211 Conn. 398 | Conn. | 1989
The principal issue in this appeal is whether the petitioner has established that his conviction of the crime of first degree robbery should be overturned because of ineffective assistance of counsel. A jury found the petitioner, Harvey K. Fair, guilty of first degree robbery, in violation of General Statutes §§ 53a-8 and 53a-134 (a) (3),
The relevant facts can be summarized as follows. At about 4 a.m. on December 24, 1983, Anthony O’Neil walked into a New Haven convenience store and asked the clerk for a candy bar. Upon directing O’Neil toward the candy, the clerk noticed the petitioner “sneaking” around outside the door. O’Neil then began hitting the clerk on the head with a hard narrow metal object. The clerk momentarily lost consciousness and fell to the floor. The petitioner had by then entered the store, where he observed that O’Neil had struck the clerk, and yet the petitioner offered the clerk no assistance. Neither O’Neil nor the petitioner could open the cash register, and therefore the clerk was ordered to do so.
The petitioner then brought an action in the Superior Court against the respondent, warden of the state prison, seeking a writ of habeas corpus. He claimed, inter alia,
After a three day hearing, the habeas court denied the petition,
I
“A convicted defendant’s claim that counsel’s assistance was so defective as to require reversal of a conviction . . . has two components. First, the defendant must show that counsel’s performance was deficient. . . . Second, the defendant must show that the deficient performance prejudiced the defense. . . . Unless a defendant makes both showings, it cannot be said that the conviction . . . resulted from a breakdown in the adversary process that renders the result unreliable.” Strickland v. Washington, 466 U.S. 668, 687, 104 S. Ct. 2052, 80 L. Ed. 2d 674, reh. denied, 467 U.S. 1267,104 S. Ct. 3562, 82 L. Ed. 2d 864 (1984); Aillon v. Meachum, 211 Conn. 352, 357, 559 A.2d 200 (1989).
A
The petitioner first claims that trial counsel rendered ineffective assistance in failing to request that the trial court charge the jury on larceny, a lesser included offense of robbery. He contends that, while he admittedly participated in taking the money, he did not intend or plan O’Neil’s use of force in the theft, and therefore the jury could reasonably have found him guilty of larceny instead of robbery. The petitioner so testified both at trial and at the habeas hearing.
We agree with the petitioner that evidence is sufficiently in dispute if “ ‘reasonable minds could differ upon the existence or nonexistence of the element that distinguishes the inclusive from the included offense.’ ” State v. Manley, 195 Conn. 567, 575, 489 A.2d 1024 (1985); see also State v. Green, 207 Conn. 1, 14, 540 A.2d 659 (1988). We therefore assume, without deciding, that on these facts, had trial counsel requested an instruction on the lesser included offense of larceny, the trial court would have had so to instruct the jury. We do not agree, however, that trial counsel’s failure to request such a charge amounts per se to a demonstration that “counsel’s performance was deficient,” thus fulfilling the first prong of Strickland.
Establishing that counsel’s performance was deficient “requires showing that counsel made errors so serious that counsel was not functioning as the ‘counsel’ guaranteed the defendant by the Sixth Amendment.” Strickland v. Washington, supra, 687. To demonstrate this “the defendant must show that counsel’s representation fell below an objective standard of reasonableness.” Id., 687-88. “In any case presenting an ineffectiveness claim, the performance inquiry must be whether counsel’s assistance was reasonable considering all the circumstances.” Id., 688. “Judicial scrutiny of counsel’s performance must be highly deferential,” and courts “must indulge a strong presumption that counsel’s conduct falls within the wide range of reasonable professional assistance; that is, the
A majority of jurisdictions addressing the issue have held that counsel’s failure to request a lesser included offense instruction does not necessarily deprive a defendant of reasonably effective assistance of counsel. See, e.g., Kubat v. Thieret, 867 F.2d 351, 364-65 (7th Cir. 1989); United States v. Hall, 843 F.2d 408, 413 (10th Cir. 1988); Woratzeck v. Ricketts, 820 F.2d 1450,1455 (9th. Cir. 1987); Pride v. State, 285 Ark. 89, 91, 684 S.W.2d 819 (1985); Young v. State, 482 N.E.2d 246, 251 (Ind. 1985); Morgan v. State, 384 N.W.2d 458, 460-61 (Minn. 1986); Codianna v. Morris, 660 P.2d 1101,1113 (Utah 1983). It may be sound trial strategy not to request a lesser included offense instruction, hoping that the jury will simply return a not guilty verdict. See, e.g., State v. Asherman, 193 Conn. 695, 729, 478 A.2d 227 (1984), cert. denied, 470 U.S. 1050, 105 S. Ct. 1749, 84 L. Ed. 2d 814 (1985) (defendant objected to trial court charging the jury on lesser included offense).
