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STATE OF CONNECTICUT v . SETH WILLIAM APT
(SC 19266) Rogers, C. J., and Palmer, Zarella, Eveleigh, McDonald, Robinson and Mullins, Js.* Argued January 13—officially released November 10, 2015 Melissa Patterson , assistant state’s attorney, with whom, on the brief, were Matthew C. Gedansky , state’s attorney, and Charles W. Johnson , assistant state’s attorney, for the appellant (state).
Adele V. Patterson , senior assistant public defender, for the appellee (defendant).
Opinion PALMER, J. General Statutes § 54-142a [1] mandates the erasure of records pertaining to certain charges that do not lead to a conviction and further provides that, when such records are erased, the person charged shall be deemed to have never been arrested with respect to the erased proceedings. See General Statutes § 54- 142a (e) (3). General Statutes § 53a-40b [2] provides that a trial court may enhance the sentence of a defendant who, while on pretrial release following an arrest for another offense, commits the crime for which the sen- tence is imposed. The dispositive issue in this certified appeal is whether the erasure provisions of § 54-142a preclude a trial court from enhancing a defendant’s sentence pursuant to § 53a-40b after the records per- taining to the charges for which the defendant was on pretrial release have been erased. We conclude that, although the state may not use the erased records to prove the basis for the sentence enhancement under § 53a-40b, the erasure provisions of § 54-142a do not prohibit the imposition of a sentence enhancement in such circumstances.
A jury found the defendant, Seth William Apt, guilty
of larceny in the third degree in violation of General
Statutes § 53a-124 (a) (2),
[3]
and the state sought to have
the defendant’s sentence enhanced under § 53a-40b
because the defendant had committed the larceny while
he was released on bond following a number of previous
arrests for various offenses. Prior to the hearing on
the sentence enhancement, the records relating to the
defendant’s previous arrests had been erased in accor-
dance with § 54-142a. Nevertheless, the trial court
allowed the state to introduce those records into evi-
dence to prove the factual basis for the enhancement
under § 53a-40b and then relied on those records in
finding that the defendant had committed the larceny
while he was on pretrial release. The defendant
appealed from the trial court’s judgment to the Appel-
late Court, which concluded that the trial court improp-
erly had permitted the state to introduce the erased
records into evidence and, further, that the state could
not seek to establish the basis for the sentence enhance-
ment on remand because a trial court lacks the authority
to impose such an enhancement when the records relat-
ing to the arrest that led to the defendant’s release have
been erased pursuant to § 54-142a.
State
v.
Apt
, 146
Conn. App. 641, 643, 650,
The record reveals the following relevant facts and procedural history. Prior to the incident that gave rise to this appeal, the defendant was arrested in three sepa- rate cases on three separate dates, namely, September 10, 2007, December 19, 2008, and January 16, 2009. The defendant was released on bond following all three arrests. In addition, following the September 10, 2007 arrest, the defendant applied for accelerated pretrial rehabilitation pursuant to General Statutes § 54-56e, [5] which the court, Ward , J. , granted.
On November 20, 2009, the defendant committed the larceny at issue in the present case, and he was arrested for that offense on March 31, 2010. On May 7, 2010, prior to trial on the larceny charge, the defendant was found to have successfully completed his program of accelerated rehabilitation in the case stemming from his September 10, 2007 arrest, and the charges in that case were dismissed. Consequently, the records relating to that arrest were erased in accordance with General Statutes §§ 54-56e (f) and 54-142a. On May 7, 2010, the state also entered a nolle prosequi on the charges brought in connection with the December 19, 2008 and January 16, 2009 arrests.
On May 6, 2011, following a trial, the jury found the defendant guilty of larceny in the third degree. Prior to trial, the state had notified the court that it intended to seek a sentence enhancement under § 53a-40b. Because the defendant had filed a written objection to the enhancement, the parties agreed to postpone the hear- ing on the enhancement to a later date so that the court and the state could review the defendant’s objection. On June 7, 2011, prior to the hearing on the enhance- ment, the records relating to the defendant’s December 19, 2008 and January 16, 2009 arrests were erased in accordance with § 54-142a (c) (1); see footnote 1 of this opinion; because thirteen months had passed since the state nolled the charges brought in connection with those arrests.
On June 24, 2011, the trial court held a sentencing hearing at which the state sought to prove, pursuant to § 53a-40b, that the defendant had committed the larceny while he was released on bond. To that end, the state introduced into evidence the informations from the defendant’s three previous cases that had been subject to erasure, as well as an appearance bond form from one of those cases. Defense counsel objected to the enhancement, arguing, first, that the defendant had a right to a jury determination of whether he had commit- ted the larceny while he was released on bond and, *5 second, that the records were inadmissible because they had been erased pursuant to § 54-142a. The court overruled the objection and, relying solely on those records, found that the defendant had committed the larceny while he was on release.
