Rosado v. Bridgeport Roman Catholic Diocesan Corp.
Full Opinion (html_with_citations)
Opinion
This case returns to this court for the second time, having been remanded to the trial court following our decision in Rosado v. Bridgeport Roman Catholic Diocesan Corp., 276 Conn. 168, 884 A.2d 981 (2005). The named defendant, the Bridgeport Roman Catholic Diocesan Corporation (diocese), and certain individual
We conclude that the trial court properly denied the defendantsâ motion to disqualify the judicial authority. We also conclude that, with the exception of a limited number of documents in the courtâs files that are not subject to disclosure; see footnote 33 of this opinion; the trial court properly concluded that the documents were subject to the presumption of public access. Accordingly, we affirm the judgments of the trial court, except with respect to the fifteen documents that we subsequently identify in part II C of this opinion.
The record reflects the following undisputed facts and rather convoluted procedural history of this case.
On March 26, 2002, the New York Times Company moved to intervene in the settled cases and filed an emergency motion to vacate the sealing orders. Three other newspaper publishing companies sought to be joined as intervenors. See footnote 2 of this opinion. In May, 2002, the trial court, McWeeny, J., granted the newspapersâ request for intervenor status and granted in part the emergency motion to vacate. Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 276
Conn. 184-85. That decision was stayed while the defendants appealed to the Appellate Court, which reversed the trial courtâs judgment on the ground that the trial court lacked jurisdiction to consider the motions to vacate because the four month period within which a motion to open judgment must be filed pursuant to General Statutes § 52-212a* ***
On remand, the case was assigned to Judge Alander at the Complex Litigation Docket in the judicial district of Waterbury. The defendants thereafter moved to disqualify Judge Alander, claiming that his participation on the judicial branchâs public access task force (task force) coincident with presiding over this case raised an appearance of impropriety. Following a hearing on
Subsequently, the defendants moved for the entry of a new protective order to bar public access to the documents in question in the event that the trial court modified the previous sealing orders. The trial court held a joint hearing on the intervenorsâ motion to vacate the sealing orders and the defendantsâ motion for a new protective order. Thereafter, the trial court granted in large part the intervenorsâ motion to vacate and denied the defendantsâ motion to enter a new protective order.
In its memorandum of decision, the trial court examined the publicâs right of access to court documents and analyzed the interests involved in keeping the documents at issue under seal. The court first concluded that Practice Book § 11-20A (a)
Applying that standard, the trial court found that the intervenors had established appropriate grounds for modification because the initial ground for the sealing orders â ensuring a fair trial â no longer existed because the cases had been withdrawn. Although the defendants had contended that their right to a fair trial still could be compromised because additional actions raising similar claims were pending, the trial court found that, in light of the presumption of public access, continued sealing could not be justified by the existence of pending or potential cases and that less restrictive means existed to protect the defendantsâ right to a fair trial. Finally, the court rejected the defendantsâ claim that their reliance on the sealing orders in making disclosures outweighed the publicâs right of access to the documents, concluding that their reliance on the sealing orders as being permanent was unreasonable given that the express terms of the orders had provided that the orders would be reviewed ânot later than the completion of jury selection . . . .â
The trial court also rejected the defendantsâ claims that various constitutional and statutory privileges protected the information from disclosure. The court concluded that, with the exception of certain statutory medical records privileges, the defendants had waived any claims of privilege when they disclosed the documents to the plaintiffs.
The defendants appealed from the trial courtâs judgment to the Appellate Court, and we transferred the appeal to this court, pursuant to Practice Book § 65-1
I
The defendantsâ first claim is that the trial judge improperly failed to recuse himself in violation of canon 3 (c) (1) of the Code of Judicial Conduct
A
The record discloses the following additional relevant facts, which are undisputed. On May 9,2006, after Judge
On May 25, 2006, Justice Borden convened the task forceâs opening meeting, which was open to the public. At the outset, he outlined the task forceâs mission as it was stated in the press release on the judicial branchâs website. He then instructed the task force members that they would have to consider âlegitimate expectations of privacy, legitimate concerns for security, and legitimate needs of confidentiality.â Connecticut Judicial Branch, Public Access Task Force, Remarks of Senior Associate Justice David M. Borden for the Opening Meeting (May 25, 2006) p. 3. Justice Borden reminded them that they should be mindful of both sides of the equation and balance all of the interests involved to serve the larger public interest. He explicitly instructed members of the press who served on the task force to âaddress each question, not from the vantage point of a judge or a newsperson or a lawyer representing the media, but from the vantage point of the public interest . . . .â Id., p. 6.
Subsequently, speaking at the annual judges meeting on June 26, 2006, which was open to the public for the first time, Justice Borden once again set forth the
Pursuant to a suggestion made by Justice Palmer at the task forceâs opening meeting, three subcommittees were created, one of which was the committee on access to court records (committee).
According to the final published report of the task force, the committee had met nine times between June 6 and August 21, 2006.
The defendants in the present case first raised the issue of Judge Alanderâs recusal prior to the task forceâs first meeting in a letter to Judge Alander, dated May 24, 2006, suggesting that he recuse himself from presiding over either the task force or the twenty-three cases against the defendants. In response, Judge Alander issued an order directing the defendantsâ counsel to Practice Book § 1-23, which sets forth the procedures for filing a motion for disqualification of a judicial authority.
On July 21, 2006, Judge Alander denied the defendantsâ motions to disqualify himself. In his memorandum of decision, he identified the operative canons from the Code of Judicial Conduct, canon 3 (c) (1); see footnote 10 of this opinion; and canon 4,
Judge Alander explained why he had concluded that the defendantsâ claim was a mischaracterization of the work of the task force as follows: âJustice Borden stated in his opening remarks to the task force that public access must be balanced against other legitimate interests, including legitimate expectations of privacy. The task forceâs charge and its discussions recognize that it is not, as the [defendants suggest], an either/or proposition, that is, one is either in favor of public access or in favor of the right of privacy. Rather, issues of public access involve a weighing of competing interests, including the interests of public access and privacy, with the result in any instance heavily dependent on
In contrast, he characterized the issues in the cases pending before him as concerning âwhat is the existing law regarding public access and how does it apply to the facts of these cases.â (Emphasis added.) Invoking the notion that a judge âis not, merely by having manifested his opinion on a question of law, legally disqualified from judging in a cause in which that question comes upâ; Wilson v. Hinkley, 1 Kirby (Conn.) 199, 201 (1787); Judge Alander concluded that âservice on a commission concerned with improving the legal system and the administration of justice, without more, is not a basis for disqualification.â
Finally, Judge Alander concluded that the presence on the task force of a reporter from the Hartford Courant, one of the intervenors in the proceedings, did not require his disqualification. Judge Alander emphasized that the defendants had not established that he actually âhad any discussions with the . . . reporter concerning this litigation.â Although Judge Alander acknowledged that it was inappropriate for a judge and party to discuss a pending case ex parte, he held that it was ânot inappropriate for them to publicly discuss ways to improve the legal system.â
B
We begin our analysis with the Code of Judicial Conduct, our rules of practice and the standard under which we review a judicial authorityâs decision not to recuse himself or herself. Practice Book § 1-22 (a) provides in relevant part: âA judicial authority shall, upon motion
We previously have observed that canon 3 of the Code of Judicial Conduct ârequires a judge to disqualify himself or herself in a proceeding in which the judgeâs impartiality might reasonably be questioned. The reasonableness standard is an objective one. Thus, the question is not only whether the particular judge is, in fact, impartial but whether a reasonable person would question the judgeâs impartiality on the basis of all the circumstances.â (Internal quotation marks omitted.) State v. Webb, 238 Conn. 389, 460, 680 A.2d 147 (1996), aff d after remand, 252 Conn. 128, 750 A.2d 448, cert. denied, 531 U.S. 835, 121 S. Ct. 93, 148 L. Ed. 2d 53 (2000); accord Ajadi v. Commissioner of Correction, 280 Conn. 514, 527, 911 A.2d 712 (2006); State v. Sha-bazz, 246 Conn. 746, 768-69, 719 A.2d 440 (1998), cert. denied, 525 U.S. 1179, 119 S. Ct. 1116, 143 L. Ed. 2d 111 (1999); Papa v. New Haven Federation of Teachers, 186 Conn. 725, 744-46, 444 A.2d 196 (1982). Disqualification is required even when no actual bias has been demonstrated if a judgeâs impartiality might reasonably be questioned âbecause the appearance and the existence of impartiality are both essential elements of a fair exercise of judicial authority.â (Internal quotation marks omitted.) State v. Webb, supra, 460-61; see also R. Flamm, Judicial Disqualification (1996) § 5.4.1, p. 150 (âJudicial decisions rendered under circumstances suggesting bias or favoritism tend to breed skepticism, undermine the integrity of the courts, and generally thwart the principles upon which our jurisprudential
An inquiry into the disqualification of a judge requires a sensitive evaluation of all the facts and circumstances in order to determine whether a failure to disqualify the judge was an abuse of sound judicial discretion. Id. In undertaking such an evaluation, we must be mindful of its intrinsic difficulties. âJudges who are asked to recuse themselves are reluctant to impugn their own standards. Likewise, judges sitting in review of others do not like to cast aspersions. Yet drawing all inferences favorable to the honesty and care of the judge whose conduct has been questioned could collapse the appearance of impropriety standard . . . into a demand for proof of actual impropriety.â (Internal quotation marks omitted.) United States v. Jordan, 49 F.3d 152, 157 (5th Cir. 1995).
