SIMON HARDISON v. COMMISSIONER OF CORRECTION
(AC 35246)
Connecticut Appellate Court
August 26, 2014
Gruendel, Beach and Harper, Js.
Argued March 6
******************************************************
Thе “officially released” date that appears near the beginning of each opinion is the date the opinion will be published in the Connecticut Law Journal or the date it was released as a slip opinion. The operative date for the beginning of all time periods for filing postopinion motions and petitions for certification is the “officially released” date appearing in the opinion. In no event will any such motions be accepted before the “officially released” date.
All opinions are subject to modification and technical correction prior to official publication in the Connecticut Reports and Connecticut Appellate Reports. In the event of discrepancies between the electronic version of an opinion and the print version appearing in the Connecticut Law Journal and subsequently in the Connecticut Reports or Connecticut Appellate Reports, the latest print version is to be considered authoritative.
The syllabus and procedural history accompanying the opinion as it appears on the Commission on Official Legal Publications Electronic Bulletin Board Service and in the Connecticut Law Journal and bound volumes of official reports are copyrighted by the Secretary of the State, State of Connecticut, and may not be reproduced and distributed without the express writtеn permission of the Commission on Official Legal Publications, Judicial Branch, State of Connecticut.
******************************************************
(Appeal from Superior Court, judicial district of Tolland, Cobb,
Cameron R. Dorman, assigned counsel, for the appellant (petitioner).
Sarah Hanna, assistant state‘s attorney, with whom, on the brief, were John C. Smriga, state‘s attorney, and Nicholas J. Bove, Jr., senior assistant state‘s attorney, for the appellee (respondent).
Opinion
HARPER, J. The petitioner, Simon Hardison, appeals from the judgment of the habeas court denying his second amended petition for a writ of habeas corpus. The petitioner claims that the habeas court improperly (1) denied his motion to preclude certain testimony, and (2) concluded that his two trial attorneys provided effective assistance of counsel with respect to his decision to enter a guilty plea and to sеek a departure from a mandatory minimum sentence pursuant to
The petitioner‘s case originally was placed on the domestic violence docket before the trial court, Dooley, J. On the basis of the narcotics charges, the petitioner faced a mandatory minimum sentence of eight years incarceration. Sеe
After the case was transferred to the pretrial docket, a new prosecutor, Assistant State‘s Attorney Michael DeJoseph, assumed responsibility to prosecute the case. He reviewed all the charges and the petitioner‘s criminal record. He offered the defendant a plea bargain agreement in which he would serve a total effective sentence of seven years incarceration, execution suspended after twenty-five months, followed by three years of probation.4
Both Kretzmer and Berke presented arguments during the sentencing hearing, asking Judge Iannotti to depart from the mandatory minimum sentence. Before the court resumed the hearing after its lunch recess, Judge Iannotti spoke to Kretzmer, Berke, and DeJoseph. He indicated that, based on the presentence investigation report
The attorneys advised the petitioner that Judge Iannotti indicated that he was not inclined to depart from the mandatory minimum sentence of eight years, but that DeJoseph had offered not to object to a total effective sentence of ten years, execution suspended after five years, followed by five years of probation. Under this offer, the petitioner‘s sentence would be suspended three years earlier than under the mandatory minimum sentence that Judge Iannotti said he was inclined to impose.7 The petitioner, after consulting with Kretzmer and Berke, chose to accept the state‘s offer. Thereafter, the court sentenced the petitioner to a total effective sentence оf ten years incarceration, execution suspended after five years, followed by five years of probation.
On September 6, 2012, the petitioner filed a second amended petition for a writ of habeas corpus alleging that “counsel‘s failures to adequately advise the petitioner as to the plea offer of seven years suspended after twenty-five months and the consequences of rejecting that offer and entering an open plea” violated his constitutional right to effective assistance of counsel. Specifically, the petitioner alleged that he never had been apprised of the mandatory minimum sentence. Had he been advised properly by counsel, according to the petitioner, he would have accepted the state‘s offer. The habeas court concluded that Kretzmer and Berke communicated the state‘s plea bargain offers to the petitioner, that he had been informed that there was an eight year mandatory minimum sentence, and that he was advised of the risks associated with rejecting the state‘s offers and seeking a departure under
On appeal, the petitioner claims that the habeas court improperly (1) allowed Kretzmer to testify because (A) he did not waive the attorney-client privilege, and (B) portions of her testimony violated the prohibition on hearsay testimony; and (2) concluded that both Kretzmer‘s and Berke‘s representation did not fall below an objective standard of reasonableness, and also that he did not suffer prejudice. We conclude that the testimony was admitted
I
The petitioner claims that the habeas court improperly allowed Kretzmer to testify. This claim is based on two grounds. First, the petitioner argues that the court improperly found that he waived the attorney-client privilege by putting Kretzmer‘s communications with him at issue. He reasons that, because Kretzmer was his attorney only for purposes of the disorderly conduct charge and not any of the narcotics charges that gave rise to the mandatory minimum sentence, his second amended petition for a writ of habeas corpus raised only a claim of ineffective assistance of counsel against Berke. As a result, the petitioner claims that he has not put any of his communications with Kretzmer at issue. Second, the petitioner claims that the court improperly allowed Kretzmer to testify regarding Berke‘s statements to the petitioner because the testimony is inadmissible hearsay. We conclude that the habeas court did not err in admitting Kretzmer‘s testimony.