On appeal to the Appellate Court, the defendant claimed that the trial court improperly had allowed the state to offer records that had been erased pursuant to § 54-142a and that he was prejudiced thereby because those records constituted the sole evidence offered by the state to prove the basis for the sentence enhance- ment under § 53a-40b. The defendant further main- tained that, because § 54-142a bars the state from intro- ducing those records, the state could not prove that he was released on bond when he committed the larceny of which he was convicted. Finally, the defendant argued in the alternative that he was denied due process of law because he had a right to a jury determination of whether he committed the larceny while he was on pretrial release.
The Appellate Court agreed with the defendant that
the trial court improperly had allowed the state to intro-
duce the erased records and also agreed that the state
could not seek to prove the basis for the sentence
enhancement at a new hearing.
Apt
, supra,
Turning to the issue of the appropriate remedy, the
Appellate Court concluded that the state could not seek
to prove the basis for the sentence enhancement at a
new hearing. See id., 650. The Appellate Court rejected
*6
the state’s argument that the case ‘‘should be remanded
for a new hearing as to the sentence enhancement, [at
which] the prosecution [could] introduce alternative
evidence that the defendant was released on bond at the
time he committed the . . . larceny.’’ Id., 649. Although
recognizing that ‘‘the erasure statute does not preclude
certain alternative forms of evidence, such as testimony
from personal knowledge, [as] long as it is not derived
from the erased records’’; id.; the Appellate Court
observed that, ‘‘[i]n this case . . . the sole subject of
the trial court’s inquiry on remand would be the defen-
dant’s pretrial release status on the particular date in
question. This status is inextricably related to the defen-
dant’s prior arrests. The erasure statute provides that
‘[a]ny person who shall have been the subject of such
an erasure shall be deemed to have never been arrested
within the meaning of the general statutes with respect
to the proceedings so erased and may so swear under
oath.’ General Statutes § 54-142a (e) (3). Thus, the
defendant is no longer considered to have been arrested
for the alleged crimes to which the records pertained.
It would be wholly inconsistent to enhance the defen-
dant’s sentence for committing a crime while [he was]
released on bond for charges on which, as far as the law
is concerned, he was never arrested. Doing so would run
counter to the erasure statute’s purpose of ‘insulating
[the defendant] from the consequences of the prior
prosecution.’
.
.
. Accordingly, a new hearing is
unnecessary as, regardless of the evidence produced by
the state, any determination of guilt as to the sentence
enhancement would violate the erasure [statute].’’
(Citation omitted; footnote omitted.)
Apt
, supra,
On appeal to this court following our grant of certifi- cation, the state does not challenge the Appellate Court’s conclusion that the trial court improperly had allowed the state to introduce the erased records of the defendant’s prior charges. Rather, the state claims only that the Appellate Court improperly determined that the state could not seek to prove the basis for the sentence enhancement on remand. According to the state, the erasure statute does not preclude the trial court from seeking to enhance the defendant’s sentence *7 pursuant to § 53a-40b after the records relating to the arrest for which the defendant was on pretrial release have been erased, and, because there is alternative evi- dence that the state can use to prove that the defendant was on pretrial release when he committed the larceny, the case should be remanded to the trial court for a new hearing at which the state can prove the basis for the sentence enhancement. The defendant contends that the Appellate Court correctly concluded that the state could not pursue the sentence enhancement mat- ter further. Alternatively, the defendant maintains that, if we permit the state to prove the basis for the sentence enhancement at a new hearing, he has a right to a jury trial at which the state would be required to prove its case beyond a reasonable doubt. For the reasons set forth hereinafter, we agree with the state that, on remand, it is not barred from pursuing the sentence enhancement on the basis of evidence other than the erased court records. With respect to the defendant’s contention that he has the right to a jury determination regarding the sentence enhancement matter, we decline to reach that claim. Accordingly, we reverse in part the judgment of the Appellate Court.
I The state first claims that the Appellate Court incor- rectly concluded that the state could not prove on remand the basis for the defendant’s sentence enhance- ment under § 53a-40b because § 54-142a categorically bars the trial court from imposing such an enhancement when, as in the present case, the records pertaining to the charges for which the defendant was on pretrial release have been erased. We conclude that the state is not precluded from pursuing a sentence enhancement on remand.
The parties agree that, as a general rule, when an
appellate court reverses a judgment of conviction due
to the improper admission of evidence, the appropriate
remedy is to vacate the judgment and to remand the
case for a new trial. See, e.g.,
Gray
, 200 Conn.
