State v. LedbetterState v. Ledbetter
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Lead Opinion
Thе defendant, Terrell Ledbetter, was charged by an information with one count of robbery in the first degree in violation of
The defendant appeals his convictions of robbery in the first degree, larceny in the second degree, and carrying a dangerous weapon. The state appeals the defendant’s acquittal by the trial court of the persistent felony offender charge.5 We affirm the judgment of the trial court on both the appeal and the cross appeal.
I
The defendant first claims that the state violated his constitutional privilege against self-incrimination under the fifth and fourteenth amendments to the United States constitution and article first, § 8, of the Connecticut constitution, by failing to advise him of his Miranda rights prior to his presentence interview.
A constitutional claim not raised at trial may, under certain exceptional circumstances, be reviewed on appeal. Id. “[A] defendant can prevail on a claim of constitutional error not preserved at trial only if all of the following conditions are met: (1) the record is adequate to review the alleged claim of error; (2) the claim is of constitutional magnitude alleging violation of a fundamental right; (3) the alleged constitutional violation clearly exists and clearly deprived the defendant of a fair trial; and (4) if subject to harmless error analysis, the state has failed to demonstrate harmlessness of the alleged constitutional violation beyond a reasonable doubt. In the absence of any one of these conditions, the defendant’s claim will fail. The appellate tribunal is free, therefore, to respond to the defendant’s claim by focusing on whichever condition is most relevant in the particular circumstances.” Id. In the present case, we focus on whether the appellant has provided an adequate record for review.
“The defendant bears the responsibility for providing a record that is adequate for review of his claim of constitutional error. If the facts revealed by the record are insufficient, unclear or ambiguous as to whether a constitutional violation has occurred, we will not attempt to supplement or reconstruct the record, or to make factual determinations, in order to decide the defendant’s claim.” Id., 240. In order to determine whether the record is adequate for
The defendant claims that he was not advised of his rights under Miranda v. Arizona, 384 U.S. 436, 86 S. Ct. 1602, 16 L. Ed. 2d 694 (1966), prior to the presentence interview, in violation of his state and federal constitutional rights.6 An individual is entitled to be advised of his Miranda rights prior to any “custodial interrogation” in order to protect his privilege against self-incrimination and to ensure that all confessions used against him are knowingly and voluntarily made. Id. Therefore, we must determine whether a custodial interrogation took place.
The definition of custody is not the same for every purpose. The United States Supreme Court has stated, for example, that “custody for purposes of Miranda has been more narrowly circumscribed” than, for instance, custody for purposes of fеderal habeas corpus. Minnesota v. Murphy, 465 U.S. 420, 430, 104 S. Ct. 1136, 79 L. Ed. 2d 409 (1983). “Although the circumstances of each case must certainly influence a determination of whether a suspect is in custody for purposes of receiving Miranda protection, the ultimate inquiry is simply whether there is a formal arrest or restraint on freedom of movement of the degree associated with a formal arrest. [Oregon v. Mathiason, 429 U.S. 492, 495, 97 S. Ct. 711, 50 L. Ed. 2d 714 (1977)]. State v. Pittman, [209 Conn. 596, 608, 553 A.2d 155 (1989)], quoting California v. Beheler, 463 U.S. 1121, 1125, 103 S. Ct. 3517, 77 L. Ed. 2d 1275 (1983). A person is in custody only if a reasonable person would have believed he was not free to leave.
“[T]he Miranda safeguards were designed to vest a suspect in custody with an added measure of protection against coercive police practices . . . .” (Emphasis added.) Rhode Island v. Innis, 446 U.S. 291, 301, 100 S. Ct. 1682, 64 L. Ed. 2d 297 (1980). However, “the definition of interrogation [for purposes of Miranda] can extend only to words or actions on the part of police officers that they should have known were reasonably likely to elicit an incriminating response.” (Emphasis in original.) Id., 301-302. Interrogation must also “reflect a measure of compulsion above and beyond that inherent in custody itself.” Id., 300. “ ‘[W]e must decide whether a [given curtailment of freedom of action] exerts upon a detained person pressures that sufficiently impair his free exercise of his privilege against self-incrimination to require that he be warned of his constitutional rights.’ ” United States v. Willoughby, 860 F.2d 15, 23 (2d Cir. 1988), quoting Berkemer v. McCarty, 468 U.S. 420, 437, 104 S. Ct. 3138, 82 L. Ed. 2d 317 (1984).