Indeed, canon 4 of the Code of Judicial Conduct explicitly authorizes judges to engage in activities to improve the law, the legal system and the administration of justice. See footnote 17 of this opinion. The policy reason underlying the rule that mere participation on a commission dedicated to improving the legal system is insufficient to require disqualification is a compelling one. âTo hold otherwise would deprive the citizens of this state of the knowledge and experience which a judge brings to groups designed to improve the legal system.â State v. Knowlton, 123 Idaho 916, 920, 854 P.2d 259 (1993).
Courts likewise have held that a judgeâs expertise on and exposure to a subject by virtue of service on a commission does not necessitate recusal on a case raising an issue on that same subject. See Laird v. Tatum, 409 U.S. 824, 835, 93 S. Ct. 7, 34 L. Ed. 2d 50 (1972) (memorandum by Rehnquist, J., on motion to recuse) (â[p]roof that a Justiceâs mind . . . was a complete tabula rasa in the area of constitutional adjudication would be evidence of lack of qualification, not lack of biasâ); Southern Pacific Communications Co. v. American Telephone & Telegraph Co., 740 F.2d 980, 991 (D.C. Cir. 1984) (âAs long as the judge is capable of refining his views . . . and maintaining a completely open mind to decide the facts and apply the applicable law to the facts, personal views on law and policy do not disqualify him from hearing the case. The test may be stated in terms of whether the judgeâs mind is âirrevocably closedâ on the issues as they arise in the context
The decision by the Second Circuit Court of Appeals in United States v. Pitera, 5 F.3d 624 (2d Cir. 1993), cert. denied, 510 U.S. 1131, 114 S. Ct. 1103, 127 L. Ed. 2d 415 (1994), is instructive. The defendant in that case had moved for the trial judgeâs recusal from the United States District Court on the basis of a videotaped lecture she had given to members of the New York/New Jersey region of the Organized Crime Drug Enforcement Task Force. Id., 626. The lecture had been given seven months before the defendantâs trial, but after the case had been assigned to the judge. Id. During the lecture, the judge made no reference to the defendantâs case, but had included advice to the assembled agents and prosecutors about steps they might take to increase the prospects for conviction in narcotics cases and had urged them to take such steps. Id. The trial judge denied the defendantâs recusal motion. Id.
On appeal to the Second Circuit, the defendant focused his attention on the particulars of the trial judgeâs remarks to the task force, asserting that they were âso pointed in conveying not only techniques for obtaining convictions but also the desirability of such outcomes that [her] impartiality âmight reasonably be questioned,â [pursuantto] 28 U.S.C. § 455 (a) (1988).â Id. In applying the proper standard for recusal â whether a reasonable person, knowing all the facts, would con-
Similarly, in the present case, we conclude that Judge Alander did not abuse his discretion by denying the motion to recuse because a reasonable person with knowledge of all the facts would not determine that his impartiality reasonably might be questioned on the basis of his service on the task force. The task forceâs enumerated responsibilities expressly included a balance of the publicâs interest in access to the court system against other legitimate interests, including legitimate expectations of privacy and confidentiality. There was no specific agenda with respect to any particular case or even type of case. Indeed, Judge Alanderâs comments at the opening meeting of the task force suggested that he was concerned about privacy and confidentiality interests.
In light of the case law that we have examined, both from our own precedents and from our sister tribunals, we can conceive of no reason to depart from the rule that membership on a task force concerning a particular legal issue does not justify the disqualification of a judge simply because the judgeâs service happens to be coincident with his participation in a case dealing with the same issue. It is the responsibility of any judge to evaluate historical facts in light of applicable law. There is no reason to suggest that a judge who is exposed to information concerning potential future changes to the law while he is presiding over a case that implicates existing law in that area compromises his ability to be impartial.
In essence, the defendantsâ claim boils down to the proposition that any judge who has served on the task force should recuse himself or herself from a case raising issues relating to sealing court records. âTo state [the defendantsâ] argument is to refute it. The people of this state will be best served by a legal system which encourages judges to enhance their own and othersâ awareness of legal issues and develop their legal knowledge and skills. Without any support for [their] argument, [the defendants confuse] a judgeâs efforts to improve the legal system with an assumption of biased advocacy which prevents a judge from exercising the independent judgment and consideration required in the exercise of the judgeâs professional responsibilities. â State v. Carlson, supra, 66 Wash. App. 913; see also State v. Knowlton, supra, 123 Idaho 920 (âour citizenry would also suffer if we discouraged our judiciary from heightening their knowledge and awareness of legal issues through participation in groups such as the [task force]â).
To the extent that the defendants contend that the presence of a reporter for one of the intervenors could give rise to an appearance of a lack of impartiality because an observer might question whether there had been ex parte communications, we wholly disagree. Canon 3 (a) (4) of the Code of Judicial Conduct provides in relevant part that, with the exception of specifically
II
The defendantsâ second claim is that the trial court improperly determined that, because the documents protected by the sealing orders were âfiled with the courtâ in accordance with Practice Book § 11-20A (a), the documents were subject to a presumption of public access for purposes of determining whether to vacate those orders. Specifically, they contend that: (1) the presumption of public access set forth in § 11-20A applies only to judicial documents, which they assert are limited to âpleadings and evidence that are the subject of a judicial ruling on the meritsâ;
In response, the intervenors contend that the trial court properly concluded, in accordance with Practice Book § 11-20A, that all documents filed with the court are presumptively open to the public.
The record reveals the following additional undisputed facts and procedural history that are relevant to our resolution of this claim. In 1994, the defendants moved for sealing orders concerning, inter alia, information obtained through deposition testimony and requested that information gained in discovery be restricted from the public. Following a hearing, the trial court, Levin, J., found that the defendantsâ right to a fair trial would be jeopardized by the public disclosure of such information. Accordingly, the trial court concluded that sealing orders were warranted and issued a protective order that provided the following three restrictions: â1. Until further order of this court, which order shall be made not later than the completion of jury selection, all information, documents and transcripts which the parties may obtain through the depositions of the defendants . . . and Bishop Edward Egan [specifically] shall not be disseminated, shown, disclosed, divulged or transmitted by any one to any person or organization other than the parties to this lawsuit and their respective attorneys and to any investigators and potential expert witnesses retained by the parties to
â2. All such documents and transcripts which the attorneys representing any of the parties believe in good faith may be entitled to protection from disclosure after the completion of jury selection, shall be marked âCONFIDENTIAL: SUBJECT TO COURT ORDERâ and shall be submitted to the court for review and appropriate order before being released from the protection afforded by this order.
â3. Whenever any pleading, document or motion referencing, incorporating or attaching any documents described in paragraph one of this order is filed with the court or delivered to any judge thereof, it shall be filed or delivered under seal pending review by the court or judge and shall be marked by the party filing or delivering same âCONFIDENTIAL: SUBJECT TO COURT ORDER. â â Rosado v. Bridgeport Roman Catholic Diocesan Corp., Superior Court, judicial district of Fairfield, Docket No. CV-93-0300272S (December 8, 1994).
Thereafter, the parties conducted discoveiy and submitted numerous documents to the court marked âCONFIDENTIAL: SUBJECT TO COURT ORDERâ in accordance with the order. These filings included motions or documents submitted in support of motions to be adjudicated by the trial court,
After the newspaper publishing companies had been granted intervenor status and the cases had been remanded from this court, the trial court, Alander, J., held a hearing on the intervenorsâ motion to vacate the sealing orders and the defendantsâ motion for a new protective order. In support of their contentions that the documents at issue were not presumptively open to the public and were, in any event, protected by certain evidentiary privileges, the defendants submitted âjudicial documents logsâ and âprivileges logsâ for the courtâs review. The judicial document logs listed each document in the courtâs file, identifying the filing date and type of document and whether it was, in the defendantsâ view, a judicial document and the basis for that characterization.