A
The petitioner claims that the court improperly concluded that he implicitly waived the attorney-client рrivilege with respect to his communications with Kretzmer. “We begin by stating our standard of review. Whether the trial court properly concluded that there is an exception to the attorney-client privilege . . . and, if so, whether it properly delineated the scope and contours of such an exception, are questions of law. . . . Accordingly, our review of [the issue] is plenary. . . .
“[Our Supreme Court has] recognized that the attorney-client privilege was created to encourage full and frank communication between attorneys and their clients and thereby promote broader public interests in the observation of law and the administration of justice. . . . Excеptions to the attorney-client privilege should be made only when the reason for disclosure outweighs the potential chilling of essential communications. . . .
“[The Supreme Court] also [has] recognized . . . that the attorney-client privilege implicitly is waived when the holder of the privilege has placed the privileged communications in issue. . . . [B]ecause of the important public policy considerations that necessitated the creation of the attorney-client privilege [however], the at issue, or implied waiver, exception is invoked only when the contents of the legal advice is integral to the outcome of the legal claims of the action. . . . Such is the case when a party specifically pleads reliance on an attorney‘s advice as an element of a claim or defense, voluntarily testifies regarding portions of the attorney-client communication, or specifically places at issue, in some other manner, the attorney-client relationship. In those instances the party has waived the right to confidentiality by placing the content of the attorney‘s advice directly at issue because the issue cannot be determined without an examination of that advice.” (Citations omitted; emphasis in original; internal quotation marks omitted.) Cox v. Burdick, 98 Conn. App. 167, 171–72, 907 A.2d 1282, cert. denied, 280 Conn. 951, 912 A.2d 482 (2006).
The petitioner reasons that, beсause Kretzmer did not represent him on the narcotics charges, his communications with her were not at issue for purposes of his ineffective assistance claim, and, therefore, he did not implicitly waive the attorney-client privilege. We disagree. To begin, the petitioner‘s second amended petition for a writ of habeas corpus stated
Furthermore, Kretzmer‘s statements are at issue because, as demonstrated by the testimony at the habeas trial, she and Berke both actively participated in the petitioner‘s plea negotiations and sentencing. Kretzmer and Berke informed the court, both when the petitioner pleaded guilty and at the sentencing hearing, that they represented the petitioner. The two attorneys advised the petitioner collaboratively with respect to the plea offers that encompassed both the disorderly conduct charge and the narcotics charges. Both Kretzmer and Berke engaged in group discussions with the petitioner, advocated before the sentencing court, and discussed with him Judge Iannotti‘s candid remarks at the sentencing hearing. Referring in part to the mandatory minimum sentence, Judge Iannotti asked the petitioner before accepting his plea, “[Y]ou discussed all of those issues . . . with your lawyers?” (Emphasis added.) The petitioner responded that he did. Judge Iannotti also confirmed before he sentenced the petitioner that the petitioner “[had] time to consult with [his] lawyers . . . .” (Emphasis added.)
We conclude that the petitioner put Kretzmer‘s statements at issue and cannot now claim that they are protected by the attorney-client privilege. Kretzmer and Berke both advised the petitioner and represented him during the plea bargaining process and before the sentencing court. The court confirmed that the petitioner had consulted with his attorneys before accepting the state‘s subsequent offer and entering a plea. Assuming the petition for a writ of habeas corpus was more specific, and only claimed that Berke was ineffective, Kret-zmer‘s statements would still be at issue when determining whether Berke adequately advised the petitioner. Because the attorneys advised the petitioner collaboratively, the statements of one attorney directly influence whether the other attorney‘s advice was adequate. For example, if during group discussions Kretzmer had advised the petitioner that he faced an eight year mandatory minimum sentence, that statement would be relevant as to whether Berke was ineffective by failing to so advise. See White v. Commissioner of Correction, 145 Conn. App. 834, 841, 77 A.3d 832 (deficient performance depends on surrounding circumstances at trial), cert. denied, 310 Conn. 947, 80 A.3d 906 (2013). We conclude that the petitioner has waived the attorney-client privilege because the issues raised in his petition cannot be determined without examining Kretzmer‘s advice, and, therefore, the habeas court did not err in denying the motion in limine to preclude her testimony. See Cox v. Burdick, supra, 98 Conn. App. 173.