523, 539,
In the present case, however, the Appellate Court
interpreted § 54-142a to prohibit the trial court from
imposing the sentence enhancement under § 53a-40b
because the records relating to the arrest for which the
defendant was on pretrial release had been erased prior
to the imposition of the enhancement. Thus, for present
purposes, our inquiry focuses on the proper interpreta-
tion of §§ 53a-40b and 54-142a. ‘‘When construing a stat-
ute, [o]ur fundamental objective is to ascertain and give
effect to the apparent intent of the legislature. . . . In
other words, we seek to determine, in a reasoned man-
ner, the meaning of the statutory language as applied
to the facts of [the] case, including the question of
whether the language actually does apply. . . . In seek-
ing to determine that meaning, General Statutes § 1-2z
directs us first to consider the text of the statute itself
and its relationship to other statutes. If, after examining
such text and considering such relationship, the mean-
ing of such text is plain and unambiguous and does
not yield absurd or unworkable results, extratextual
evidence of the meaning of the statute shall not be
considered. . . . When a statute is not plain and unam-
biguous, we also look for interpretive guidance to the
legislative history and circumstances surrounding its
enactment, to the legislative policy it was designed to
implement, and to its relationship to existing legislation
and common law principles governing the same general
subject matter . . . .’’ (Internal quotation marks omit-
ted.)
Moulton
,
Section 53a-40b authorizes the trial court to impose an additional term of imprisonment when a person is ‘‘convicted of an offense committed while released pur- suant to sections 54-63a to 54-63g, inclusive, or sections 54-64a to 54-64c, inclusive . . . .’’ In turn, General Stat- utes §§ 54-63a through 54-63g and 54-64a through 54- 64c set forth the procedures to be followed for the release of a person pending trial, sentencing or appeal. In the present case, the trial court found that the defen- dant was subject to the enhancement because the state had proven that he committed the underlying felony, larceny in the third degree, while he was on release pending trial on other offenses.
Section 54-142a (e) (3) provides that ‘‘[a]ny person
who shall have been the subject of . . . an erasure
shall be deemed to have never been arrested within the
meaning of the general statutes with respect to the
proceedings so erased and may so swear under oath.’’
As we have explained, the Appellate Court concluded
*9
that the state could not retry the defendant under § 53a-
40b because ‘‘the sole subject of the trial court’s inquiry’’
when deciding whether to impose an enhancement is
‘‘the defendant’s pretrial release status on the particular
date in question,’’ which, the court reasoned, ‘‘is inextri-
cably related to the defendant’s prior arrests.’’ v.
Apt
, supra,
The state challenges this analysis, claiming that the language in § 54-142a (e) (3) on which the Appellate Court relied operates only to restore a person’s arrest record to the status quo, thus insulating him from the adverse societal effects that otherwise might result from such a record. In the state’s view, however, § 54- 142a (e) (3) does not purport to alter the historical fact that a person was on pretrial release on a specific date. The state further contends that the finding required by § 53a-40b—that the defendant committed an offense while he was on pretrial release—relates only to the historical fact that the defendant was on pretrial release at a point in time, and not to the fact of the arrest that preceded it. Under this interpretation of § 54-142a (e) (3), which hinges on the distinction between the defen- dant’s status as an arrestee and his status as a person who has been released pending trial, the state is not barred from proving the basis for the defendant’s sen- tence enhancement under § 53a-40b on remand.
We agree with the state that § 54-142a does not pro-
hibit the imposition of a sentence enhancement in the
present case. As an initial matter, we note that, although
logic dictates that a person cannot be on pretrial release
without first having been arrested, the language of
§ 53a-40b focuses only on the fact of the release, and
not the arrest that preceded it. Section 53a-40b does,
however, require a finding that the defendant was
‘‘released
pursuant to
sections 54-63a to 54-63g, inclu-
sive, or sections 54-64a to 54-64c, inclusive .
.
.
.’’
(Emphasis added.) With respect to persons released
pending trial, these statutes expressly apply only to
arrested
persons. In addition, although § 54-142a (e) (3)
provides that a person whose records have been erased
is ‘‘deemed to have never been arrested within the
meaning of the general statutes with respect to the
proceedings so erased,’’ it is unclear whether this lan-
guage prohibits a court from making any finding that
*10
relates to those proceedings. Although it may be reason-
able to conclude that a person who is ‘‘deemed to have
never been arrested . . . with respect to the proceed-
ings so erased’’; General Statutes § 54-142a (e) (3); also
cannot be found to have been on pretrial release in
connection with those proceedings, it is also reasonable
to read that language as only barring the use of that
person’s erased arrest records and not precluding all
proof of the fact that he was on pretrial release on
a specific date while the proceedings that had been
commenced as a result of the arrest were pending.
Because the relevant statutory language does not pro-
vide a definitive answer, we turn to extratextual evi-
dence in an effort to discern the intent of the legislature.