As a preliminary matter, we note that the question of what constitutes a document subject to the presumption of public access is a question of law that is squarely presented to this court for the first time. As such, our review is plenary. Wexler v. DeMaio, 280 Conn. 168, 181, 905 A.2d 1196 (2006) (â[b]ecause the propriety of that finding necessarily depends on the propriety of the trial courtâs legal conclusion concerning the breadth of disclosure required by [General Statutes] § 13-4 [4], our review is plenaryâ); State v. Zaporta, 237 Conn. 58, 64 n.5, 676 A.2d 814 (1996) (â[b]ecause the proper construction of a Practice Book section involves a question of law, our review of the Appellate Courtâs determination is plenaryâ); accord Commonwealth v. Upshur, 592 Pa. 273, 280, 924 A.2d 642 (2007) (âthe determination of whether an item will be considered a public judicial
A
To evaluate the merits of the defendantsâ claims, we must determine the extent to which documents filed with the court are presumptively open to the public. We begin our analysis with a discussion of the common-law principles underlying the presumption of public access to court documents.
Public access to court documents traces its roots back centuries through the common law, stemming from the practice of open trials. Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 564, 100 S. Ct. 2814, 65 L. Ed. 2d 973 (1980). In the days before the Norman Conquest, public participation at criminal trials was an inherent part of the court system, as âthe freemen of the community, who represented the âpatria,â or the âcountry,â â and were required to attend, were responsible for rendering judgment at trial. Press-Enterprise Co. v. Superior Court of California, 464 U.S. 501, 505, 104 S. Ct. 819, 78 L. Ed. 2d 629 (1984). Over the centuries, trials remained open, and those not in attendance could be assured that community standards of justice and procedural norms would be enforced by those present. Id., 507-509.
This tradition of open trials made its way to colonial America and evolved into a presumption of public access to court proceedings and records that remains a fundamental part of our judicial system today. Id., 508; Nixon v. Warner Communications, Inc., 435 U.S. 589, 597, 98 S. Ct. 1306, 55 L. Ed. 2d 570 (1978); In re Oliver, 333 U.S. 257, 266-68, 68 S. Ct. 499, 92 L. Ed. 682 (1948). The rationale underlying the presumption is straightforward: Public monitoring of the judicial process through open court proceedings and records
This presumption of public access, however, is not absolute. Nixon v. Warner Communications, Inc., supra, 435 U.S. 598; Doe v. Connecticut Bar Examining Committee, 263 Conn. 39, 66, 818 A.2d 14 (2003). When the publicâs interest injudicial monitoring is outweighed by countervailing considerations, such as certain privacy concerns,
Courts have employed three general approaches to determine what constitutes a judicial document. The first approach construes judicial documents narrowly, limited to those documents relied upon to determine a litigantâs âsubstantive rights.â (Emphasis added.) Anderson v. Cryovac, Inc., supra, 805 F.2d 13; accord Smith v. United States District Court, 956 F.2d 647, 650 (7th Cir. 1992); Federal Trade Commission v. Standard Financial Management Corp., 830 F.2d 404, 408-409 (1st Cir. 1987). The rationale for this narrow construction is that, when no substantive rights are affected, there is no judicial action that warrants monitoring. Therefore, the presumption of public access is not triggered.
Courts following this approach have held that financial statements submitted in support of a judgeâs review of a consent decree; Federal Trade Commission v. Standard Financial Management Corp., supra, 830 F.2d 409; a law clerkâs memorandum read in open court during the adjudication of a motion to extend time; Smith v. United States District Court, supra, 956 F.2d 650; and records of hearings and evidence introduced in support of a motion to terminate; In the Matter of Continental Illinois Securities Litigation, 732 F.2d 1302, 1309 (7th Cir. 1984); are judicial documents because they reasonably could be relied upon by the trial court to reach a determination affecting substantive rights. In contrast, material filed in support of motions concerning discovery disputes has been held by such courts not to be judicial documents because,
A second approach construes judicial documents more broadly. Under this approach, documents that are filed with the court that reasonably may be relied upon in support of any part of the courtâs adjudicatory function are judicial documents. United States v. Amodeo, supra, 44 F.3d 145 (âthe item filed must be relevant to the performance of the judicial function and useful in the judicial processâ); accord Mokhiber v. Davis, supra, 537 A.2d 1111-12 (noting that presumption of public access attaches to all material filed with court âgermane to a courtâs rulingâ on decisions of âmajor importance to the administration of justiceâ [internal quotation marks omitted]); Associated Press v. New Hampshire, 153 N.H. 120, 134, 888 A.2d 1236 (2005) (examining state constitutional provisions mandating public access to court proceedings and concluding that right âattaches only to those documents that are important and relevant to a determination made by the court in its adjudicatory functionâ); Commonwealth v. Upshur, supra, 592 Pa. 282 (âany item that is filed with the court as part of the permanent record of a case and relied on in the course of judicial decision-making will be a public judicial record or documentâ). Under this approach, documents relevant to any judicial determination implicate the policies behind the presumptive right of access, and, thus, the presumption encompasses documents supporting any decisions reached by the judicial authority, not simply those affecting substantive rights.
Courts applying this analysis have construed judicial documents to include ones filed in support of summary judgment motions, regardless of whether the motion has been granted, denied or even adjudicated; Lugosch
In what arguably could be deemed a third approach, courts have provided the definition of judicial documents in the broadest possible language, stating that the act of filing a document with the court in connection with a pending matter renders it a judicial document. See, e.g., Leucadia, Inc. v. Applied Extrusion Technologies, Inc., supra, 998 F.2d 161-62 (âthe filing of a document gives rise to apresumptive right of public accessâ); accord San Jose Mercury News, Inc. v. United States District Court, 187 F.3d 1096, 1102 (9th Cir. 1999) (holding that there is presumptive right of access to pretrial documents filed in civil cases and those filed prior to judgment in criminal cases); United States v. Martin, supra, 746 F.2d 968 (holding that judicial records and
Despite employing this broad language, however, these jurisdictions have interpreted the language more narrowly than might be expected. The Court of Appeals for the Third Circuit precluded public access to discov
Regardless of approach, however, it is clear that the common-law presumption of public access to documents in the courtâs possession is grounded in the publicâs interest in monitoring the judicial process. Such access enhances public confidence that the judicial system is operating fairly, impartially and in accordance with established norms. This presumption is not absolute and applies only to âjudicial documentsâ because such documents serve as a proxy for public monitoring of court proceedings when the public cannot be present. While courts have employed various approaches to determine what constitutes a judicial document, the clear trend has been toward greater, but not unfettered, access to documents filed with the court in connection with a court proceeding. Although a minority of courts apply a common-law rule limiting judicial documents to those connected with decisions affecting substantive rights, the vast majority of courts examines whether the document filed reasonably may be relied upon in support of the adjudicatory process, regardless of whether the decision is a dispositive one. With these principles in mind, we turn to the common law in Con
B
Although this court has not had occasion to consider this issue substantively, in Rosado, this court recognized certain general principles. â[The] supervisory role of the court in relation to its own files is an especially important one insofar as it pertains to files that contain judicial documents â that is, documents that have been submitted to the court for its review in the discharge of the courtâs adjudicatory function â because [t]he public has a common law presumptive right of access to [such] documents . . . and likely a constitutional one as well.â (Internal quotation marks omitted.) Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 276 Conn. 216-17. We further explained: âAs to the issue of what documents are judicial documents, we agree generally that the mere filing of a paper or document with the court is insufficient to render that paper a judicial document subject to the right of public access. . . . [T]he item filed must be relevant to the performance of the judicial function and useful in the judicial process in order for it to be designated a judicial document. United States v. Amodeo, supra, 44 F.3d 145. Whatever the precise parameters of that categoiy of documents may be, however, we also agree that the presumptive right to public observation is at its apogee when asserted with respect to documents relating to matters that directly affect an adjudication. Gambale v. Deutsche Bank AG, [377 F.3d 133, 140 (2d Cir. 2004)], quoting United States v. Amodeo, [supra, 71 F.3d 1049].â (Internal quotation marks omitted.) Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 217 n.54. This discussion, albeit dicta in that case, suggests that Connecticut employs the broader approach followed by the majority of jurisdictions. See also Clerk of the Superior Court v. Freedom of Information Commis
In Rosado, however, we did not state expressly whether we were discussing the common law or the rules of practice. Practice Book § 11-20A (a) provides that, â[e]xcept as otherwise provided by law, there shall be a presumption that documents filed with the court shall be available to the public.â For the reasons that follow, it is clear that the rules of practice codify the common-law presumption of public access such that the language âfiled with the courtâ signifies judicial documents.