Trial counsel also testified at the habeas hearing that he did not pursue a lesser included offense instruction because he believed there was overwhelming evidence
The petitioner’s entire case at trial consisted of such a plea for sympathy. By his own demand, the petitioner took the stand, testifying about his prior convictions, his recent unemployment and a recent death in his family. He also testified that on the night of the incident, the day before Christmas, he and O’Neil had been sniffing cocaine and that he had become “depressed,” “angry,” “confused” and “desperate,” worrying about his inability to buy Christmas presents for his children or his fiancee.
The petitioner also testified that after his arrest, he had exchanged angry words with Judge Kinney at a pretrial hearing and, upon returning to his cell, “was angered and confused and afraid.” He stated that he had escaped “out of despair.” When a cellmate presented him with an opportunity to escape, he first said no, but then “I kept thinking about all the things I was going through, so I said yeah.” Only cross-examination by the state elicited from the petitioner any specifics about the crime itself, while his own case simply focused on mustering sympathy.
Further, even were we to conclude that trial counsel’s assistance was so ineffective and flawed as to have deprived the petitioner of “counsel guaranteed by the sixth amendment,” the petitioner has not met his burden of proving prejudice under the second prong of
The petitioner claims that trial counsel’s alleged ineffectiveness prejudiced him in that the jury never considered the issue of whether he committed only larceny rather than robbery. He argues that because he did not himself use physical force, and had not entered into a plan with O’Neil to use force in stealing the money, the jury could reasonably have concluded that he did not have the intent necessary to commit robbery.
The petitioner’s argument lacks persuasiveness for at least two reasons. First, the evidence concerning his lack of intent to use force during the incident came only from the petitioner himself.
B
The petitioner also claims that trial counsel’s statements to the jury during closing argument deprived him of effective assistance of counsel. During closing argument, trial counsel allegedly told the jury there was not much question on the robbery charge because the petitioner had admitted his involvement in the robbery.
“[A] court need not determine whether counsel’s performance was deficient before examining the prejudice suffered by the defendant as a result of the alleged deficiencies. . . . If it is easier to dispose of an ineffectiveness claim on the ground of lack of sufficient prejudice . . . that course should be followed.” Strickland v. Washington, supra, 697; Aillon v. Meachum, supra, 362. We need not decide whether trial counsel’s statements during closing argument fell below the standard of “reasonably effective assistance” because, as we concluded in part IA above, the petitioner has not sufficiently proven that the alleged deficient performance prejudiced him such that he deserves a new trial. Even if we were to agree with the petitioner that the jury could have believed that he did not anticipate O’Neil’s use of force, the overwhelming and uncontradicted evidence regarding the petitioner’s actions after O’Neil’s attack on the clerk suffice to support a robbery conviction.
II
Finally, the petitioner claims that the actions of the habeas court at his hearing deprived him of his constitutional right to a fair trial on his claim of ineffective assistance of counsel. U.S. Const., amend. XIV; Conn. Const., art. I, § 8. The petitioner moved to disqualify the judge presiding at his habeas hearing because the judge’s “impartiality might reasonably be
On appeal the petitioner cites six specific comments or actions of the habeas court that he claims deprived him of a fair hearing by creating the appearance of impropriety: (1) stating that the petitioner was not being completely truthful; (2) failing to rule on an objection and interrupting the petitioner’s counsel; (3) commenting on the fact that the state was spending three days to afford the petitioner a fair hearing; (4) refusing to allow counsel to speak on the record; (5) acting as a partisan guarding trial counsel’s interest; and (6) inquiring of habeas counsel during an in-chambers discussion whether the public defender’s office could withdraw from “frivolous” habeas cases. The first four of these actions relate to a heated colloquy during the state’s cross-examination of the petitioner regarding certain representations he had made at his trial about a pretrial hearing.
While the trial court might have expressed its views with greater circumspection during this heated and frustrating exchange, we conclude that the record does not indicate that the petitioner did not receive a fair hearing. The court did not express any opinion about the ultimate guilt or innocence of the petitioner in this case and instead confined its remarks to the petitioner’s apparent memory lapse. The court’s comments did not purport to prejudge the ultimate issue in the case: whether the petitioner had received effective assistance of counsel at trial. Absent a clear showing of prejudice relevant to the habeas court’s determination of that issue, we will not overturn the court’s judgment. See State v. Fullwood, supra, 581.
