appearance on behalf of the plaintiff in error. Defense counsel objected to Clark "being present during the course of chambers pretrial discussions." The plaintiff in error opposed the objection on the basis that the victim's rights amendment guaranteed him the right to have Clark attend the judicial pretrials on his behalf. The trial court sustained the objection, on the basis that amendment XXIX (b) (5) guarantees that "the victim can be present at any proceeding where the defendant can be present and the defendant's not present at judicial pretrials. Their lawyers are, but the defendants aren't." By resting its ruling on the fact that Damato-Kushel had no right to be personally present, the trial court's ruling implicitly rejected the plaintiff in error's extension of amendment XXIX (b) (5) to the attendance of counsel.
In his motion for reconsideration, the plaintiff in error continued to press his claim that his attorney should be allowed to attend the judicial pretrials. Specifically, he asked that the court "reconsider its denial of his right to attend through counsel, disposition conferences (pretrials) in this case."
The first flaw in the majority's analysis of the question of whether amendment XXIX (b) (5) guarantees that a victim has the right to have victim's counsel attend any court proceedings that defense counsel may attend is readily resolved by reviewing the text of the constitutional provision. That review reveals that the plaintiff in error's interpretation runs afoul of two basic tenets of constitutional interpretation. Specifically, that interpretation would require us to supply language that is not in the constitutional text and would also render some of the express language of amendment XXIX (b) (5) superfluous.
Because the addition of the phrase "either personally or through counsel" cannot be reconciled with the express constitutional text, I reject the plaintiff in error's interpretation. Specifically, the victim's right to attend court proceedings is subject to a significant exception-the victim has the right to attend "unless such person is to testify and the court determines that such person's testimony would be materially affected if such person hears other testimony ...." This exception to the general rule presumes that the person whose attendance is secured by amendment XXIX (b) (5) is a person whose testimony could be "materially affected" if he or she hears other testimony. Accordingly, a person who is included within the meaning of the word "victim," is a person who potentially could be required to testify. That language would make no sense if the word "victim" is construed to include the victim's attorney, who would not be required to testify. Pursuant to the express language of amendment XXIX (b) (5), the victim's right to attend is extinguished entirely if "such person" is to testify and that testimony would be materially affected by attending the court proceeding. If the drafters had intended to include the victim's counsel in the meaning of "victim," surely they would instead merely have provided that, under those circumstances, the victim's right to attend was limited to attendance through counsel. Instead, the exception clarifies that the right to attendance is one that is personal to the victim and does not include attendance through counsel.
The interpretation of the plaintiff in error runs afoul of a second tenet of constitutional construction-it renders some of the language of the victim's rights amendment superfluous. We have explained: "In dealing with constitutional provisions we must assume that infinite care was employed to couch in scrupulously fitting language a proposal aimed at establishing or changing the organic law of the state.... Unless there is some clear reason for not doing so, effect must be given to every part of and each word in the constitution." (Citations omitted.)
Stolberg v. Caldwell
,
My reading of amendment XXIX (b) (5) is consistent with our previous holding that "nothing in the victim's rights amendment itself or in subsequently enacted legislation explicitly makes victims parties ...."
State v. Gault
,
Turning to the second flaw in the majority's analysis, I observe that rather than resolving the more fundamental question of whether amendment XXIX (b) (5) guarantees the right claimed by the plaintiff in error, the majority focuses on the question of whether the judicial pretrials constitute "court proceedings the accused has a right to attend" pursuant to amendment XXIX (b) (5). The majority holds that "the [plaintiff in error] has no right to attend off-the-record, in-chambers [judicial pretrials] because the defendant herself has no right to
do
so."
Rather than accept the plaintiff in error's characterization of judicial pretrials as disposition conferences, I would simply consider the nature of judicial pretrials, which are informal and off-the-record. These meetings are not court proceedings, but merely part of the apparatus by which the presiding judge moves the criminal case along. Accordingly, even if the right set forth in amendment XXIX (b) (5) extended to attendance through counsel, it would not apply to judicial pretrials.