It has long been understood that Practice Book provisions are not intended to enlarge or abrogate substantive rights. See General Statutes § 51-14 (a) (noting that rules of practice and procedure âshall not abridge, enlarge or modify any substantive right or the jurisdiction of any of the courtsâ); In re Samantha C., 268 Conn. 614, 639, 847 A.2d 883 (2004) (âwe are obliged to interpret [the rules of practice] so as not to create a new right, but rather to delineate whatever rights may have existed, statutorily or otherwise, at the time of the proceedings underlying the present appealâ). Accordingly, this court has interpreted provisions of the Practice Book through the lens of the common law. See, e.g., State v. Blake, 289 Conn. 586, 588 n.2, 958 A.2d 1236 (2008) (recognizing that Practice Book § 43-10 codifies common-law right of allocution); State v. Colon, 272 Conn. 106, 303-11, 864 A.2d 666 (2004) (examining common-law right of allocution to determine extent of right of allocution provided by Practice Book § 43-10 [3]), cert. denied, 546 U.S. 848, 126 S. Ct. 102, 163 L. Ed. 2d 116 (2005); Dunham v. Dunham, 217 Conn. 24, 33, 584 A.2d 445 (1991) (stating that common-
As we have explained in part IIA of this opinion, the common law creates substantive rights of public access to court records. Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 276 Conn. 216-17. At common law, however, this right never has been absolute, nor has it extended to all documents filed with the court. The public does not have a presumption of access to documents that do not bear directly on the courtsâ adjudicatory functions. See Seattle Times Co. v. Rhinehart, supra, 467 U.S. 34-35 (rights of those participating in discovery process remain strong, although considerations such as prevention of discovery abuse and protection of legitimate privacy interests may limit exercise of first amendment rights); accord United States v. Amodeo, supra, 71 F.3d 1049 (âthe weight to be given the presumption of access must be governed by the role of the material at issue in the exercise of . . . judicial power [under article three, § 1, of the United States constitution] and the resultant value of such information to those monitoring the federal courtsâ). Indeed, the 2005 commentary to § 11-20A expressly indicates that certain material is exempted from the presumption of public access, in accordance with, inter alia, the common law. Practice Book (2005) § 11-20A, commentary (â[a]s used in subsection [a] above, the words â[e]xcept as otherwise provided by lawâ are intended to exempt from the operation of this rule all established procedures for the sealing or ex parte filing, in camera inspection and/or nondisclosure to the public of documents, records and other materials, as required or permitted by statute . . . other rules of practice
In light of this history and the commentary to § 11-20A of the Practice Book, it is clear that this rule was not meant to be read literally. If this court were to interpret the word âfiledâ literally, Connecticut would apply a broader approach to the presumption of public access than any jurisdiction to have considered this issue. As we explained in part IIA of this opinion, even those jurisdictions that state their rule broadly in terms of documents âfiledâ with the court limit public access to documents connected with the courtâs adjudicatory function. In light of the absence of any indication to the contrary, the express direction of the commentary and our practice and precedents, we see no reason to adopt such an expansive interpretation. We therefore hold that § 11-20A codifies the common-law presumption of public access to judicial documents only.
Our conclusion that Practice Book § 11-20A codifies the common-law presumption of public access to judicial documents, however, does not end the inquiry. The question remains what constitutes a judicial document.
For the reasons that follow, we conclude that Connecticut follows the broader approach under which any document filed that a court reasonably may rely on in support of its adjudicatory function is a judicial document. First, by use of the term âfiled,â the rules of practice indicate that the more expansive approach applies. Second, the majority of jurisdictions, and the clear trend of the common law, regardless of whether the courts limit their definition to only those documents âfiledâ with the court, is to allow access to any docu
Although we recognize that, among the courts following the majority rule, there is a split as to whether discovery related motions and their associated exhibits should be considered judicial documents, we agree with the Court of Appeals for the District of Columbia that discovery proceedings can have a significant impact on the eventual resolution of disputes. Mokhiber v. Davis, supra, 537 A.2d 1112. Because of their impact on the judicial process, the public interest injudicial monitoring extends to such motions. The actions of the court during the pretrial period ultimately shape issues between the parties at trial or settlement, and the public surely has a vested interest in ensuring that those actions are carried out equitably, free from corruption or error. The vindication of this interest supports public access, not only to the proceedings themselves, but to any materials upon which a court may rely in reaching a decision. Accordingly, we hold that judicial documents are those filed with a court upon which the court reasonably could rely in the performance of its adjudica
We recognize that this broad definition of judicial documents creates the potential for parties to harass others by attaching private material with little to no relevance to the issues to underlying motions, thus rendering that material public. But we do not presume bad faith on the part of litigants or their attorneys. See Rules of Professional Conduct 3.1 through 3.6. There are many reasons why a party may introduce material into the court record, not the least of which is the partyâs responsibility to provide an adequate record for appeal. Practice Book § 61-10;
With these principles in mind, we turn to the trial courtâs decision in the present case. As we previously have noted, the trial court held, pursuant to Practice Book § 11-20A, that the presumption of public access applies to any document âfiled with the court . . . .â (Internal quotation marks omitted.) The trial court rejected the defendantsâ contention that in Rosado, this court had determined that the presumption of public access applies only to judicial documents. It concluded that this court instead had been âreferring to the common law and constitutional rights of public access,â which the trial court viewed as distinct from the presumption of public access set forth in the rules of practice. The trial court therefore found no need to engage in a review of the judicial document logs that the defendants had submitted, in which they had designated each sealed document in the court file as either a judicial or nonjudicial document and the basis for that characterization.
On appeal, the defendants claim that only documents submitted in connection with dispositive motions on the merits of the case should be considered judicial documents. Even more specifically, they contend that only motions that, when granted, result in an adjudication on the merits are judicial documents. Therefore, in the defendantsâ view, in accordance with their judicial document logs, summary judgment motions (and their attached exhibits) that were granted are judicial documents, whereas, for example, summary judgment motions (and their attached exhibits) as well as nondis-positive pleadings, such as motions in limine or sealed discovery motions, that were denied are not judicial documents.
The intervenors respond that, even if the presumption of public access applies only to judicial documents, the documents in question are judicial documents because they were submitted to the court in connection with a pending matter. Specifically, they claim that any motions and their attached exhibits that have been submitted to the court are judicial documents, including, for example, summary judgment motions, whether granted or denied, motions in limine or motions in connection with discovery. Therefore, the intervenors disagree with the defendantsâ definition of judicial documents.
We have reviewed the logs submitted by the defendants and, applying the standard discussed in part II B of this opinion, it is evident that all of the documents, except for a handful of items, are judicial documents. As we previously have explained, any document filed with the court upon which it reasonably could rely in performing its adjudicatory function is a judicial document subject to the presumption of public access. Therefore, all of the nondispositive motions filed in the present case, such as motions in limine or sealed discovery motions and their attached exhibits, along with all of the dispositive motions filed in the present case, such as summary judgment motions and their attached exhibits, regardless of whether they were granted or denied, are judicial documents. Accordingly, we agree with the trial court, albeit applying slightly different reasoning, that the presumption of public access applies to these documents.
Our review of the logs reveals, however, a small number of documents, fifteen to be precise, that were not marked in support of any motion or other determination
D
The defendants cite two reasons why, even if the documents are judicial documents, the presumption of public access does not apply. They claim that the trial court improperly failed to engage in the balancing test followed by the Court of Appeals for the Second Circuit in which privacy interests and other countervailing factors are weighed against the presumption of public access.
The defendants cite Littlejohn v. BIC Corp., 851 F.2d 673, 683 (3d Cir. 1988), for the proposition that files that are subject to destruction are not judicial records
Ill
The defendantsâ third claim is that the trial court improperly granted the intervenorâs motion to vacate because the documents were subject to various statutory and constitutional
The record reveals the following additional undisputed facts and procedural history. After the sealing order had entered, the defendants disclosed numerous documents to the plaintiffs in the course of discovery, some of which were filed later in court. In its memorandum of decision granting in part the motion to vacate the sealing orders, the trial court analyzed the defendantsâ claim that most of the documents were protected by various privileges. See footnote 9 of this opinion. The trial court found that it was undisputed that, when the defendants disclosed the documents in discovery, they had not objected to such disclosure and did not assert, inter alia, the clergymanâs or other statutorily or constitutionally protected religious privileges. Because the defendants had failed to assert the privileges at the time of disclosure, the trial court concluded that any privileges that might have applied had been waived.
The trial court also rejected the defendantsâ claim that any waiver that they arguably might have given to the plaintiffs was selective, i.e., to the plaintiffs alone,
As a preliminary matter, we note that, although the question of whether a privilege has been waived ordinarily presents a question of fact reviewed under a clearly erroneous standard, the standard of review is plenary when the trial court has made its determination on the basis of pleadings and other documents, rather than on live testimony. C. R. Klewin Northeast, LLC v. Bridgeport, 282 Conn. 54, 86-87, 919 A.2d 1002 (2007). In the present case, the factual circumstances are undisputed, and the trial court made its determination on the basis of pleadings or other documents. Therefore, our review is plenary.