As to the remaining claims, we likewise conclude that the petitioner suffered no prejudice. He contends that
Finally, the petitioner contends that the habeas court demonstrated its bias when, during an in-chambers discussion, it inquired of his habeas counsel whether there was a mechanism whereby public defenders could withdraw their appearances from “frivolous” habeas cases. The petitioner argues that this inquiry demonstrates the court’s predisposition to view his claim as frivolous. We disagree. Without any evidence that the habeas court’s comments were directed to this particular case, we must accept the court’s subsequent explanation that it had made a general inquiry to inform itself about the applicable ground rules for other habeas cases the court
There is no error.
In this opinion the other justices concurred.
General Statutes § 53a-8 provides: “A person, acting with the mental state required for commission of an offense, who solicits, requests, commands, importunes or intentionally aids another person to engage in conduct which constitutes an offense shall be criminally liable for such conduct and may be prosecuted and punished as if he were the principal offender.”
General Statutes § 53a-134 (a) (3) provides: “A person is guilty of robbery in the first degree when, in the course of the commission of the crime
General Statutes § 53a-133 defines the commission of a robbery as “when, in the course of committing a larceny, [a person] uses or threatens the immediate use of physical force upon another person for the purpose of: (1) Preventing or overcoming resistance to the taking of the property or to the retention thereof immediately after the taking; or (2) compelling the owner of such property or another person to deliver up the property or to engage in other conduct which aids in the commission of the larceny.”
General Statutes § 53a-171 provides: “(a) A person is guilty of escape from custody if he escapes from custody.
“(b) If a person has been arrested for, charged with or convicted of a felony, escape from such custody is a class C felony, otherwise, escape from custody is a class A misdemeanor.”
The record is unclear as to who actually ordered the clerk to open the register: O’Neil, the petitioner or both.
In his revised amended petition, the petitioner raised thirty-five claims of trial counsel’s ineffective assistance. He briefed only six of those claims to the habeas court and has appealed the court’s ruling on only two of those six.
The habeas court found that the petitioner had not deliberately bypassed a direct appeal, and therefore had standing to file the habeas petition. See State v. Rivera, 196 Conn. 567, 570-72, 494 A.2d 570 (1985).
At trial the petitioner testified that he and O’Neil had not planned to assault the clerk, but that O’Neil had “just bugged out or flipped out or something.” At the habeas hearing, he testified that he had informed trial counsel that he and O’Neil had planned the incident as a “shoplifting” and that he did not foresee O’Neil’s use of force on the clerk.
We recognize that there may be a more limited justification for such a strategy in cases such as the present one in which the petitioner did not at trial allege his total innocence of all the crimes with which he had been charged. Nonetheless, trial counsel in this case might reasonably have concluded that such a strategy was appropriate in order to maximize the possibility that the jury, feeling sympathetic toward the petitioner, might have acquitted him of one of the two charges that he faced.
Trial counsel testified at the habeas hearing: “I had concluded fairly early on that he had virtually no hope of winning, of beating the Robbery charge so to speak. But there was a certain sympathy to his story of how things happened, his hard luck, and he was not an entirely unappealing person as a personality. He has a certain method of being able to articulate the dilemma he found himself in. I strongly recommended that he take the bargain that the State had offered, but it was clear early on that he’d already been down that road and had decided against it. He wanted a trial; not only that, he wanted to testify. I indicated to Mm that I was as sure as I could be that he was going to be convicted, at least of the Robbery, and if the jury adhered to their oath and the evidence that I was aware of, that they were going to convict Mm of both and that he’d probably be facing a much stiffer penalty. I think Ms feeling was, at least it appeared to me, that if he were able to get up and explain to the jury just how wretched his circumstances were and how bad his luck was that he might be able to possibly with the best of luck that he might be able to convince them maybe on the Escape charge that it really wasn’t willful in that there were a lot of other things, and they might let him off on that; that was my thinking, and I communicated that to Mm that, you know, the best you could hope for, and I held out a very slim hope that maybe they will let you off on the Escape charge, but you go into this thing with the idea in mind that you’re going to be convicted on both.”
Trial counsel testified at the habeas hearing as follows:
“Q. . . . You’ve described the defense at the time of trial as basically attempting to evoke sympathy and allow the jury to understand the stresses or pressures that the defendant was under. Is that true?
“A. That’s true.
“Q. Is it fair to say that’s also a form of a nonstatutory defense?
“A. Well one could say that. It certainly is not recognized as such; in fact, it flies counter to the juror’s oath, but obviously in a bad case, if that’s all you have, that’s all you have.”
