Andrew Burrell v. United StatesAndrew Burrell v. United States
Andrеw Burrell, who was convicted in 1995 after a jury trial in the Eastern District of New York (Sterling Johnson, Jr.,
Judge)
of being a felon in possession of a firearm,
see
Burrell submits that his conviction should be vacated because he is actually innocent of the
Background
1. The Connecticut Alford Plea
On August 8, 1990, Andrew Burrell pleaded guilty in Connecticut Superior Court for Fairfield County to charges of
THE COURT: The allegation is that you followed her, the victim, got out of the car, she thought [you] had a weapon on her, got her into the car, assaulted her. She called the police. The police went to the location, found the car. In the car they found the weapon. Is that basically it?
[COUNSEL]: That is correct, your Honor.
THE COURT: Mr. Burrell, as to those allegations, you may not be admitting all of those allegations, but are you entering your plea, freely, intelligently, and voluntarily because it is your opinion that if we were to try this case, you’d probably be convicted, and if convicted, you’d face a more ■ severe punishment. Is that why you’re pleading guilty, sir? MR. BURRELL: Yes, sir..
Id. at 3-4. The court thereupon sentenced Burrell to two concurrent one-year terms of incarceration, which it suspended in favor of two one-year concurrent terms of probation. See id. at 4.
il.
The Federal
Some two and one-half years later, on March 10, 1993, Burrell and a confederate, Shane Stennett, who were then targets of an undercover narcotics investigation, were arrested'in Brooklyn, New York, in possession of loaded firearms. Charged with various narcotics and firеarms crimes, Stennett pleaded guilty soon after jury selection, while Burrell proceeded to trial. On December 29, 1993, the jury reported that it was deadlocked on all counts except the charge that Burrell was a felon in possession of a firearm in violation of
After a number.of adjournments, Bur-rell was sentenced on August 30, 1995, to the maximum ten-year term of incarceration applicable to
III.
Burrell’s
On December 6, 1997, Burrell moved to vacate his federal conviction pursuant to
By order dated March 19, 2002, the district court аssigned Burrell new counsel and, after receiving further briefing, issued a detailed memorandum and order dated August 19, 2002, which (1) rejected Burrell’s argument that an
Alford
plea did not result in a Connecticut conviction that could qualify as the necessary felony predicate for
I. Standard of Review
This court reviews the district court’s denial of a
Preliminarily, we note that because Burrell’s Alford-based challenge is raised in support of a claim of actual innocence, Burrell is excused from any procedural default of this argument on direct appeal.
See Rosario v. United States,
II. The Federal Prohibition on Firearms Possession by Convicted Felons
Title
Within our federal system, questions may arise as to exactly what constitutes a felony conviction for purposes of
III. Alford Pleas as the Basis for Convictions under Connecticut Law
Burrell does not argue that the assault and weapons charges to which he pleaded are not felony crimes under Connecticut law. Instead, he asserts that Connecticut does not treat criminal judgments based on Alford pleas as “convictions.” We disagree.
In discussing
Alford
pleas, the Connecticut Supreme Court recently observed that “[a] guilty plea under the
Alford
doctrine is a judicial oxymoron in that the defendant does not admit guilt but acknowledges that the state’s evidence against him is so strong that he is prepared to accept the entry of a guilty plea nevertheless.”
State v. Faraday,
Certainly, the severe penal consequences that can attend an
Alford
plea indicate that there is no reason to distinguish convictions so obtained from those secured by standard guilty pleas or even jury verdicts.
See, e.g., Annunziata v. Comm’r of Corr.,
Even where, as in Burrell’s case, an Alford plea results in a sentence of probation rather than a term of incarceration, there is reason to conclude that Connecticut views the disposition as a final judgment of conviction. This is because state law expressly рrovides that “[a] sentence to a period of probation ... shall be deemed a revocable disposition [only] to the extent that it may be altered or revoked ... but for all other purposes it shall be deemed to be a final judgment of conviction.” Conn. GemStat. § 53a-28(d) (emphasis added). 7
To the extent Connecticut law does draw a distinction between Alford and nolo con-tendere pleas on the one hand, and standard guilty pleas on the other, it is not in the fact of convictiоn, but in the evidentia-ry use that can be made of these different pleas as admissions of factual guilt in subsequent proceedings:
A guilty plea under the Alford doctrine is the functional equivalent to an unconditional plea of nolo contendere which itself has the same legal effect as a plea of guilty on all further proceedings within the indictment. The only practical difference is that the plea of nolo conten-dere may not be used against the defendant as an admission in a subsequent criminal or civil case.
