State v. Carter

• Decision Date: 16 December 1997
• Docket Number: No. 15593,15593
• Citation: 703 A.2d 763,243 Conn. 392
• Parties: STATE of Connecticut v. Anthony CARTER.
• Court: Connecticut Supreme Court

Page 763

703 A.2d 763

243 Conn. 392

STATE of Connecticut v. Anthony CARTER.

No. 15593.

Supreme Court of Connecticut.

Argued Oct. 3, 1997.

Decided Dec. 16, 1997.

Denise B. Smoker, Deputy Assistant State's Attorney, with whom, on the brief, were James E. Thomas, State's Attorney, Christopher L. Morano, Supervisory Assistant State's Attorney, and Judith Rossi, Assistant State's Attorney, for appellant (State).

Mark Rademacher, Assistant Public Defender, for appellee (defendant).

Before BORDEN, BERDON, KATZ, PALMER and McDONALD, JJ.

McDONALD, Associate Justice.

The sole issue in this appeal is whether the Appellate Court correctly determined that the defendant, Anthony Carter, did not knowingly and voluntarily waive his right against self-incrimination when he entered guilty pleas. The state appeals, upon the granting of certification, ¹ from the Appellate Court's judgment that the trial court inadequately canvassed the defendant before accepting his guilty pleas. State v. Carter, 43 Conn.App. 555, 685 A.2d 1129 (1996). We reverse the judgment of the Appellate Court.

The state filed an information against the defendant, charging him with three counts of the sale of narcotics in violation of General Statutes § 21a-277 (a), three counts of conspiracy to sell narcotics in violation of General Statutes §§ 53a-48 and 21a-278 (b) and three counts of the sale of narcotics within 1500 feet of a housing project in violation of General Statutes § 21a-278a (b). The information also charged the defendant with violating the Corrupt Organizations and Racketeering Activity Act (CORA) in violation of General Statutes § 53-395(b) and (c) and conspiracy to violate CORA in violation of General Statutes §§ 53a-48 and 53-395(b) and (c).

Subsequently, the defendant withdrew his initial pleas of not guilty as to all counts of the information and entered pleas of guilty as to the two CORA counts and the three sale of narcotics counts. ² His counsel was present and participated in the entering of his guilty pleas. The state nolled the remaining charges.

At the time of the entry of the guilty pleas, the state agreed on the record to recommend that "the defendant receive a sentence of sixteen years [incarceration], with the right to argue for a lesser period of incarceration, but in no event [should he] receive a sentence of less than eight years. After a recitation of the factual predicate for the pleas and the state's placing the plea agreement on the record, the trial court proceeded to canvass the defendant to determine whether the pleas of guilty were [knowingly] intelligently and voluntarily made.

"During the canvass, the defendant admitted that he had made three sales of heroin to undercover officers, that he had acted as lookout for fellow purveyors of narcotics and that he had attempted to flag down vehicles to sell narcotics. At the end of the canvass, the trial court found that the pleas were entered voluntarily, that the defendant understood the crimes charged, that, by his own concession, he had received effective assistance of counsel, and that he admitted the factual basis of each charge against him. Accordingly, the trial court accepted the pleas of guilty and made findings of guilty...." State v. Carter, supra, 43 Conn.App. at 557, 685 A.2d 1129. When the defendant later appeared for sentencing the trial court imposed a total effective sentence of twelve years. Id., at 558, 685 A.2d 1129.

The defendant did not move to withdraw his pleas, nor did he file any postsentence motions in the trial court. On appeal to the Appellate Court, the defendant raised for the first time his claim that his canvass by the trial court was constitutionally defective.

The Appellate Court reversed the trial court's judgment, ruling that the trial court failed to include in its canvass a sufficient warning that the defendant's pleas of guilty operated as a waiver of his constitutional right against self-incrimination. It concluded that the trial court had failed to inform the defendant that he had a right to persist in his plea of not guilty. Id., at 562, 685 A.2d 1129. The defendant's remaining claim on appeal, that his right to due process was violated by the trial court during his sentencing hearing, was not addressed by the Appellate Court.

The defendant raises before us a federal constitutional defect in his plea canvass under State v. Golding, 213 Conn. 233, 567 A.2d 823 (1989).