Waiver is the âintentional relinquishment or abandonment of a known right or privilege.â Johnson v. Zerbst, 304 U.S. 458, 464, 58 S. Ct. 1019, 82 L. Ed. 1461 (1938); C. R. Klewin Northeast, LLC v. Bridgeport, supra, 282 Conn. 86. As a general rule, both statutory and constitutional rights and privileges may be waived. New Haven v. Local 884, Council 4, AFSCME, AFL-CIO, 237 Conn. 378, 385, 677 A.2d 1350 (1996). âWaiver is based upon a species of the principle of estoppel and where applicable it will be enforced as the estoppel would be enforced. . . . Estoppel has its roots in equity and stems from the voluntaiy conduct of a party whereby
The conduct of the parties may be used to establish waiver. New Haven v. Local 884, Council 4, AFSCME, AFL-CIO, supra, 237 Conn. 388. It is well established that a party that fails to object timely to the introduction of evidence or fails to assert a privilege in connection with disclosed material is deemed to have waived such objection or privilege and may not subsequently resurrect it to protect that material from subsequent disclosure. See Waterman v. United Caribbean, Inc., 215 Conn. 688, 692, 577 A.2d 1047 (1990) (party that fails to object timely waives statutory rights to time limits on judgment); State v. Saia, 172 Conn. 37, 44, 372 A.2d 144 (1976) (party failing to claim marital privilege during testimony may not subsequently assert privilege to prevent its introduction into evidence); O'Brien v. Superior Court, 105 Conn. App. 774, 787, 939 A.2d 1223 (2008) (â[I]f the holder of the privilege fails to claim his privilege by objecting to disclosure by himself or another witness when he has an opportunity to do so, he waives his privilege as to communications so disclosed. . . . This result is reached because once the confidence protected has been breached, the privilege has no valid continuing office to perform.â [Citation omitted; internal quotation marks omitted.]). Similarly, the voluntary disclosure of confidential or privileged material to a third party, such as an adversary, generally constitutes a waiver of privileges with respect to that material. Westinghouse Electric Corp. v. Philippines, 951 F.2d 1414, 1418 (3d Cir. 1991) (âby disclosing documents to
In the present case, it is undisputed that the defendants failed to assert privileges at the time that they disclosed the documents to the plaintiffs.
To the extent the defendants claim that they did not waive the privileges because they disclosed information with the understanding that it would be sealed, they cite no authority, nor have we uncovered any, to support that proposition. See Westinghouse Electric Corp. v. Philippines, supra, 951 F.2d 1418 (holding that privileged documents disclosed to third party with understanding they would remain confidential waived privilege with respect to others). It is well established that it is the partyâs obligation to make timely objections, and the failure to do so will operate to waive those objections. See State v. Saia, supra, 172 Conn. 44 (party that fails to claim marital privilege during testimony may not subsequently assert privilege to prevent its introduction into evidence).
Furthermore, we reject the defendantsâ contention that any waiver of privileges operated selectively, allowing the defendants to maintain the privilege with respect to parties other than those to whom disclosure was made. We agree with the trial courtâs conclusion to the contrary and approve of the reasoning employed by the Court of Appeals for the District of Columbia in rejecting the selective waiver doctrine: â[T]he [party] cannot be permitted to pick and choose among [its] opponents, waiving the privilege for some and resurrecting the claim of confidentiality to obstruct others, or to invoke the privilege as to communications whose confidentiality he has already compromised for his own
IV
Finally, we turn to the question of whether the trial court adopted the proper legal standard for determining
On appeal, the defendants claim that: (1) the trial court should have applied the standard adopted by the Court of Appeals for the Second Circuit and some other jurisdictions under which the moving party must establish that âextraordinary circumstancesâ exist to justify vacating the sealing orders; and (2) the intervenors failed to meet that standard. In the alternative, the defendants contend that this court should adopt the standard for vacating or modifying injunctions and place the burden on the moving party to establish that conditions have changed sufficiently to warrant relief.
In response, the intervenors claim that the trial court applied the proper legal standard because the extraordinary circumstances standard is inapplicable to documents presumptively accessible to the public or to sealing orders unreasonably relied upon. Because we agree that the trial court properly determined the legal standard under which to decide a motion to vacate a protective order, we do not reach the defendantsâ alternative standard.
We note at the outset that the determination of the appropriate legal standard to apply in deciding a motion to vacate a protective or sealing order is a question of first impression in this state. Our review, therefore, is plenary. Deschenes v. Transco, Inc., 288 Conn. 303, 313-14, 953 A.2d 13 (2008); see also Location Realty, Inc. v. Colaccino, 287 Conn. 706, 717, 949 A.2d 1189
Courts have adopted various standards to determine whether to vacate or modify a sealing order. The extraordinary circumstances test advocated by the defendants and the dissent is the strictest of these standards and requires that, when a party reasonably has relied on a sealing order, it may not be modified âabsent a showing of improvidence in the grant of [the sealing] order or some extraordinary circumstance or compelling need . . . .â Martindell v. International Telephone & Telegraph Corp., 594 F.2d 291, 296 (2d Cir. 1979); accord Phillips v. General Motors Corp., 289 F.3d 1117, 1124 (9th Cir. 2002); State v. Manners, 239 S.W.3d 583, 587-88 (Mo. 2007). This test effectively establishes a presumption that information that properly has been sealed should remain sealed, particularly when a party has relied upon the sealing order. Phillips v. General Motors Corp., supra, 1124 (holding that when sealing order properly is entered, presumption of access shifts, and party seeking access must demonstrate why access is necessary). Reliance must be reasonable, however, and is not justified for sealing orders that are temporary or limited by their terms. Securities & Exchange Commission v. TheStreet.com, 273 F.3d 222, 230-31 (2d Cir. 2001).
Other courts that have considered this question, however, have rejected the extraordinary circumstances test in favor of a less stringent, balancing of the interests test. See, e.g., Pansy v. Stroudsburg, supra, 23 F.3d 790; Mokhiber v. Davis, supra, 537 A.2d 1116-17; see also Beckman Industries, Inc. v. International Ins. Co., 966
We agree with the trial court that the test for modifying the sealing orders advocated by the defendants, the extraordinary circumstances test, is not the proper legal standard. Indeed, in Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 276 Conn. 216-17, we explained why such a stringent standard should not be applied and suggested that a balancing test would be more consistent with our rules of practice. In addressing an argument raised by the dissent in that case, we stated: â[A] partyâs reasonable reliance on the continued vitality of a protective order is a factor that a court must weigh in deciding whether, under the particular facts and circumstances of the case, to vacate or to modify that order. But the dissent goes much farther, elevating that reliance to an exalted status that almost always will be outcome determinative in favor of the party seeking to block public access to court documents. Indeed, under the dissentâs unprecedented view, the public will not even be afforded party status in its effort to obtain documents in the courtâs possession unless it first can establish an âextraordinary circumstanceâ or a âcompelling needâ for the sealed materials. In requiring the public to establish a compelling need to overcome the partiesâ asserted interest in maintaining the secrecy of documents in the courtâs possession, the dissent improperly skews the analysis and bucks the strong consensus favoring disclosure of such documents in the absence of a need for continued secrecy.â Id., 210-11. Moreover, the standard advocated by the defendants would be inapplicable to the circumstances presented in the present case, as the trial court properly concluded that the defendantsâ reliance on the sealing orders remaining permanent was not reasonable given
We conclude that the legal standard employed by the trial court to modify the sealing orders was proper. Under this standard, the moving party bears the burden of demonstrating that appropriate grounds exist for modifying sealing orders. These grounds include: the original basis for the sealing orders no longer exists; the sealing orders were granted improvidently; or the interests protected by sealing the information no longer outweigh the publicâs right to access. This latter ground permits the trial court to consider situations in which the original basis for the sealing orders still exists to some degree but has been altered because of a change in circumstances. Once the moving party has met its burden, the court must balance the countervailing interests, if any, introduced by the party favoring continuation of the sealing orders against the publicâs interest in access to judicial documents. As we acknowledged in Rosado, the countervailing interests include, but are not limited to, any reasonable reliance by the parties on the sealing orders and the countervailing privacy interests. Id.; see also Beckman Industries, Inc. v. International Ins. Co., supra, 966 F.2d 475. In sum, the trial court properly concluded, at least with respect to the vast majority of the documents, that the sealing orders should be vacated.
The judgments are reversed in part and the case is remanded with direction to order that the fifteen documents enumerated in footnote 33 of this opinion shall remain sealed; the judgments are affirmed in all other respects.