State v. Faraday,
The cited passage makes two points. The first sentence emphasizes that there is no distinction among
Alford,
nolo contendere, and standard guilty pleas in the disposition of criminal cases. All three pleas have “the weight of a final adjudication of guilt” and, thus, result in judgments of conviction.
Town of Groton v. United Steelworkers of Am.,
The second point made in the quoted
Faraday
excerpt indicates the evidentiary limits Connecticut places on attempts to use
Alford
and nolo contendere pleas as admissions of factual guilt in subsequent proceedings. Specifically, Connecticut does not embrace the view expressed by this court in
Pfotzer v. Aqua
Our conclusion that Connecticut’s admission limitation does not alter the fact that an
Alford
or nolo contenderе plea results in a criminal conviction under state law is reinforced by a number of exceptions to this rule. Notably, Connecticut has declined to extend the rule to arbitration proceedings,
see Town of Groton v. United Steelworkers of Am.,
Indeed, where the relevant issue is simply the fact of a prior conviction, and not whether defendant admitted the charged criminal conduct, Connecticut law appears not to limit the use of convictions based on
Alford
and nolo contendere pleas. In
Allstate Insurance Co. v. Simansky,
a case involving obligations under an insurance policy with an exclusion clause for injuries resulting from criminal acts, a Connecticut Superior Court ruled that a conviction for assault based on a plea of nolo contendere could be considered, explaining: “For purposes of the exclusion, the conviction cannot be disregarded as if it did not happen. It did happen, and in so happening trig
The same logic pertains here. The conviction predicate for
Accordingly, while we recognize that Connecticut courts place some limitations on the use of
Alford
and nolo contendere pleas as admissions of charged criminal conduct, we reject Burrell’s аrgument that this somehow renders the judgments entered after sentence on such pleas something less than' “convictions” under Connecticut law or that such judgments of conviction cannot qualify as the predicates required by
Conclusion
Because Burrell has failed to establish that his 1990
Alford
pleas to assault and weapons possession did not result in a felony conviction under Connecticut law, he cannot demonstrate that he is actually innocent of his 1995 federal conviction for violating
Notes
. A defendant entering an
Alford
plea "voluntarily, knowingly, and understanding^ consents] to the imposition of a prison sentence even [though] he is unwilling or unable to admit his participation in the acts constituting the crime.”
North Carolina v. Alford,
. In
Abimbola v. Ashcroft,
. The sentence was slightly below the 121— 151 month range that the district court concluded was warranted by application of the Sentencing Guidelines.
See Edwards v. United States,
. Although the record before us does not identify the specific grounds relied on by the Connecticut court in vacating this conviction, Burrell's motion argued that vacatur was warranted because the trial judge had failed to comply with Conn. Practice Book § 39-20 (requiring court to ascertain whether a plea "results from prior discussions” between the prosecution and the defense and to ensure that "the plea is voluntary and is not the result of force or threats or of promises apart from a plea agreement”), and
. Despite the district court's failure to award a certifiсate of appealability on the
Apprendi
point, Burrell argues it in a
pro se
supplemental brief filed with this court. We may, of course, "amend [a] COA to include ... [an] issue” not certified by the district court if the petitioner demonstrates "that jurists of reason could disagree with the district court's resolution of his constitutional claims or that jurists could conclude the issues presented are adequate to deserve encouragement to proceed further.”
Cotto v. Herbert,
Accordingly, in this decision, we limit our review to Burrell's Alford-based challenge.
. In
Lewis v. United States,
the Supreme Court interpreted the predecessor provision to § 922(g)(1), 18 U.S.C.App. § 1202(a)(1), which prohibited,
inter alia,
the possession of any firearm by a persоn convicted of a felony in a court of the United States or a state or political subdivision thereof.
See
Omnibus Crime Control and Safe Streets Act of 1968, Pub.L. No. 90-351, § 1202(a)(1), 82 Stat. 197, 236 (1968),
repealed by
Firearms Owners’ Protection Act, Pub.L. No. 99-308, § 104(b), 100 Stat. 449, 459 (1986);
see also
Firearms Owners’ Protection Act, § 102(6)(D),
. Indeed, Connecticut law explicitly provides that a sexual offender convicted upon an
Alford
or nolo contendere plea may be found in violation of his probation if he refuses to acknowledge the commission of his charged acts when participating in mandated sexual offender treatment.
See