The term "disposition conference" is not defined in the rules of practice. It is clear, however, that the term does not refer to in-chambers judicial pretrials. The governing rules of practice make clear that a disposition conference is an in-court, on-the-record, formal proceeding. Unless the case goes to trial, it will most commonly be resolved at the disposition conference-this cannot occur informally, behind closed doors, or in chambers. The case can be "disposed of" in the disposition conference only in court and on-the-record. It is not a "negotiation conference," or a "plea bargaining conference." Certainly, plea bargaining and negotiations precede the disposition conference. Negotiations between the parties can occur off-the-record, behind closed doors and at any time. Parties can bring an agreement to the presiding judge for approval off-the-record. The judge can make a judicial offer off-the-record. All of those events are undertaken with the goal of being able to dispose of the case on the record, in court. None of these events, however, resolves the criminal case. The disposition conference is the formal culmination of all of the efforts that precede it-discussions, plea bargaining, meetings with the presiding judge. The disposition of the case, however, must occur in the courtroom and on the record.
The rules of practice set forth the procedures governing the disposition of a criminal case without trial and set forth procedures governing, inter alia, plea discussions and agreements and disposition conferences. The presiding judge has the responsibility of overseeing the pretrial process,
The language of Practice Book § 37-9 is particularly instructive. There are three key proceedings for which the presiding judge assigns dates, if possible: the disposition conference, and, where applicable, a probable cause hearing, and/or the trial. All three of these proceedings are points at which the case can be disposed. If a defendant pleads guilty during the disposition conference, the case is resolved and there will be no need for either a probable cause hearing or a trial. If, in cases where a probable cause hearing is required, the court finds no probable cause, the case is resolved and there will be no need for a trial. All efforts in these proceedings are directed at disposing of the case-the disposition conference is a component of that process and is treated on a par with a probable cause hearing and the trial, both formal, in-court, on-the-record proceedings. It would make no sense for the rules of practice to designate, along with probable cause hearings and trials, the informal, off-the-record meetings that occur in the presiding judge's chambers when the case is scheduled for the pretrial docket.
The informality of the judicial pretrials is evident from the events that take place on the pretrial docket. Once the case is assigned for a disposition conference, it is placed on the pretrial docket for that date, and the parties who are scheduled to appear that day receive the list of cases on the docket. See Practice Book § 39-11 ("After conferring with the clerk, the presiding judge shall assign for disposition conferences so much of the jury trial list as he or she shall deem necessary for the proper conduct of the court and he or she shall direct the clerk to print and distribute a list of the cases so assigned to the appearing parties. The clerk shall schedule the conferences at times which will not interfere with the orderly calling of the court docket. Cases may also be assigned for a disposition conference at the time of the entry of a plea pursuant to Section 44-15.").
In the meantime, the prosecutor and defense counsel may engage in negotiations. See Practice Book § 39-1 ("[t]he prosecuting authority and counsel for the defendant, or the defendant when not represented by counsel, may engage in discussions at any time with a view towards disposition"). A defendant who, like Damato-Kushel, is represented by counsel, does not participate in plea discussions, and the prosecutor is barred from discussing plea negotiations with him or her. See Practice Book § 39-2 ("[t]he prosecuting authority shall not engage in plea discussions at the disposition conference, or at other times, directly with a defendant who is represented by counsel"). It is the duty of defense counsel to inform the defendant of any proposed plea agreement, and to conclude any agreement only with the defendant's consent. See Practice Book § 39-3 ("[d]efense counsel shall conclude plea agreements only with the consent of the defendant and shall insure that the decision to dispose of the case or to proceed to trial is ultimately made by the defendant").
On the day the court is conducting pretrials, the presiding judge calls each case listed on the pretrial docket and the attorneys report their appearances and the status of the case, including whether they need a continuance. The defendant's appearance is noted on the record. See Practice Book § 39-13 ("The prosecuting authority, the defense counsel, and, in cases claimed for jury trial, the defendant shall appear at the time set for the disposition conference unless excused by the judicial authority. Requests for postponements shall be made only to the presiding judge and shall be granted upon good cause shown." [Emphasis added.] ).