It is undisputed that the defendant in this case was incarcerated at the time of the presentence interview. “Although one who is imprisoned has in one obvious way been deprived of his freedom . . . the mere fact of imprisonment does not mean that all of a prisoner’s conversations are official interrogations that must be preceded by Miranda warnings. Rather, [fidelity to the doctrine announced in Miranda requires that it be enforced strictly, but only in those types of situations in which the concerns that powered the decision are implicated.” (Citation omitted; internal quotation marks
“Custodial arrest is said to convey to the suspect a message that he has no choice but to submit to the officers’ will and to confess. Miranda v. Arizona, [supra, 384 U.S. 456-57], . . . Moreover, custodial arrest thrusts an individual into ‘an unfamiliar atmosphere’ or ‘an interrogation environment . . . created for no purpose other than to subjugate the individual to the will of his examiner.’ Id., [457], Many оf the psychological ploys discussed in Miranda capitalize on the suspect’s unfamiliarity with the officers and the environment. . . . Finally, the coercion inherent in custodial interrogation derives in large measure from an interrogator‘s insinuations that the interrogation will continue until a confession is obtained. Id., [468], Since [the defendant] was not physically restrained and could have left the office, any compulsion he might have felt from the possibility that terminating the meeting would have led to revocation of probation was not comparable to the pressure on a suspect who is painfully aware that he literally cannot escape a persistent custodial interrogator.” Minnesota v. Murphy, supra, 465 U.S. 433.
“[A] number of circuits have concluded that the fact of incarceration does not of itself make a prisoner’s statements involuntary. See, e.g., United States v. Conley, 779 F.2d 970, 972-73 (4th Cir. 1985), cert. denied, 479 U.S. 830, 107 S. Ct. 114, 93 L. Ed. 2d 61 (1986); Flittie v. Solem, 751 F.2d 967, 974 (8th Cir. 1985), cert. denied, 475 U.S. 1025, 106 S. Ct. 1223, 89 L. Ed. 2d 333 (1986); Cervantes v. Walker, 589 F.2d 424, 427 (9th Cir. 1978).” United States v. Willoughby, supra, 860 F.2d 23. In Willoughby, the Second Circuit stated: “[The defendant’s] conversation with [the informant] was voluntary and thus did not require Miranda warnings. Though [the defendant] was indeed a prisoner, not free
Similarly, in Flittie v. Solem, supra, 751 F.2d 974, the Eighth Circuit held that an inmate’s recorded statements to an informant during a prison visit were not involuntary. The court stated: “While Flittie may have been constrained within the penitentiary walls, he was not forced to remain in the visitors’ room with [the informant]. Thus the imprisonment did not produce a coerced statement.” Id., 974 n.11. The fact that he was free to terminate the conversation “at his plеasure” was a factor in determining whether the statements were coerced. Id., 974-75. In United States v. Willoughby, supra, 860 F.2d 24, the court stated: “Though [the defendant] was not free to leave [the prison], he was free to cut off a conversation with a visitor . . . .” Therefore, despite the fact that the statements were secretly recorded, the statements did not require Miranda warnings. Id.
In the present case, the only information in the record as to whether the defendant was “in custody” for purposes of Miranda at the time of the presentence interview is that the defendant was incarcerated. The record is totally silent as to the circumstances under which the presentence interview was conducted. We can not determine from the record before us whether any questioning occurred, let alonе any questioning likely to “elicit an incriminating response” or to make the defendant feel coerced, and therefore constituting an interrogation. For all this court can tell from the record, the defendant may not have been asked a single question at the presentence interview and may have been informed that he could leave at any time.
We conclude that the fact of incarceration alone is not sufficient to establish that a “custodial interrogation” occurred. The defendant has failed to provide an ade
II
The defendant next claims that the trial court should not have admitted the testimony of Officer Gerald Antunes of the New Haven policе department. The defendant claims that the testimony was inadmissible because it did not quality either as a prior consistent statement or as a business record, and did not satisfy the best evidence rule. We need not consider those issues, however, because we conclude that the defendant has failed to demonstrate that the admission of the testimony at issue was harmful to him. He, therefore, cannot prevail on this claim.