B
The petitioner also claims that the habeas court improperly allowed Kretzmer to testify as to Berke‘s out-of-court statements in violation of the prohibition on
“To the extent [that] a trial court‘s admission of evidence is based on an interpretation of the Code of Evidence, our standard of review is plenary. For example, whether a challenged statement properly may be classified as hearsay . . . [is a] legal [question] demanding plenary review.” (Internal quotation marks omitted.) State v. Miguel C., 305 Conn. 562, 571, 46 A.3d 126 (2012). “Hеarsay is an out-of-court statement offered to prove the truth of the matter asserted and is generally inadmissible . . . .” State v. Calderon, 82 Conn. App. 315, 321, 844 A.2d 866, cert. denied, 270 Conn. 905, 853 A.2d 523, cert. denied, 543 U.S. 982, 125 S. Ct. 487, 160 L. Ed. 2d 361 (2004). “If such a statement [however] is offered for a purpose other than establishing the truth of the matters contained in the statement, it is not hearsay.” (Internal quotation marks omitted.) Id., 323.
We conclude that Kretzmer‘s testimony was not hearsay because, to the extent that she was summarizing Burke‘s out-of-court statements, those statements were not offered for the truth of the matter asserted therein. The petitioner alleged that he was not made aware of the mandatory minimum sentence prior to rejecting the state‘s plea offer, and that he was prоvided with “unreasonable advice.” In so far as Kretzmer summarized Burke‘s out-of-court statements, that testimony was relevant to show that the statements were made, not that the statements made were true. As such, her testimony was not hearsay. See State v. Calderon, supra, 82 Conn. App. 323; see also Warner v. Warner, 124 Conn. 625, 638, 1 A.2d 911 (1938) (plaintiff‘s testimony regarding attorney‘s statements admissible “to show what that advice was for the purpose of proving [whether] she followed it as she alleged“). Furthermore, even if Kretzmer‘s testimony was inadmissible hearsay, any error in admitting that testimony was harmless because it was merely cumulative of Berke‘s properly admitted testimony. See State v. Dehaney, 261 Conn. 336, 364–65, 803 A.2d 267 (2002), cert. denied, 537 U.S. 1217, 123 S. Ct. 1318, 154 L. Ed. 2d 1070 (2003). For the foregoing reasons, we conclude that the habeas court did not err in admitting Kretzmer‘s testimоny.
II
The petitioner‘s final claim is that the habeas court improperly concluded that Kretzmer and Berke provided effective assistance as his trial attorneys with respect to advising him regarding the state‘s plea offer and his decision to seek a departure from the mandatory minimum sentence.9 He specifically claims that
“We begin by setting forth the applicable standard of review and the law governing ineffective assistance of counsel claims. The habeas court is afforded broad discretion in making its factual findings, and those findings will not be disturbed unless they are clearly erroneous.” (Internal quotation marks omitted.) Vazquez v. Commissioner of Correction, 123 Conn. App. 424, 435, 1 A.3d 1242 (2010), cert. denied, 302 Conn. 901, 23 A.3d 1241 (2011).10 “[T]he habeas judge, as the trier of facts, is the sole arbiter of the credibility of witnesses and the weight to be given to their testimony. . . . The application of the habeas court‘s factual findings to the pertinent legal standard, however, presents a mixed question of law and fact, which is subject to plenary review.” (Citation omitted; internal quotation marks omitted.) Gaines v. Commissioner of Correction, 306 Conn. 664, 677, 51 A.3d 948 (2012).
“A criminal defendant is constitutionally entitled to adequate and effective assistance of counsel at all critical stages of criminаl proceedings. . . . This right arises under the sixth and fourteenth amendments to the United States constitution and article first, § 8, of the Connecticut constitution. . . . It is axiomatic that the right to counsel is the right to the effective assistance of counsel. . . . A claim of ineffective assistance of counsel consists of two components: a performance prong and a prejudice prong. To satisfy the performance prong . . . the petitioner must demonstrate that his attorney‘s representation was not reasonably competent or within the range of competence displayed by lawyers with ordinary training and skill in the criminal law. . . . To satisfy the prejudice prong, a clаimant must demonstrate that there is a reasonable probability that, but for counsel‘s unprofessional errors, the result of the proceeding would have been different. . . . The claim will succeed only if both prongs are satisfied.” (Citations omitted; internal quotation marks omitted.) Vazquez v. Commissioner of Correction, supra, 123 Conn. App. 435–36.
The petitioner claims that his trial counsel were ineffective with respect to his decision to reject the state‘s plea offer and to enter a guilty plea. Regarding claims related to a petitioner‘s decision to plead guilty, “[o]n the one hand, defense counsel must give the client the benefit of counsel‘s professional advice on this crucial decision of whether to plеad guilty. . . . As part of this advice, counsel must communicate to the defendant the
The petitioner specifically claims that Kretzmer and Berke were ineffective because they failed to advise him effectively regarding his chance of successfully pursuing a departure from the mandatory minimum sentence pursuant to
The habeas court credited both Kretzmer‘s and Berke‘s testimony that they advised him of the risks of pleading guilty and pursuing a departure under
Furthermore, the petitioner provided no evidence that pursuing a departure from the mandatory minimum sentence under
The judgment is affirmed.
In this opinion the other judges concurred.