See, e.g.,
Brown
,
The legislative history of the erasure statute, and of § 54-142a (e) (3) in particular, strongly supports the state’s position. That legislative history indicates that the erasure statute was intended to insulate people who are arrested but never convicted from the adverse societal consequences that result from having an arrest record, and that the specific provision at issue in the present case, namely, § 54-142a (e) (3), was designed to further that purpose. Initially enacted in 1963; see Public Acts 1963, No. 482; the original version of the erasure statute merely provided that, upon the petition of a person who was acquitted of an offense or whose charges were nolled, the court could order the erasure of the records relating to the proceedings in question. See General Statutes (Cum. Supp. 1963) § 54-90. As Representative Richard J. Duda explained, the act was necessary because ‘‘an individual who is arrested car- ries a penalty or a stigma of a sort despite the fact that he has not been guilty of any crime.’’ 10 H.R. Proc., Pt. 9, 1963 Sess., p. 3499; see also 10 S. Proc., Pt. 8, 1963 Sess., p. 2730, remarks of Senator Morgan K. McGuire (indicating that, without such legislation, person who is arrested but never convicted nonetheless retains record that ‘‘often affect[s] his ability to get a job and so on’’).
Because the original version of the erasure statute provided only for the erasure of the records relating to a person’s arrest, and did not expressly address the fact of the arrest itself, the question arose as to whether a person whose arrest records were erased lawfully could attest that he never had been arrested. See 12 H.R. Proc., Pt. 5, 1967 Sess., pp. 1760–61, remarks of Representative John A. Carrozzella (speaking in support of clarification of erasure statute ‘‘because there was some question as to exactly how [the] . . . statute operated,’’ Repre- sentative Carrozzella noted that proposed clarifying amendment provided ‘‘that any person who has had his record so erased can answer a question have you been arrested by saying no and not be guilty of any deceit *11 . . . by saying no [to] the effect that he has been arrested’’); id., p. 1761, remarks of Representative Carl R. Ajello (‘‘[t]his becomes particularly important when a young person is attempting to either enter the armed forces or secure employment in a contract, defense contract, I should say, where they have got to certify as to their previous records and as to whether they have ever been arrested’’). To address this concern, the legislature amended the erasure statute in 1967 to provide that ‘‘[n]o person who shall have been the sub- ject of such an erasure order shall be deemed to have been arrested ab initio within the meaning of the general statutes with respect to the proceedings so erased.’’ Public Acts 1967, No. 181, codified at General Statutes (Rev. to 1968) § 54-90. The 1967 amendment therefore clarified that, when a person has his arrest records erased, he may state that he never has been arrested and not be exposed to accusations that he lied about his record. [9] In 1974, the legislature again amended the statute to further clarify this point by expressly provid- ing that such a person ‘‘may . . . swear under oath’’ that he never has been arrested. Public Acts 1974, No. 74-163, § 2, codified at General Statutes (Rev. to 1975) § 54-90 (e).
This history makes clear that ‘‘the purpose of the
erasure statute .
.
. is to protect innocent persons
from the harmful consequences of a
criminal charge
[that] is subsequently dismissed. . . . The statute does
not and cannot insulate him from the consequences
of his prior
actions
.’’ (Citations omitted; emphasis in
original; internal quotation marks omitted.) v.
Morowitz
,
The Appellate Court’s interpretation of § 54-142a (e)
(3) as precluding a trial court from finding that the
defendant was on pretrial release because that finding
‘‘is inextricably related to the defendant’s prior arrests’’;
State
v.
Apt
, supra,
The statutory interpretation that the defendant advances also would lead to untenable results in other situations. For example, under that interpretation, if a defendant committed an assault on a judicial marshal while being presented in court for arraignment, and the charges for which the defendant was being arraigned subsequently were dismissed and the related court records erased, the state could not introduce evidence explaining why the defendant was present in court at the time he assaulted the marshal. There simply is no reason to think that the legislature, in passing the era- sure statute, would have intended to limit the state’s proof in that way.
The defendant nevertheless argues that our decision
in
State
v.
Fagan
,
In Fagan , after a jury found the defendant, Damon Fagan, guilty of several crimes, he entered a plea of guilty under § 53a-40b to committing the offenses while he was on pretrial release. Id., 75, 84–85. On appeal, Fagan claimed that his plea was invalid because the trial court had failed to inform him that he had a right to a jury determination on the sentence enhancement issue, which, he maintained, rendered his plea involun- tary in violation of his right to due process. Id., 89. Because the trial court would be required to so inform the defendant only if he did have a right to a jury deter- mination on that issue; see id., 90–91; our analysis focused on that threshold question.
We first explained that, in
Apprendi
v.
New Jersey
,
The defendant asserts that our conclusion in Fagan precludes the state from pursuing a new hearing on the sentence enhancement in the present case because Fagan ‘‘is properly read to constitute a determination that the enhancement presents a legal question to be determined by the judge based on the court records , rather than a question of fact that could be proved by any type of evidence.’’ (Emphasis added.) According to the defendant, because, in Fagan , we based our conclu- sion that Fagan did not have a right to a jury finding as to the sentence enhancement under § 53a-40b on the fact that his pretrial release status could be determined by mere reference to the court file, a trial court is precluded from making that determination when that file has been erased.
The defendant misreads
Fagan
. In explaining that
Fagan was not entitled to a jury finding under § 53a-
40b because the determination of his status could be
made by taking judicial notice of the court file, we did
not suggest that the trial court is limited to making that
determination on the basis of court records in all cases.