“It is a fundamental rule of appellate review of evidentiary rulings that if error is not of constitutional dimensions, an appellant has the burden of establishing that there has been an erroneous ruling which was probably harmful to him. State v. Vitale, 197 Conn. 396, 403, 497 A.2d 956 (1985). The question is whether the claimed erroneous action of the trial court is likely to have affected the result of the trial. State v. Brown, 199 Conn. 14, 25, 505 A.2d 690 (1986); State v. Gonzales, 196 Conn. 115, 119, 491 A.2d 1067 (1985). State v. Torrice, 20 Conn. App. 75, 91, 564 A.2d 330, cert. denied, 213 Conn. 809, 568 A.2d 794 (1989). . . . [0]ur inquiry focuses on the impact of the improperly introduced evidence on the jurors’ perceptions and understanding of the other evidence presented in the case, rather than an analysis of the sufficiency of the remaining evidence to uphold the conviction in the absence of the admission of the [allegedly improperly admitted] evidence .... See Swenson v. Sawoska, 215 Conn. 148, 152-53, 575 A.2d 206 (1990).” (Internal quotation marks omitted.) State
Thе defendant claims that the admission of Antunes’ testimony “harmed the defendant both by the admission of facts that were not established by any other evidence, and by adding credibility to [the victim’s] testimony.” He also claims that the admission of the statements regarding a search for the perpetrator was harmful because the court “specifically found that these facts were relevant to the issues of flight and consciousness of guilt, which the state discussed in its closing argument, and on which the court instructed the jury at the close of evidence.” The defendant claims that this testimony was the only evidence of consciousness of guilt presented. We find that even if the admission of this testimony was erroneous, we cannot say that it is likely to have affected the result of the trial or thаt it was probably harmful to the defendant.
The following facts are relevant to this issue. At trial, Antunes testified to his duty as keeper of the records for the police department and to the type of record that is made when a complaint is received. He also testified that a complaint was received from the alleged victim in this matter at 12:24 a.m. on the evening of the alleged robbery. On the basis of the police dispatch cards, Antunes testified as to the complaint received from the victim and the response of the police department to the complaint. He also testified that the complainant reported a robbery at Wintergreen and Famham Ave
The defendant claims that Antunes’ testimony “bolstered” the victim’s testimony that he reported a robbery on the date in question. It is obvious, however, even without the testimony that the victim reported that a robbery had occurred because, had no report been made, there would be no case before this court. Therefore, even if the tеstimony was erroneously admitted, we cannot say that Antunes’ testimony that the victim reported a robbery on the date in question “probably impacted the jurors’ perceptions and understanding of the other evidence presented by the state” or that it was “probably harmful” to the defendant.
The defendant next claims that if Antunes’ testimony had not been admitted, the only admitted evidence directly linking the defendant to the crimes charged would have been the victim’s testimony. Antunes, however, did not identify the defendant as the perpetrator in his testimony. His testimony, therefore did not directly link the defendant to the crimes charged, and the victim’s testimony remains the only testimony directly linking the defendant to the crimes. Therefore, we cannot say that Antunes’ testimony “probably impacted the jurors’ perceptions and understanding of the other evidence presented by the state” relating to whether the defendant was the perpetrator, or that it was “probably harmful” to the defendant.
The defendant also claims that Antunes’ testimony was the sole source of information that police searched
The defendant further claims that the testimony relating to an unsuccessful search was harmful to the defendant because the court specifically found the facts relating to an unsuccessful search relevant to issues of flight and consciousness of guilt, which the state discussed in its closing argument and on which the court instructed the jury at the close of evidence. Contrary to the defendant’s claim, however, the testimony of Antunes regarding the unsuccessful search was not the only evidence of the defendant’s flight and consciousness of guilt. The victim testified that after the robbery on the date in question, “[The defendаnt] vanished. He was gone .... Yes, he ran. He vanished.” When subsequently asked whether he ever saw the defendant again after the date in question, the victim testified: “I saw him a couple times, but he was ducking. He knows my car. He knows the car anyway. He was ducking. I saw him in West Haven and I saw him in New Haven a couple times.” In light of this testimony regarding flight and consciousness of guilt, Antunes’ is not the sole testimony regarding these issues. Further, the search did not occur until some time after the alleged robbery. Therefore, the fact that no perpetrator was found at that time does not appear to be critical to the issues of flight and consciousness of guilt. We
The defendant also argues that the record reflects that the jury actually considered Antunes’ testimony in reaching its verdict. In his brief, the defendant claims that “[d]uring its deliberations, the jury specifically asked to see the police report filed by J. Douglas. The court responded to the jury that ‘[tjhere was a reference to a report by Lieutenant Antunes, but that was not introduced as a full exhibit.’ This exchange between the jury and the court indicates that the officer’s testimony likely played a key role in the jury’s deliberations.”
