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
18 U.S.C. § 922(g)(1);
United States v. Burrell,
No. 93-CR-319 (E.D.N.Y. Sept. 6, 1995), now appeals from that same court’s judgment entered August 22, 2002, denying his motion to vacate his 1995 conviction pursuant to 28 U.S.C. § 2255,
see Burrell v. United States,
No. 97-CV-7358 (SJ),
Burrell submits that his conviction should be vacated because he is actually innocent of the § 922(g)(1) conviction. Specifically, he submits that the Connecticut judgment relied on by the prosecution to establish the requisite predicate felony was based on a guilty plea entered pursuant to
North Carolina v. Alford,
Background
1. The Connecticut Alford Plea
On August 8, 1990, Andrew Burrell pleaded guilty in Connecticut Superior Court for Fairfield County to charges of *25 third-degree assault in violation of Conn.' Gen.Stat. § 53a-61, and possession of a weapon in a motor vehicle in violation of Conn. Gen.Stat. § 29-38. See Trans, of Plea Proceeding, at 3, State v. Burrell, Nos. CR90-52481, CR90-52482 (Cоnn.Super.Ct. Aug. 8, 1990). Burrell’s counsel specified on the record that the pleas were entered pursuant to the “Alford Doctrine.” Id. During the colloquy, the court recited the facts alleged by the state:
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 § 922(g)(1) Conviction
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 firearms crimes, Stennett pleaded guilty soon after jury selеction, 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 18 U.S.C. § 922(g)(1), on which it found him guilty.
After a number.of adjournments, Bur-rell was sentenced on August 30, 1995, to the maximum ten-year term of incarceration applicable to § 922(g)(1) violations. See 18 U.S.C. § 924(a)(2). 3 This court affirmed Burrell’s conviction and sentence by summary order dated May 6, 1996. See United States v. Burrell, No. 95-1520, 1996 U.S.App. LEXIS 10447, at *1 (2d Cir. May 6,1996).
III. Burrell’s § 2255 Challenge to His Federal Conviction
On December 6, 1997, Burrell moved to vacate his federal conviction pursuant to 28 U.S.C. § 2255 on the ground that his .trial counsel was constitutionally ineffective.
See Burrell v. United States,
By order dated March 19, 2002, the district court assigned Burrell new сounsel 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 § 922(g)(1); and (2) concluded that Burrell’s
Apprendi
challenge was barred by
Teague v. Lane,
*27 Discussion
I. Standard of Review
This court reviews the district court’s denial of a § 2255 motion
de novo. See Kaminski v. United States,
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 18 U.S.C. § 922(g) states, in pertinent part: “It shall be unlawful for any person — (1) who has been convicted in any court of, a crime punishable by imprisonment for a term exceeding one year ... to ... possess ... any firearm or ammunition As the Supreme Court has explаined, this proscription was.one of several measures enacted by Congress to “prohibit[ ] categories of presumptively dangerous persons” from possessing firearms.
Lewis v. United States,
Within our federal system, questions may arise as to exactly what constitutes a felony conviction for purposes of § 922(g)(1). Congress has decreed that the answer “shall be determined in accordance with the law of the jurisdiction in which [the prior criminal] proceedings [against the defendant] were held.” 18 U.S.C. § 921(a)(20). Thus, in considering Burrell’s claim that no vаlid predicate felony conviction supports his § 922(g)(1) judgment, we look to the law of Connecticut, the state where he pleaded in 1990 to assault and weapons charges.
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 judgmеnt of conviction. This is because state law expressly provides 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 pleаs on the other, it is not in the fact of conviction, 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 оf 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
*30
Systems, Inc.,
that nolo contendere pleas “indubitably ... admit the [charged] facts and [are] intended to do so,”
Our conclusion that Connecticut’s admission limitation does not alter the fact that an
Alford
or nolo contendere plea results in a criminal cоnviction 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
*31
gered the exclusion.”
The same logic pertains here. The conviction predicate for 18 U.S.C. § 922(g)(1) is not concerned with the conduct at. issue in a felony conviction but only with the fact that such a conviction is on the record at the time of the alleged firearms possession. Where that fact is established, it does not matter whether the defendant did or did not admit the charged conduct; “the conviction cannot be disregarded as if it did not happen.” Indeed, as already noted, that conclusion pertains even if the record conviction is subsequently vacated.
See Lewis v. United States,
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 argument that this sоmehow 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 § 922(g)(1).
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 18 U.S.C. § 922(g)(1). Accordingly, the district court’s order' of August 22, 2002, denying Burrell’s § 2255 motion to vacate that conviction is hereby AFFIRMED and our order staying Burrell’s deportation is hereby lifted.
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 Conn. Gen.Stat. § 54 — lj (requiring court to advise defendant of the immigration consequences of his plea).
. Despite the district court's failure to award a certificatе 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 person convicted of a felony in a cоurt 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
Conn. Gen.Stat. § 53a-32a. The Connecticut Supreme Court recently clarified that revocation of probation in such circumstances is not “inconsistent with [a] guilty plea under the
Alford
doctrine.”
See State v. Faraday,