See
Fagan
, supra,
We note, as well, that the defendant’s reading of Fagan as requiring the trial court to make the determi- nation of a defendant’s pretrial release status solely and exclusively on the basis of the court file does not withstand scrutiny because it would unnecessarily limit the trial court’s authority to impose an enhancement for reasons that have nothing to do with the purpose of § 53a-40b. Under the defendant’s reading of Fagan , for example, that case would preclude the state from seeking an enhancement in cases in which the court file from the case in which the defendant was on pretrial release is missing. Thus, we reject the defendant’s claim that Fagan precludes the state from pursuing a sentence enhancement pursuant to § 53a-40b when the court file has been erased.
We also reject the defendant’s contention that, on remand, the state should be precluded from pursuing a new hearing on the sentence enhancement issue because the admission of any evidence concerning the defendant’s pretrial release status would violate Gen- eral Statutes § 54-142c (a). Section 54-142c (a) provides in relevant part that ‘‘any criminal justice agency having information contained in such erased records shall not disclose to anyone the existence of such erased records or information pertaining to any charge erased under any provision of this part, except as otherwise provided in this chapter.’’ The defendant argues that the setting of bail is a judicial proceeding that occurred during the case for which the records were erased, and, therefore, any evidence concerning that proceeding is ‘‘informa- tion pertaining to’’ the erased charges that cannot be disclosed under § 54-142c (a).
The defendant’s argument ignores the fact that § 54-
142c (a) excepts from its nondisclosure provisions
information that may be disclosed ‘‘as otherwise pro-
vided in this chapter.’’ As the state has aptly observed,
the erasure statute expressly provides that transcripts
from the proceedings related to the erased charges are
not considered ‘‘court records’’ for purposes of that
statute. (Internal quotation marks omitted.) General
Statutes § 54-142a (h); see footnote 1 of this opinion.
Transcripts of the erased proceedings, therefore, are
not subject to erasure and may be disclosed without
violating § 54-142c. Moreover, we previously have con-
cluded that § 54-142a does not preclude the state from
eliciting the testimony of private parties whose knowl-
edge of the events related to a case is not derived from
the erased records. For example, in
Morowitz
,
supra,
As the foregoing demonstrates, §§ 54-142a and 54-
142c do not establish a per se bar on the disclosure of
information relating to a case for which the records
have been erased. Although the defendant argues that,
in the present case, any evidence the state may offer
would be inadmissible because it would have no way of
procuring such evidence without disclosing information
contained in the erased records, that claim is not ripe
for review. We do not yet know what evidence the state
will rely on if it ultimately decides to prove the basis
for the defendant’s sentence enhancement on remand,
and it would be premature for us to determine the
admissibility of evidence that the state may or may not
offer in a future proceeding. Cf.
Kemah
, 289
Conn. 411, 436–37,
II The defendant also claims that, if the state is permit- ted to reestablish the basis for the defendant’s sentence enhancement under § 53a-40b, he has a right both to a jury determination of the elements of that enhancement *17 and to a finding of guilt beyond a reasonable doubt. We decline to address this claim.
The following additional facts and procedural history
are relevant to this issue. Prior to sentencing, defense
counsel objected to the trial court’s imposition of the
sentence enhancement. Defense counsel maintained
that, under
Apprendi
v.
New Jersey
, supra, 530 U.S.
466, and its progeny, any fact that could result in an
increase in his sentence must be proven to a jury beyond
a reasonable doubt and, therefore, that the trial court
could not impose the enhancement in the absence of
such a jury determination. The trial court overruled
the objection and, after finding that the defendant had
committed the larceny while on pretrial release, added
two years to the defendant’s underlying sentence pursu-
ant to § 53a-40b. On appeal to the Appellate Court, the
defendant claimed that he was denied due process of
law because the trial court enhanced his sentence for
his larceny conviction without first submitting the issue
of the enhancement to the jury. See
State
v.
Apt
, supra,
As we discussed previously, in
Fagan
, supra,
The judgment of the Appellate Court is reversed inso- far as it precluded the state from seeking a new hearing to establish the basis for the defendant’s sentence enhancement, and the case is remanded to that court with direction to remand the case to the trial court for a new hearing on the sentence enhancement and, thereafter, for resentencing; the judgment of the Appel- late Court is affirmed in all other respects.
In this opinion ROGERS, C. J., and EVELEIGH and MULLINS, Js., concurred.
* This appeal originally was argued before a panel of this court consisting of Chief Justice Rogers and Justices Palmer, Zarella, Eveleigh, McDonald and Robinson. Thereafter, Judge Mullins was added to the panel, read the briefs and appendices, and listened to a recording of oral argument prior to participating in this decision. General Statutes § 54-142a provides in relevant part: ‘‘(a) Whenever in
any criminal case, on or after October 1, 1969, the accused, by a final judgment, is found not guilty of the charge or the charge is dismissed, all police and court records and records of any state’s attorney pertaining to such charge shall be erased upon the expiration of the time to file a writ of error or take an appeal, if an appeal is not taken, or upon final determina- tion of the appeal sustaining a finding of not guilty or a dismissal, if an appeal is taken. . . .