After the presiding judge has finished calling the cases, the court goes into recess, and the judge conducts the judicial pretrials, meeting with the attorneys for each case that was called in open court and was not continued. These meetings are generally conducted in chambers, but in some judicial districts an adjoining conference room is used. The order in which the attorneys meet with the presiding judge for the judicial pretrials is determined in an informal manner by the judge, according to practical concerns, including whether the parties need more time to confer prior to meeting with the presiding judge. During the judicial pretrial, the judge typically will address discovery and investigation issues. If the parties have reached an agreement without judicial intervention, they will advise the judge, who will decide whether the court will accept the agreement. Plea discussions between the parties commonly are ongoing, as they attempt to reach a plea agreement. See Practice Book § 39-14 ("[t]he prosecuting authority and counsel for the defendant should attempt to reach a plea agreement pursuant to the procedures of Sections 39-1 through 39-10"). If the parties are having difficulty arriving at a plea agreement, they may inform the judge during the pretrial and request assistance. If the judge deems it appropriate, he or she may extend a judicial offer during the judicial pretrial. These meetings are informal, practical, and aimed at moving the case along.
After all the judicial pretrials have been conducted for the day, the court is called back into session, and for each case, the court either gives the defendant the next court date, or takes the defendant's plea. If the court accepts the defendant's plea, on-the-record and in open court, the case has been disposed of, not before. Accordingly, because the informal discussions in judge's chambers, while undertaken with the goal of arriving at an ultimate disposition in the case, do not-and cannot-dispose of the case, they are not disposition conferences.
For the foregoing reasons, I respectfully concur.
The victim's rights amendment, article first, § 8, of the constitution of Connecticut, as amended by articles seventeen and twenty-nine of the amendments, provides: "(b) In all criminal prosecutions, a victim, as the general assembly may define by law, shall have the following rights: (1) The right to be treated with fairness and respect throughout the criminal justice process; (2) the right to timely disposition of the case following arrest of the accused, provided no right of the accused is abridged; (3) the right to be reasonably protected from the accused throughout the criminal justice process; (4) the right to notification of court proceedings; (5) the right to attend the trial and all other court proceedings the accused has the right to attend, unless such person is to testify and the court determines that such person's testimony would be materially affected if such person hears other testimony; (6) the right to communicate with the prosecution; (7) the right to object to or support any plea agreement entered into by the accused and the prosecution and to make a statement to the court prior to the acceptance by the court of the plea of guilty or nolo contendere by the accused; (8) the right to make a statement to the court at sentencing; (9) the right to restitution which shall be enforceable in the same manner as any other cause of action or as otherwise provided by law; and (10) the right to information about the arrest, conviction, sentence, imprisonment and release of the accused. The general assembly shall provide by law for the enforcement of this subsection. Nothing in this subsection or in any law enacted pursuant to this subsection shall be construed as creating a basis for vacating a conviction or ground for appellate relief in any criminal case."
Hereinafter, I follow the majority's convention and refer to this provision as the victim's rights amendment or amendment XXIX (b).
In accordance with our policy of protecting the privacy interests of the victims of sexual assault and the crime of risk of injury to a child, we decline to identify the alleged victim. See General Statutes § 54-86e.
I do not reach the question of whether disposition conferences, which are not at issue in this writ of error, are "court proceedings" for purposes of the victim's rights amendment.
The plaintiff in error's reference to disposition conferences in the motion for reconsideration was the first such reference in the procedural history of the case. As I have observed, equating judicial pretrials with disposition conferences is aligned with the plaintiff in error's strategic interests.