In this opinion ROGERS, C. J., and PALMER and VERTEFEUILLE, Js., concurred.
In addition to the Bridgeport Roman Catholic Diocesan Corporation, Reverend Monsignor Thomas Driscoll, as executor of the estate of Bishop Walter Curtis, Reverend Monsignor Andrew T. Cusack, Reverend Monsignor Laurence Bronkiewicz and Bishop Edward Egan, the appellants in the present case, also named as defendants in the original actions were Reverend Raymond Pcolka, Reverend Walter Coleman, Reverend Charles Carr and Reverend Martin Frederick Seven individuals, currently or previously employed by the diocese, filed pleadings as intervenors under the fictitious names Reverend John Doe I through Reverend John Doe VII for the limited purpose of preventing disclosure of confidential materials in their personnel records. These individuals thereafter opposed the intervening newspapersâ motions to vacate the sealing orders. For purposes of convenience, we refer to the named defendants and the seven Reverend John Does collectively as the defendants.
Four newspaper publishing companies, the New York Times Company, the Hartford Courant Company, the Washington Post Company, and the Globe Newspaper Company, filed motions seeking permission to intervene in twenty-three withdrawn cases concerning allegations of sexual abuse by members of the Roman Catholic clergy within the diocese of Bridgeport for the purpose of vacating previously entered sealing orders. In Rosado v. Bridgeport Roman Catholic Diocesan Corp., supra, 276 Conn. 230-31, this court concluded, inter alia, that the trial court âeffectivelyâ had granted those motions, and we remanded the matter to the trial court for a ruling on the motion to vacate those orders.
As we set forth in greater detail in part II of this opinion, the orders at issue both prohibited dissemination of certain information obtained during discovery and sealed certain documents from public access. The original orders were modified at various times to address changes in circumstances. The parties to this appeal, however, agree that the order cited in part II of this opinion essentially reflects the substance of the orders at issue. For convenience, we refer to the orders at issue collectively as the sealing orders.
The twenty-three underlying actions in which the intervenors sought information, all of which were filed initially in the judicial district of Fairfield and subsequently transferred to the judicial district of Waterbury, Complex Litigation Docket, are: Belleville v. Bridgeport Roman Catholic Diocesan Corp., Docket No. CV-93-0157371-S; Carr v. Bridgeport Roman Catholic Diocesan Corp., Docket No. CV-95-0159118-S; Didato v. Bridgeport Roman Catholic Diocesan Corp., Docket No. CV-95-0157370-S; Doe v. Bridgeport
We note that the claims made in the arguments section of the defendantsâ brief to this court do not conform to their statement of the issues therein. For example, although the defendantsâ statement of the issues include a claim that the trial court improperly denied their motion for new protective orders, the defendants did not analyze this claim independently from their claim that the trial court improperly granted the motion to vacate. Accordingly, we consider that claim abandoned and have analyzed the defendantsâ claims as they have presented them in the argument section of their brief, with some clarification and reordering as necessary for organizational purposes.
We note that the record in this case is voluminous. In addition to the briefs, appendices and designated record that are part of any appeal, the court file in this matter included thirteen boxes containing multiple copies of 12,675 pages of material. The defendants also submitted forty-eight compact discs containing various logs and electronic copies of those 12,675 pages. Although the documents were identified individually by a Bates number, which is an identification scheme to organize large quantities of documents by which each individual page is stamped with a unique identifying number, no index was provided to indicate which Bates number corresponded to a particular document.
We are mindful that the issues in this case are complex and far-reaching. Thus, we have endeavored to be conscientious and methodical in our review to ensure that all issues properly presented have been considered thoroughly. Nevertheless, we remind the parties that it is not the courtâs responsibility to parse through a voluminous record in search of material that may be relevant to its decision-making process. State v. Montgomery, 254 Conn. 694, 728, 759 A.2d 995 (2000). Except to the extent that the partiesâ briefs
General Statutes § 52-212a provides in relevant part: âUnless otherwise provided by law and except in such cases in which the court has continuing jurisdiction, a civil judgment or decree rendered in the Superior Court may not be opened or set aside unless a motion to open or set aside is filed within four months following the date on which it was rendered or passed. . . .â
Practice Book § 11-20A provides in relevant part: â(a) Except as otherwise provided by law, there shall be a presumption that documents filed with the court shall be available to the public.
â(b) Except as provided in this section and except as otherwise provided by law, including Section 13-5, the judicial authority shall not order that any files, affidavits, documents, or other materials on file with the court or filed in connection with a court proceeding be sealed or their disclosure limited.
â(c) Upon written motion of any party, or upon its own motion, the judicial authority may order that files, affidavits, documents, or other materials on file or lodged with the court or in connection with a court proceeding be sealed or their disclosure limited only if the judicial authority concludes that such order is necessary to preserve an interest which is determined to override the publicâs interest in viewing such materials. The judicial authority shall first consider reasonable alternatives to any such order and any such order shall be no broader than necessary to protect such overriding interest. An agreement of the parties to seal or limit the disclosure of documents on file with the court or filed in connection with a court proceeding shall not constitute a sufficient basis for the issuance of such an order. ...â
The defendants had asserted various privileges related to medical records, pursuant to General Statutes §§ 52-146c, 52-146d et seq., 52-146o, 52-146q and 52-146s, and confidential personnel records, pursuant to General Statutes § 31-128Ă. The trial court found that various documents protected
Canon 3 (c) (1) of the Code of Judicial Conduct provides in relevant part: âA judge should disqualify himself or herself in a proceeding in which the judgeâs impartiality might reasonably be questioned, including but not limited to instances where:
â(A) the judge has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding .. .
Practice Book § 1-22 (a) provides in relevant part: âA judicial authority shall, upon motion of either party or upon its own motion, be disqualified from acting in a matter if such judicial authority is disqualified from acting therein pursuant to Canon 3 (c) of the Code of Judicial Conduct . . .
The defendants do not claim that the mere fact of Judge Alanderâs participation on the task force necessitated his recusal from presiding over this case. On the contrary, the defendants expressly highlight Judge Alanderâs simultaneous service, along with the presence of an employee of one of the intervenors on the task force, as the basis for their claim. Indeed, when reminded expressly at oral argument before this court that one of the panel members hearing the appeal, Justice Palmer, had served on the same task force as Judge Alander, the defendants stated that they were not requesting the recusal of Justice Palmer from hearing this appeal.
The dissent spends much time discussing a historical recitation of both the litigation surrounding the judicial branchâs past practice of classifying sealed case files that resulted in the civil action entitled Hartford Courant Co. v. Pellegrino, 290 F. Sup. 2d 265 (D. Conn. 2003), and this courtâs decision limiting public access to certain records in Clerk of the Superior Court v. Freedom of Information Commission, 278 Conn. 28, 895 A.2d 743 (2006), and suggests that these two cases were largely responsible for the formation of the task force. Because the mission of the task force â âto make recommendations for the maximum degree of public access to the courts, [not merely court records as the dissent suggests] consistent with the needs of the courts in discharging their core functions of adjudicating and managing casesâ â is undisputed; (emphasis added; internal quotation marks omitted) Press Release, Connecticut Judicial Branch, Judicial Branchâs Public Access Task Force Schedules May 25 Meeting (May 9, 2006); the reason for its creation is of little relevance to the issue on appeal. Moreover, the dissent engages in a faulty syllogism in its attempt to connect the controversial supersealed cases with Judge Alanderâs simultaneous service presiding over the underlying actions in the present case and the task force. The dissentâs reasoning would require us to engage in the following syllogism: (A) the judicial branchâs position in the federal litigation over the supersealed cases was that the present case raised similar legal issues to warrant application of various abstention doctrines; (B) Judge Alander simultaneously presided over the underlying actions in the present case and served on the task force; therefore (C) there is a public perception that Judge Alander was involved in the controversy of supersealed cases. We decline to engage in similarly flawed logic, especially in light of the fact that Judge Alander had no involvement with the supersealing of files, had raised privacy concerns during his tenure on the task force; see footnote 18 of this opinion; and the Court of Appeals for the Second Circuit expressly concluded that the present case was âquite differentâ from the particular types of files involved in the case before it. Hartford Courant Co. v. Pellegrino, 380 F.3d 83, 99 (2d Cir. 2004); see id., 87 (âunder level 1, which should be used when a case is statutorily sealed by the court, the matter is confidential and no information is to be released or disclosed to the public, including the docket number and case caption, and . . . under level 2, the entire file is sealed but the case caption and docket number may be disclosedâ [internal quotation marks omitted]).
The other two committees were the committee on access to meetings and judicial branch administrative records and the committee on access to judicial proceedings.
It is unclear how many of the nine committee meetings preceded Judge Alanderâs July 21,2006 decision granting in large part the intervenorsâ motion to vacate the sealing orders.