* * * ‘‘(c) (1) Whenever any charge in a criminal case has been nolled in the Superior Court . . . if at least thirteen months have elapsed since such nolle, all police and court records and records of the state’s or prosecuting attorney or the prosecuting grand juror pertaining to such charge shall be erased . . . .
* * * ‘‘(e) (1) The clerk of the court or any person charged with retention and control of such records in the records center of the Judicial Department or any law enforcement agency having information contained in such erased records shall not disclose to anyone, except the subject of the record, upon submission pursuant to guidelines prescribed by the Office of the Chief Court *19 Administrator of satisfactory proof of the subject’s identity, information pertaining to any charge erased under any provision of this section and such clerk or person charged with the retention and control of such records shall forward a notice of such erasure to any law enforcement agency to which he knows information concerning the arrest has been disseminated and such disseminated information shall be erased from the records of such law enforcement agency. Such clerk or such person, as the case may be, shall provide adequate security measures to safeguard against unauthorized access to or dissemination of such records or upon the request of the accused cause the actual physical destruction of such records, except that such clerk or such person shall not cause the actual physical destruction of such records until three years have elapsed from the date of the final disposition of the criminal case to which such records pertain.
* * * ‘‘(3) Any person who shall have been the subject of such an erasure shall be deemed to have never been arrested within the meaning of the general statutes with respect to the proceedings so erased and may so swear under oath.
* * * ‘‘(h) For the purposes of this section, ‘court records’ shall not include a record or transcript of the proceedings made or prepared by an official court reporter, assistant court reporter or monitor.’’
Although § 54-142a was the subject of a recent amendment; see Public Acts 2012, No. 12-133, § 23; that amendment has no bearing on the merits of this appeal. We thus refer to the current revision of § 54-142a for conve- nience.
[2] General Statutes § 53a-40b provides: ‘‘A person convicted of an offense committed while released pursuant to sections 54-63a to 54-63g, inclusive, or sections 54-64a to 54-64c, inclusive, other than a violation of section 53a- 222 or 53a-222a, may be sentenced, in addition to the sentence prescribed for the offense to (1) a term of imprisonment of not more than ten years if the offense is a felony, or (2) a term of imprisonment of not more than one year if the offense is a misdemeanor.’’
Although § 53a-40b was the subject of a recent amendment; see Public Acts 2010, No. 10-36, § 21; that amendment has no bearing on the merits of this appeal. We thus refer to the current revision of § 53a-40b for conve- nience.
[3] General Statutes § 53a-124 (a) provides in relevant part: ‘‘A person is guilty of larceny in the third degree when he commits larceny, as defined in section 53a-119, and . . . (2) the value of the property or service exceeds two thousand dollars . . . .’’
[4] Specifically, we granted certification to appeal on the following issue: ‘‘Did the Appellate Court, having held that the trial court committed harmful evidentiary error by admitting erased records into evidence in support of a sentence enhancement, properly determine that the state could not pursue a rehearing on sentence enhancement?’’ Apt , supra, 311 Conn. 902–903. General Statutes § 54-56e provides in relevant part: ‘‘(a) There shall be
a pretrial program for accelerated rehabilitation of persons accused of a crime or crimes or a motor vehicle violation or violations for which a sentence to a term of imprisonment may be imposed, which crimes or violations are not of a serious nature. Upon application by any such person for participation in the program, the court shall, but only as to the public, order the court file sealed.
‘‘(b) The court may, in its discretion, invoke such program on motion of the defendant or on motion of a state’s attorney or prosecuting attorney with respect to a defendant (1) who, the court believes, will probably not offend in the future, (2) who has no previous record of conviction of a crime or of a violation of section 14-196, subsection (c) of section 14-215, section 14-222a, subsection (a) or subdivision (1) of subsection (b) of section 14-224 or section 14-227a, and (3) who states under oath, in open court or before any person designated by the clerk and duly authorized to administer oaths, under the penalties of perjury, (A) that the defendant has never had such program invoked on the defendant’s behalf or that the defendant was charged with a misdemeanor or a motor vehicle violation for which a term of imprisonment of one year or less may be imposed and ten or more years have passed since the date that any charge or charges for which the program was invoked on the defendant’s behalf were dismissed by the court, or (B) with respect to a defendant who is a veteran, that the defendant has not had such program invoked in the defendant’s behalf more than once previously, *20 provided the defendant shall agree thereto and provided notice has been given by the defendant, on a form approved by rule of court, to the victim or victims of such crime or motor vehicle violation, if any, by registered or certified mail and such victim or victims have an opportunity to be heard thereon. Any defendant who makes application for participation in such program shall pay to the court an application fee of thirty-five dollars. No defendant shall be allowed to participate in the pretrial program for accelerated rehabilitation more than two times. For the purposes of this section, ‘veteran’ means any person who was discharged or released under conditions other than dishonorable from active service in the armed forces as defined in section 27-103. . . .’’