Golding established a four-part test. "In order to prevail on appeal on a constitutional claim, that has not been adequately preserved at trial, the defendant must meet all of the following conditions: '(1) the record is adequate to review the alleged claim of error; (2) the claim is of constitutional magnitude alleging the violation of a fundamental right; (3) the alleged constitutional violation clearly exists and clearly deprived the defendant of a fair trial; and (4) if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt.' " State v. Pinnock, 220 Conn. 765, 778, 601 A.2d 521 (1992), quoting State v. Golding, supra, 213 Conn. at 239-40, 567 A.2d 823. "We have also held that we remain free to dispose of the claim by focusing on whichever condition is most relevant in the particular circumstances." (Internal quotation marks omitted.) State v. Pinnock, supra, at 778, 601 A.2d 521. We conclude on the basis of this record that a constitutional violation did not clearly exist and did not clearly deprive the defendant of a fair trial.

The United States Supreme Court has held that for the acceptance of a guilty plea to comport with due process, the plea must be voluntarily and knowingly entered. Boykin v. Alabama, 395 U.S. 238, 243-44, 89 S.Ct. 1709, 1712-13, 23 L.Ed.2d 274 (1969). Boykin set forth three federal constitutional rights of which a defendant must be cognizant prior to entering a guilty plea: (1) the privilege against compulsory self-incrimination; (2) the right to trial by jury; and (3) the right to confront one's own accusers. Id., at 243, 89 S.Ct. at 1712. Since a guilty plea constitutes a waiver of these constitutional rights, a reviewing court cannot presume from a silent record that a defendant knowingly waived these three rights. State v. Badgett, 200 Conn. 412, 419-20, 512 A.2d 160, cert. denied, 479 U.S. 940, 107 S.Ct. 423, 93 L.Ed.2d 373 (1986).

During the plea canvass, a court is required to inform a defendant of his right against compulsory self-incrimination and to inform him that he waives that right by pleading guilty. "Under Boykin, in order for a plea to be knowingly, voluntarily and intelligently made, a trial court is required to advise a defendant that his plea operates as a waiver of three fundamental constitutional rights--jury trial, confrontation and self-incrimination." State v. Badgett, supra, 200 Conn. at 418, 512 A.2d 160. In connection with the waiver of the defendant's right against self-incrimination, "the federal constitution requires only that a defendant, at the time of the entry of a plea of guilty or nolo contendere, be informed by the court that ... he could not be compelled to enter that plea." State v. Nelson, 221 Conn. 635, 640-41, 605 A.2d 1381 (1992).

The "substance" of the right against compulsory self-incrimination must be "sufficiently conveyed" by the canvassing court before a guilty plea may be accepted. State v. Badgett, supra, 200 Conn. at 420, 512 A.2d 160. Specific words are not required to inform the defendant of his right against compulsory self-incrimination. Id. ("[l]iteral compliance, however, [with Boykin] is not constitutionally required" [emphasis in original] ). Rather, our focus is directed at "all of the relevant circumstances" surrounding the canvass. State v. Domian, 235 Conn. 679, 687, 668 A.2d 1333 (1996). "[F]or protection of his privilege against self-incrimination, the federal constitution mandates only that a defendant be apprised of the fact that he does not have to enter a plea of guilty or nolo contendere and thus incriminate himself." State v. Nelson, supra, 221 Conn. at 642, 605 A.2d 1381. The right against compulsory self-incrimination is therefore adequately conveyed when a defendant knows that he need not enter the plea of guilty and knows the effect of that plea.

In this case, the Appellate Court concluded that the plea canvass was insufficient because the trial court never apprised the defendant that he did not have to plead guilty. The defendant was told, however, that the purpose of the canvass was "to make sure that you're giving these pleas--all five pleas that you have just rendered to the court, voluntarily and of your own free will. If you have any questions at any particular period of time, please do not hesitate to ask me." The defendant later replied, in answer to a question, that he was entering all five pleas voluntarily and of his own free will. He denied that anyone was forcing him to enter those pleas. The court then asked the defendant, "And you understand that you could have gone to trial on each and every one of these counts? Mr. Schoenhorn, your attorney, could have represented you before a judge or jury." The court advised the defendant of his...