Practice Book § 1-23 provides: âA motion to disqualify ajudicial authority shall be in writing and shall be accompanied by an affidavit setting forth the facts relied upon to show the grounds for disqualification and a certificate of the counsel of record that the motion is made in good faith. The motion shall be filed no less than ten days before the time the case is called for trial or hearing, unless good cause is shown for failure to file within such time.â
Canon 4 of the Code of Judicial Conduct provides: âA judge, subject to the proper performance of his or her judicial duties, may engage in the following quasi-judicial activities, if in doing so the judge does not cast doubt on the judgeâs capacity to decide impartially any issue that may come before him or her:
â(1) A judge may speak, write, lecture, teach, and participate in other activities concerning the law, the legal system, and the administration of justice.
â(3) A judge may serve as a member, officer, or director of an organization or governmental agency devoted to the improvement of the law, the legal system, or the administration of justice. The judge may assist such an organization in raising funds and may participate in their management and investment, but should not personally participate in public fund raising activities. The judge may make recommendations to public and private fund-granting agencies on projects and programs concerning the law, the legal system, and the administration of justice.â
It was reported that Judge Alander had suggested, inter alia, that the task force revisit the issue of the automatic unsealing of financial affidavits once their contents had become the basis of a dispute. T. Scheffey, âJudges Annual Meeting Open to Public,â 32 Conn. L. Trifo. No. 23, May 29, 2006, p. 6.
Although the dissent acknowledges that any rule changes suggested by the task force would have a prospective effect once they formally were adopted by the judicial branch, it posits that the appearance of impropriety could arise because Judge Alander could have been called upon to apply and interpret those rules if they became effective by the time that the underlying actions in the present case were litigated. Because any judge assigned to the case would be required to apply those rules if they were then effective, we fail to see how this fact creates an appearance of impropriety. Indeed, judges who serve on committees drafting rules of evidence and rules of practice routinely sit on cases requiring the application and interpretation of those rules.
The defendants also suggest that, to the extent that Practice Book § 11-20A allows a broader right of access to public documents than the common-law presumption does, it is inapplicable to the documents at issue because § 11-20A was adopted after the documents were filed and the cases were withdrawn. In essence, the defendants contend that § 11-20A cannot be applied retroactively to them. Because we conclude that § 11-20A merely codified the common law, we need not address this contention.
Practice Book § 7-10 provides that â[t]he files in all civil, family and juvenile actions, including summary process and small claims, which, before a final judgment has been rendered on the issues, have been terminated by the filing of a withdrawal or by a judgment of dismissal or nonsuit when the issues have not been resolved on the merits or upon motion by any party or the court, or in which judgment for money damages only has been rendered and a full satisfaction of such judgment has been filed, may be destroyed upon the expiration of one year after such termination or the rendition of such judgment.â
Practice Book § 7-21 provides that â[ujnless otherwise ordered by the judicial authority, it is the duty of attorneys and pro se parties, upon the final determination of any civil case, to remove from the courthouse all exhibits that have been entered into evidence, briefs, depositions, and memo-randa and, if not so removed, such items may be destroyed by the clerk four months after the final determination of the case, without notice.â
We note that the intervenors did not assert any first amendment right of access to the documents in question. We therefore confine our analysis to the presumption of access as provided by the rules of practice in light of the common law.
We note that, in some instances, transcripts of entire depositions were filed in support of motions, although the motions or supporting memoranda of law referenced only a few pages of those transcripts. For example, the plaintiffs in the underlying cases filed three volumes of transcripts of deposition testimony from Bishop Walter W. Curtis in support of the plaintiffsâ objections to the defendantsâ motions for summary judgment. The three volumes totaled more than 250 pages, and the plaintiffsâ opposition referred to only a fraction of these pages.
For example, on February 5, 1997, the defendants filed a âNotice of Filing Under Seal,â which provided: âThis is to certify that within the attached envelope, the undersigned defendants are filing the Responsive Affidavit of Reverend Msgr. Laurence R. Bronkiewicz.â Nothing in the text of the document indicates whether the affidavit was filed in support of a particular motion or the reason why it was filed.
For example, one entry from a judicial documents log identified a document as the personnel file of an individual priest and provides: âThis individual priestâs personnel file was submitted to the court (Levin, J..) for an in camera inspection in connection with a hearing held on October 3, 1994 regarding the defendantsâ motions for protective orders. . . . Consequently, these documents were never relied upon for a determination of a dispositive motion addressing the merits of the case. Therefore, this priestâs personnel file does not constitute a judicial document.â
As we previously have noted, the trial court denied the intervenorsâ motion to vacate the sealing orders with respect to documents submitted to the court for an in camera review, documents protected under certain health care privileges and those portions of the depositions that identified Reverend John Doe I and Reverend John Doe II. The intervenors have not challenged these aspects of the trial courtâs decision, and they are not at issue in this appeal.
Certain privacy concerns that outweigh the publicâs interest injudicial monitoring have been codified by statute or in the rules of practice. See, e.g., General Statutes § 46b-49 (private hearings in family-related matters permitted when âin the interests of justice and the persons involvedâ); General Statutes § 54-76c (court files sealed from public access in certain criminal prosecutions of youthful offenders); General Statutes § 54-86f (in camera hearing concerning evidence of sexual conduct of victim permitted during prosecution for sexual assault); Practice Book § 25-59A (h) (financial affidavits filed in family matters automatically sealed unless financial matters in dispute).
In addition, there are countervailing reasons why the presumption of public access should not apply to the fruits of raw discovery. Seattle Times Co. v. Rhinehart, supra, 467 U.S. 33; Lugosch v. Pyramid Co. of Onondaga, supra, 435 F.3d 124. Public access to such documents might have unintended adverse effects. Under the threat of public disclosure of all discovery, parties might more vigorously contest discovery requests. â[C]ourts would face intensified protective order litigation in any case potentially of interest to third parties,â consuming scarce judicial resources, and in response, courts supervising the discovery process would likely narrow the partiesâ access to information. Mokhiber v. Davis, supra, 537 A.2d 1111.
In light of our conclusion that Practice Book § 11-20A codifies the common law, we reject the defendantsâ claim that § 11-20A violates the separation of powers by â âdecree[ing]â substantive law of Connecticut via its rule-making process.â
Practice Book § 61-10 provides in relevant part: âIt is the responsibility of the appellant to provide an adequate record for review. . . . For purposes of this section, the term ârecordâ . . . includes all trial court decisions, documents and exhibits necessary and appropriate for appellate review of any claimed impropriety.â
This potential problem can be avoided in large part, if not entirely, by the parties entering into a confidentiality agreement and protective order providing that certain documents will be produced to the opposing party on the understanding that they will only be submitted to a court by way of the lodging process set forth in Practice Book § 7-4C. As set forth, in § 7-4C, a âlodgedâ record is not considered filed with the court and, therefore, would not be considered a judicial document until such time as the judicial authority grants the motion to seal the record and it is placed in the court file. In the alternative, if the court does not grant the motion to seal, the lodged documents will be returned to the party and, therefore, not be considered a judicial document.
It is also within the authority of the trial court, if it believes it necessary to limit the introduction of certain material, to issue orders to that effect by virtue of both its statutory authority pursuant to General Statutes § 51-14 (a) and its inherent supervisory authority, to âbring about an orderly, expeditious, and just determination of the issues.â In re Appeal of Dattilo, 136 Conn. 488, 493, 72 A.2d 50 (1950). If those orders are contravened, or if it can be shown that information is included in bad faith, parties or the trial court may seek sanctions. Stanley v. Hartford, 140 Conn. 643, 648, 103
The judicial documents logs itemized each sealed document and provided the following information: whether the document is a pleading and a description of that document in support of that characterization, the date the document was filed, the Bates number for the document, the docket entry number, if applicable, and the reasons why, in the defendantsâ view, the document is or is not a judicial document. For example, one entry provided as follows:
âPLEADING: This document is not a pleading. Rather it is a letter pertaining to the [defendantsâ] motion to obtain oral argument on the plaintiffs objection to the [defendantsâ] request to revise the complaint dated April 21, 1993.