[6] General Statutes § 54-56e (f) provides in relevant part: ‘‘If a defendant released to the custody of the Court Support Services Division satisfactorily completes [accelerated rehabilitation], such defendant may apply for dis- missal of the charges against such defendant and the court, on finding such satisfactory completion, shall dismiss such charges. . . . Upon dismissal, all records of such charges shall be erased pursuant to section 54-142a. . . .’’
[7] We reiterate that, because the state concedes that the trial court improp- erly allowed the state to introduce the erased records into evidence and that the defendant was prejudiced thereby, the issue presented is whether the state is precluded from proving the basis for the sentence enhancement on remand.
[8] General Statutes (Cum. Supp. 1963) § 54-90 provides in relevant part: ‘‘Whenever any criminal case is nolled or the accused is found not guilty . . . the court having jurisdiction, upon petition of the arrested person or his heirs, may order all police and court records and records of the state’s or prosecuting attorney pertaining to such case to be erased, provided at least three years have elapsed from the date of the arrest.’’ (Emphasis omitted.)
[9] Number 181 of the 1967 Public Acts further amended the erasure statute to provide that cases resulting in a dismissal are subject to erasure, and to prohibit court clerks from disclosing information pertaining to erased charges.
[10] Despite the repeated statements by legislators explaining that the era- sure statute was intended to further ensure that individuals who have had their charges dismissed did not face the negative societal consequences that result from an arrest record , the dissent asserts that this history does not provide ‘‘much guidance’’ on the ‘‘topic presented by this appeal’’ because no legislator expressly addressed the interplay between the two statutes. Footnote 6 of the dissenting opinion. In light of the aforementioned state- ments in the legislative record, it seems highly likely that the legislature never addressed the effect of the erasure statute on § 53a-40b simply because it never contemplated that the erasure statute would be used in this manner. This is particularly true in view of the fact that the legislative history is devoid of any suggestion that the erasure statute was intended to immunize a defendant from the consequences of conduct in which he engages after an arrest that is subsequently erased, or to prevent a court from inquiring into matters that have nothing to do with the erased records. The dissent suggests that, in determining how to apply §§ 54-142a and
53a-40b to the facts of this case, we should not consider the legislative
purpose underlying § 53a-40b but, rather, that our focus should be on the
meaning of § 54-142a. See footnote 5 of the dissenting opinion. Ignoring the
purpose of § 53a-40b, however, is contrary to the fundamental principle of
statutory interpretation that ‘‘[o]ur fundamental objective is to ascertain
and give effect to the apparent intent of the legislature’’ by ‘‘determin[ing],
in a reasoned manner, the meaning of the statutory language as applied to
the facts of [the] case . . . .’’ (Internal quotation marks omitted.) v.
Moulton
, supra,
The problem that results from the dissent’s refusal to consider the purpose of § 53a-40b is apparent in its conclusion that allowing the state the opportu- nity to prove the basis for the sentence enhancement in this case ‘‘is at odds with the legislature’s intent, in enacting § 54-142a, namely, to protect people from the collateral consequences of arrests that [do] not lead to convictions.’’ Text accompanying footnote 10 of the dissenting opinion. It is quite clear from a review of the statutory scheme that, contrary to the dissent’s characterization, a sentence enhancement pursuant to § 53a-40b is not a collateral consequence of an arrest. The event that triggers a defen- *21 dant’s obligation to refrain from committing additional crimes during the pretrial period is his release following an arrest, not the arrest itself. This obligation is imposed as a condition of a defendant’s pretrial release pursuant to § 54-64e, which also requires that a defendant be given written notice of the consequences of failing to abide by that condition. General Statutes § 54-64e (b). Because this condition is imposed only on those who are released, a person who is arrested and unable to post bond is not subject to a sentence enhancement under § 53a-40b if, for example, he commits a crime while he is incarcerated pending trial. Thus, the enhancement is not a collateral consequence of the arrest; rather, it is a consequence of the defendant’s failure to abide by the express conditions of his release.
Finally, because a defendant is given written notice that he will be subject to a sentence enhancement if he commits a crime while he is on release, there can be no claim that it is unfair to impose that penalty on a defendant when the initial arrest is erased after he commits the crime for which he receives the enhancement. In fact, the dissent’s interpretation would incentivize those in the defendant’s position to delay any hearing on the sentence enhancement so as to reap a benefit of erasure that plainly was not contemplated by the legislature.
[12] See footnote 5 of this opinion.