The petitioner made a statement to the trial court just before his sentencing emphasizing many of the same factors that he had testified to at trial. He focused on his unemployment, his stress and his use of drugs, as well as the fact that his escape was an impulsive act influenced by his exchange with Judge Kinney.
Detective Douglas MacDonald of the New Haven police department did testify that the petitioner, after his escape and return to custody, was upset that he was facing so much prison time because he had planned the episode as a “shoplifting,” and only O’Neil had actually used violence. This testimony only duplicates the petitioner’s own version of the incident.
The petitioner’s counsel on this appeal even admitted at oral argument that the jury could have reasonably so found. In fact, at the habeas hearing, trial counsel testified that the petitioner’s failure to withdraw from the crime made it fruitless to pursue a lesser included offense charge. He stated: “[I]t was also clear that he was, during and after the assault, a willing participant in the robbery based upon the videotape so I did not see that we were going to make any points along that line in trying to establish that . . . because there was no evidence of abandonment . . . once . . . he found out that O’Neil had this weapon . . . . ”
We are hampered in our review of this claim in that the petitioner’s closing argument at trial was not recorded or transcribed. Trial counsel
In cross-examining the petitioner at the habeas hearing, the prosecutor asked the petitioner whether a portion of his testimony was accurate. The petitioner answered, “Yeah, according to that [transcript], yes.” The prosecutor then asked him whether he was implying that the transcript was inaccurate. The colloquy continued as follows:
“Q. I see. So do you disagree with this answer in a certified transcript of your trial? Do you disagree with this answer on page 316?
“A. I don’t— it was four years ago.
“Q. Do you disagree with this answer? Yes or no.
“Ms. Pieszak: Objection, Your Honor. Counsel is badgering the witness. I’d like a ruling on my objection.
“Mr. Devlin: Your Honor, I’m asking the witness whether he disagrees—
“Ms. Pieszak: Shouting at the witness—
“The Court: Now just a minute please. Just a minute please calm down. Just calm down.
“Ms. Pieszak: I’m perfectly calm. He’s shouting at the witness.
“The Court: Maybe the witness deserved to be shouted at.
“Ms. Pieszak: Your Honor—
“The Court: Maybe the witness is playing a little game with the court which the court will not tolerate. The court has been very patient with the
“Ms. Pieszak: I would be happy to take a recess at this moment, Your Honor. However I would like to point out I believe the record will indicate the witness did not say he believed that was inaccurate; he said truthfully, he believes it is possible for a Court Reporter—
“The Court: I don’t appreciate this type of game playing.
“Ms. Pieszak: Your Honor—
“The Court: The State of Connecticut is spending three days on this matter and giving this gentleman every possible latitude on his claims, and—
“Ms. Pieszak: Your Honor—
“The Court: I’m trying to be very patient, but I will not tolerate monkey business in this courtroom. Now let’s continue with the examination.
“Mr. Devlin: Yes, Your Honor.
“Ms. Pieszak: Your Honor, may I be heard for the record?
“The Court: Regarding what?
“Ms. Pieszak: Regarding Your Honor’s comments indicating you believe the defendant is playing some sort of game here. I would like to state for the record I believe those comments are inappropriate. I believe they indicate a lack of impartiality toward my client, and I take exception to those comments.
“The Court: You may take exception.”
Although the court’s comments were not recorded, the petitioner claims that the respondent’s attorney told the judge that he believed he did not need to examine trial counsel further in light of the petitioner’s testimony. The habeas court then advised the attorney to reserve the right to recall trial counsel to respond to the petitioner’s expert witness, an attorney who would testify that trial counsel’s actions fell below the standard of reasonable competence.
In ruling on the petitioner’s motion to disqualify, the habeas court stated: “[T]he court sat and listened to what the court considers a very competent attorney, Mr. Avitabile, testify approximately for an hour and fifteen minutes on things that Mr. Kelly either failed to do or should have done differently, and the court felt that in order to search out the truth and to be able to make a proper decision that certainly it would be appropriate to hear from Mr. Kelly. ... I need all of the opinion and all of the evidence that I can possibly get and that was why I suggested to counsel at the conclusion of the day that it would be appropriate for Mr. Kelly to come back.”
The habeas court stated: “[Cjertainly all counsel and the court understand that there was no reference made to this case whatsoever and that the court was making general inquiries as to whether or not the Chief Public Defender’s Office had in fact any leeway in taking cases. This was a matter that was not known to the court and since we do habeas work at this courthouse, I was interested in the procedures since I hope to be doing this type of work in the future. ... I certainly do not regard this as a frivolous case and that was not the intention of the in-chambers conference.”