DATE: June 15, 1993
BATES NUMBERS: 001792-001793
DOCKET
ENTRY NO.: N/A
JUDICIAL
DOCUMENT
STATUS: This document is not a judicial document because it is merely a letter to the plaintiffs attorney with a copy sent to the court. This letter is not a dispositive motion on the merits of the case.â Rosado v. Bridgeport
Specifically, we conclude that the following documents, referenced by Bates number, are not judicial documents: (1) the letter from Joseph T. Sweeney to Attorney Douglas P. Mahoney, dated April 28, 1993, Bates No. 001776; (2) the letter from Joseph T. Sweeneyto Attorney Cindy L. Robinson, dated June 15, 1993, Bates Nos. 001792 through 001793; (3) the letter from Frank W. Murphy to Donald J. Mastrony, dated February 3,1995, Bates Nos. 001778 through 001779; (4) the letter from T. Paul Tremont to Hon. Bruce Levin, dated March 3, 1995, Bates No. 001777; (5) the bill from the court reporter for a transcript of the hearing dated July 15,1996, with the attached transcript, Bates Nos. 001786 (letter) and 001787 through 001789 (transcript); (6) the newspaper article dated August 9, 1996, Bates No. 001794; (7) the letter from Douglas P. Mahoney to Hon. David W. Skolnick, dated August 11,1998, Bates Nos. 002161 through 002162; (8) volume two of the deposition transcript of Reverend Monsignor William Genuario, dated March 13, 1997, with associated exhibits, not attached to any particular motion, Bates Nos. 005596 through 005805 and 002372 through 002581; (9) volume two of the deposition transcript of Reverend Monsignor William Genuario, dated March 13, 1997, with associated exhibits, not attached to any particular motion, Bates Nos. 005806 through 006015; (10) the defendantsâ response to the supplemental interrogatories, dated April 16, 1997, Bates Nos. 009440 through 009455; (11) internal court memorandum from Hon. Bruce Levin to Donald J. Mastrony, chief clerk, dated January 8, 1997, Bates No. 006934; (12) the notes by Hon. Bruce Levin from two motions, dated January 8,1997, Bates No. 006935; (13) the excerpts from the transcript of the deposition of Charles Carr, dated October 5,1995, not submitted in support of any motion, Bates Nos. 009586 through 009689; (14) the deposition transcript of Bishop Walter Curtis, dated July 31, 1995, not attached to any particular motion, Bates Nos. 002008 through 002096; and (15) internal court memorandum from Hon. Bruce Levin to Donald J. Mastrony, chief clerk, dated January 8, 1997, Bates No. 009312. We note that only these particular documents, as referenced by a Bates number, do not meet the definition of a judicial document. To the extent that copies of these documents may exist in the court file and have been marked in support of motions or otherwise indicate that they support particular acjjudicatory action; see, e.g., the deposition
In United States v. Amodeo, supra, 71 F.3d 1044, the Second Circuit set forth standards to be employed when considering whether a judicial document should be sealed from public view. First, the court must determine the weight of the presumption of public access by evaluating the itemâs role in the judicial process. Id., 1049. Next, the court must balance countervailing considerations, including privacy interests, against that presumption before determining that the item should be unsealed. Id., 1050.
We note that the defendantsâ claim implicates the question of whether a document that is determined to be âjudicialâ may be sealed. The issue in the present case, however, concerns whether previously sealed documents should be unsealed, and thus, the Second Circuitâs balancing test to deter
Moreover, Practice Book § 11-20A sets forth procedures to be followed when determining whether documents should be placed under seal, and under that section, the trial court is directed explicitly to engage in a balancing test under which a sealing order may be entered only if ânecessary to preserve an interest which is determined to override the publicâs interest in viewing such materials.â Practice Book § 11-20A (c).
In their brief, the defendants briefly mention the state constitution as one basis for their privilege claims. They do not, however, provide any independent analysis of the state constitutional claim, as required under State v. Geisler, 222 Conn. 672, 684-85, 610 A.2d 1225 (1992). âWe have repeatedly apprised litigants that we will not entertain a state constitutional claim unless the defendant has provided an independent analysis under the particular provisions of the state constitution at issue. . . . Without a separately briefed and analyzed state constitutional claim, we deem abandoned the defendantâs claim.â (Internal quotation marks omitted.) State v. Randolph, 284 Conn. 328, 375 n.12, 933 A.2d 1158 (2007). Therefore, we limit our review to the federal constitution.
The first amendment to the United States constitution provides in relevant part: âCongress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof . . . .â Because we conclude that the trial court properly determined that the defendants waived all privileges other than those addressed in footnote 9 of this opinion, we express no opinion as to whether the first amendment affords any such religious privileges.
General Statutes § 52-146b provides: âA clergyman, priest, minister, rabbi or practitioner of any religious denomination accredited by the religious body to which he belongs who is settled in the work of the ministry shall not disclose confidential communications made to him in his professional capacity in any civil or criminal case or proceedings preliminary thereto, or in any legislative or administrative proceeding, unless the person making the confidential communication waives such privilege herein provided.â
In their brief to this court, the defendants do not claim that the trial courtâs finding that they did not assert the privileges when they produced the documents was clearly erroneous. We note, however, that in a footnote in their brief, they have asserted that, in their motion for a protective order to bar forced disclosure of confidential information and supporting memorandum of law dated September 14, 1994, they had claimed that the documents were protected by various privileges, including a statutory employment personnel record privilege, a statutory clergymanâs privilege and religious privileges under the first amendment.
To the extent that the defendants intend to suggest by this cursory reference that the trial court improperly found that they had not raised claims of privilege at the time that they disclosed the documents, that claim fails for several reasons. First, it is inadequately briefed. See Taylor v. Mucci, 288 Conn. 379, 392 n.4, 952 A.2d 776 (2008) (declining to review inadequately briefed claim in which appellant had cited only one case and provided only cursory analysis). Second, when explicitly queried by Judge Alander at the hearing on the intervenorsâ motion to vacate the sealing order and the defendantsâ motion to impose a new protective order as to whether privileges had been claimed during discovery but material was ordered produced notwĂźhstanding, the defendants stated that they could not answer. Moreover, when the trial court, Levin, J., entered the sealing orders in 1994, the courtâs memorandum of decision addressed only the employment personnel records privilege. If the defendants had intended to pursue claims of privilege that were not addressed by the trial court, it was their responsibility to move for an articulation to clarify the basis of the trial courtâs ruling or to ask for a ruling on any overlooked matter. Grimm v. Grimm, 276 Conn. 377, 388, 886 A.2d 391 (2005), cert. denied, 547 U.S. 1148, 126 S. Ct. 2296, 164 L. Ed. 2d 815 (2006). Therefore, any claim that the defendants had raised privileges in the trial court would be deemed abandoned. Samperi v. Inland Wetlands Agency, 226 Conn. 579, 586 n.9, 628 A.2d 1286 (1993).
To the extent that the defendants claim that the trial court acted improperly by concluding that the clergymanâs privilege under § 52-146b had been waived because the privilege belonged to individuals other than the defendants who had not expressly waived their privilege, we disagree. It is well established that we give great deference to a trial courtâs factual findings, and we will not overturn such findings unless they are clearly erroneous such that they find no evidentiary support in the record. State v. Lawrence, 282 Conn. 141, 154-55, 920 A.2d 236 (2007). As we already have established, it was undisputed that no privileges had been asserted at the time that the information was disclosed. See footnote 38 of this opinion. The trial court therefore reasonably concluded that the clergymanâs privilege had been waived by any defendant to whom the privilege applied on the basis of that failure. To the extent that the defendants claim that individuals other than the defendants were entitled to assert the clergymanâs privilege and did not waive it, it was incumbent upon the defendants to establish a foundation to support that claim, including the identity of the purported holder of the privilege, as well as the defendantsâ standing to make any such assertion. See State v. Rizzo, 266 Conn. 171, 283, 833 A.2d 363 (2003) (noting that it is defendantâs burden to establish foundation to claim privilege and declining to review claim when no foundation had been established). Our review of the record indicates that, both in this court and in the trial court, the defendants made sweeping claims that the clergymanâs privilege had not been waived by individual penitents, yet provided no specific support for those claims. There is no evidence in the record that the defendants established any foundation to claim either that such individuals existed or the defendantsâ standing to assert the privilege.
Many courts that have rejected the extraordinary circumstances test have done so in the context of disputes whereby a litigant seeks information that already has been disclosed in other legal proceedings. These courts have balanced the interests in favor of disclosure, specifically finding that modification is appropriate to avoid duplicative discovery requests and citing judicial economy as a reason to modify protective orders. Beckman Industries, Inc. v. International Ins. Co., supra, 966 F.2d 475-76; United Nuclear Corp. v. Cranford Ins. Co., supra, 905 F.2d 1428; Public Citizen v. Liggett Group, Inc., supra, 858 F.2d 790-92; Wilk v. American Medical Assn., supra, 635 F.2d 1299-1301. Under this approach, unless the party wishing to keep the documents sealed would be prejudiced, the sealing order may be modified at the discretion of the court. Beckman Industries, Inc. v. International Ins. Co., supra, 475-76; United Nuclear Corp. v. Cranford Ins. Co., supra, 1428; Wilk v. American Medical Assn., supra, 1299.