[13] Before accepting a guilty plea, a trial court is required to canvass a
defendant to ensure he understands that, by pleading guilty, he ‘‘is waiving
several constitutional rights, including his privilege against self-incrimina-
tion, his right to trial by jury, and his right to confront his accusers.’’
State
Andrews
,
[14] We reject the defendant’s argument that § 54-142a (h) applies only to transcripts created prior to erasure. In addition to the fact that the language of the statute contains no such qualification, under the defendant’s interpre- tation, the classification of transcripts as court records would depend on the date on which they were created, and we can discern no indication on the part of the legislature that the determination of whether a transcript may be disclosed is dependent on the date of its creation. Moreover, as the state observes, § 54-142a (h) also provides that records of a proceeding made by the court reporter or monitor are not considered court records. Thus, under the defendant’s interpretation, audio recordings and notes of the proceedings made by the court reporter could be disclosed even after erasure has taken effect, but transcripts produced from those records would be subject to disclosure only if they were created prior to erasure. There is no indication in the statute that the legislature intended such an absurd result, and we decline to assign this strained reading to the statutory language. The dissent reads Morowitz to support its conclusion that ‘‘the erasure
statute is aimed at protecting persons from the collateral effects of criminal proceedings resulting from . . . the status of having been arrested’’; text accompanying footnote 7 of the dissenting opinion; and contends that our conclusion leads to an absurd result founded on what it sees as a tension between the defendant’s legal status, pursuant to § 54-142a (e) (3), as a person who has not been arrested, and the notion that the state may present evidence that is not derived from the erased records to establish that the defendant was on pretrial release when he committed the larceny. According to the dissent, our interpretation results in ‘‘two parallel realities [that are] at odds with the legislature’s intent’’ because ‘‘any evidence of the defendant’s status as a person on pretrial release necessarily derive[s] from erased records.’’ (Internal quotation marks omitted.) The dissent misreads Moro- witz and misconstrues the statutes at issue in this case.
First, as we noted previously, the purported inconsistency that the dissent identifies simply does not exist. There is no conflict between treating a defendant as having never been arrested under § 54-142a, on the one hand, and finding that that same defendant was on pretrial release on a certain date for purposes of a sentence enhancement under § 53a-40b, on the other, because the enhancement has nothing to do with the defendant’s arrest.
Second, as the dissent acknowledges, Morowitz endorsed a distinction between ‘‘evidence based on personal knowledge and evidence based on the erased records,’’ concluding that ‘‘[p]rohibiting the subsequent use of records of the prior arrest and court proceedings adequately fulfills [the] purpose [of the erasure statute] . . . .’’ (Emphasis omitted; internal quota- tion marks omitted.) It is quite clear that evidence of the fact that the defendant was on pretrial release need not be derived from erased records. *22 As we have explained, pursuant to § 54-142a (h), transcripts of the proceed- ings related to erased records are not court records for purposes of the erasure statute. The dissent fails to explain why, in light of the fact that the transcripts are not subject to erasure, the state would be precluded from relying on those transcripts to prove the defendant’s pretrial release status. In addition, contrary to the dissent’s suggestion, it may be possible for the state to introduce the testimony of third-party witnesses whose knowledge of the defendant’s pretrial release status is not derived from the court records. For example, if the defendant’s roommate posted the defendant’s bond and was aware of the defendant’s cases, his knowledge of the defen- dant’s pretrial release status would be derived not from the erased records but from his memory of the events to which he testified. This evidence falls squarely within the distinction we set forth in Morowitz , and the dissent offers no reason why it would be barred by the erasure statute.
[16] We also reject the defendant’s contention that the state should be judi-
cially estopped from arguing that § 53a-40b requires a finding of historical
fact that may be proven by evidence other than court records. The defendant
argues that the state’s position is contrary to its argument in the Appellate
Court that the issue of sentence enhancement under § 53a-40b need not be
submitted to a jury because it requires a legal determination as to the
defendant’s status. As the state notes, it consistently has argued both that
a jury finding as to the defendant’s status is not required and that the proper
remedy for the trial court’s improper admission of evidence is to remand
the case for a new hearing on the sentence enhancement issue. Because
the state has not changed its position on appeal, the doctrine of judicial
estoppel does not apply. See, e.g.,
Dougan
v.
Dougan
,
In a similar vein, the defendant argues that the state should be precluded
from seeking the sentence enhancement on remand because ‘‘the state
forfeited any possible entitlement to a new hearing by inducing the trial
court to erroneously admit the erased records.’’ The defendant cites no
authority for the proposition that the state should be penalized for relying
on the evidentiary rulings of the trial court, and, as we discussed previously,
our case law is clear that, when a case is reversed due to the improper
admission of evidence, the proper remedy is to remand the case for a new
trial. See
State
v.
Gray
, supra,
[17] We therefore remand the case for a new hearing on the sentence
enhancement issue. Consistent with our holding in
Miranda
, 260
Conn. 93, 129–30,
notice that it intended to pursue the enhancement. That claim is not before us in this appeal.