The majority's response to my construction of amendment XXIX (b) (5) cannot be reconciled with the majority's own holding. Specifically, the majority claims that my reading of that constitutional provision is too narrow. It instead effectively reads amendment XXIX (b) (5) to guarantee to "the victim, either personally or as represented by counsel ... the right to attend the trial and all other court proceedings that the accused, either personally or as represented by counsel , has the right to attend, unless such person is to testify and the court determines that such person's testimony would be materially affected if such person hears other testimony." That reading suggests that if the defendant has the right to personally attend a court proceeding, the plaintiff in error has that right, and if the defendant has the right to attend a court proceeding through counsel, the plaintiff in error has that right. The majority, however, holds that because the defendant does not have the right to attend in-chambers pretrial discussions, the plaintiff in error does not have the right that he asserted, namely, the right to attend those discussions through counsel . On the basis of that holding, the majority concludes that it need not reach the question of whether in-chambers pretrial discussions are court proceedings. The problem with the majority's rationale, however, is that defendants most certainly do have the right to "attend" pretrial discussions, through counsel. To state otherwise suggests that the presiding judge would be able to conduct plea discussions in the absence of defense counsel. That construction, and not mine, leads to a bizarre and untenable result-a judicial pretrial discussing plea negotiations where defense counsel is absent.
Rather than "unduly narrow," my reading of amendment XXIX (b) (5) is based on a proper construction of the constitutional language, which can be reconciled both with the language of the amendment and the claim made by the plaintiff in error. The right claimed by the plaintiff in error is to have his counsel attend an informal, in-chambers plea discussion. That right is not one that is addressed by the victim's rights amendment. The right secured by amendment XXIX (b) (5) is effectively the right to be present at court proceedings, when the defendant has that right. My reading of the provision accounts for the language limiting that right when the victim is to testify, and when attendance at the court proceeding in question may materially affect that testimony, the victim may not attend. The majority's interpretation cannot be squared with the plain language of the amendment, and their response to my concurring opinion does not address the language that the majority improperly reads into the amendment or the language that the majority's reading renders superfluous.
I observe, however, that although the majority claims that this statement accurately reflects its holding, it does not. What the majority actually holds is that because the defendant is not entitled to be present at the judicial pretrials, the plaintiff in error does not have the right to attend the in-chambers discussions through his attorney . This holding cannot be reconciled with the language of amendment XXIX (b) (5), which grants to victims a parallel right to that enjoyed by defendants, subject to the limitation that a victim does not have the right to be present at court proceedings when such presence may materially affect the victim's testimony. See footnote 1 of this concurring opinion.
The majority's response to my interpretation of the applicable rules of practice is unpersuasive. Without addressing my discussion of those rules as related to the procedures that occur during the pretrials, the majority simply lists a few rules of practice without any exposition and without any attempt to explain how these rules refute my reading of the rules of practice. Nor does the majority attempt to read the rules of practice in light of what occurs during pretrial proceedings.
The most troubling aspect of the majority's response is that in one instance, in order to make a rule of practice fit the majority's interpretation, the majority simply inserts language into the rule that is not there. Specifically, the majority claims that "Practice Book § 39-17, entitled 'Effect of Disposition Conference,' finally provides that, "[i]f the case is not resolved at the disposition conference or if the judicial authority rejects the plea agreement [
reached at the conference
], the case shall be assigned to a trial list." (Emphasis added.) I emphasize that the phrase, "reached at the conference" is not in § 39-17, and was added by the majority. It is well established that the "principles of statutory construction apply with equal force to Practice Book rules." (Internal quotation marks omitted.)
State v. Pare
,
Under his authority pursuant to General Statutes § 51-164t (b), the Chief Court Administrator has given presiding judges the responsibility and power of "[e]xpediting the disposition, fairly, of the court business to which such judge has been entrusted." See "Assignment of Judges," (revised November 6, 2017), p. 7, available at http://www.jud2.ct.gov/judsearch/master.pdf (last visited November 16, 2017). The rules of practice establish that one area of court business entrusted to the presiding judge is overseeing the pretrial process. See, e.g., Practice Book § 39-11 (assignment of cases for disposition conferences); Practice Book § 39-13 (requests for postponements of disposition conferences to be made to presiding judge); Practice Book § 39-15 (parties to report inability to reach agreement to presiding judge).
Reference
- Full Case Name
- STATE of Connecticut v. Kyle DAMATO-KUSHEL
- Cited By
- 3 cases
- Status
- Published