The court’s response to the jury’s request made it clear to the jury that the police report was not an exhibit, and the police report was not provided to the jury. Thus, the jury wаs correctly advised as to the proper status of the police report, and the record provides no indication that the jury subsequently improperly considered either the report in question or any testimony relating to it. Further, the only information provided by Antunes’ testimony was that previously discussed, with respect to which we cannot say that the testimony “probably impacted the jurors’ perceptions and understanding of the other evidence presented by the state” or that it “probably harmed” the defendant. We cannot say that in the absence of any of the challenged evidence, it is likely that the result of the trial would have been different. Therefore, the defendant cannot prevail on this issue.
Ill
In its cross appeal, the state raises the issue of whether the persistent felony offender provision of
The defendant was convicted of attempted kidnapping in the second degree and sexual assault in the first degree. As the trial court stated in its memorandum of decision: “Each charge emanated from a separate incident committed against different victims on different dates and was the subject of a separate information. However, the defendant pleaded guilty to the two charges at the same time. Subsequently . . . the defendant was sentenced to concurrent terms of imprisonment of six years for each of these offenses at the same dispositiоn proceeding.” On the basis of those convictions, the defendant was charged with being a persistent felony offender. The trial court found the defendant not guilty of that charge.
“As is true in every case involving the construction of a statute, our starting point must be the language employed by the legislature.” Verdon v. Transamerica Ins. Co., 187 Conn. 363, 366, 446 A.2d 3 (1982). “[W]ell defined principles of statutory interpretation . . .
Moreover, “ [c]riminal statutes are not to be read more broadly than their language plainly requires and ambiguities are ordinarily to be resolved in favor оf the defendant.” State v. McGann, 199 Conn. 163, 177, 506 A.2d 109 (1986). “A penal statute must be construed strictly against the state and liberally in favor of the accused.” State v. Torres, 206 Conn. 346, 355, 538 A.2d 185 (1988). “It is a fundamental tenet of our law to resolve doubts in the enforcement of a penal code against the imposition of a harsher punishment. . . . We must construe statutory language strictly to avoid imposing criminal liability where none is expressly intended by the legislature.” (Citation omitted; internal quotation marks omitted.) State v. Jacobson, 31 Conn. App. 797, 802, 627 A.2d 474 (1993). “ When a[n] . . . unforeseeable state-court construction of a criminal statute is applied retroactively to subject a person to criminal liability for past conduct, the effect is to deprive him of due process of law in the sense of fair warning that his contemplated conduct constitutes a crime.’ Bouie v. Columbia, 378 U.S. 347, 354-55, 84 S. Ct. 1697, 12 L. Ed. 2d 894 (1964) . . . .” (Citation omitted.) State v. McGann, supra, 177.
Our Supreme Court has not addressed the meaning of the phrase “at separate times . . . twice convicted” in § 53a-40 (d). The Maryland Court of Special Appeals, however, in reviewing Maryland’s mandatory sentencing provision, considered the meaning of the phrase
We conclude that in the present case the defendant’s prior convictions were not rendered “at separate times.”
The judgment is affirmed.
In this opinion FOTI, J., concurred.
Notes
The plaintiff and defendant brought separate appeals. The court consolidated the two appeals on April 15, 1994.
“Miranda warnings are independently required under article first, § 8, of the Connecticut, constitution to the same extent that they are required under the federal constitution.” State v. Williams, 227 Conn. 101, 115, 629 A.2d 402 (1993), citing State v. Barrett, 205 Conn. 437, 447, 534 A.2d 219 (1987).
Dissenting Opinion
dissenting. I agree with parts I and II of the majority decision. I disagree, however, with part III, in which the majority holds that the persistent felony offender provision of
It is important to emphasize what is involved in this case. As the trial court indicated: “Each [prior conviction] emanated from a separate incident committed against different victims on different dates and was the subject of a separate information.” By virtue of the fortuities of the scheduling process, the defendant pleaded guilty to the two crimes on the same day and received concurrent sentences. My analysis of
My disagreement is based on fundamental principles of statutory interpretation. “ ‘[0]ur fundamental objectivе is to ascertain and give effect to the apparent intent of the legislature.’ ” State v. Burns, 236 Conn. 18, 22, 670 A.2d 851 (1996), quoting State v. Spears, 234 Conn. 78, 86-87, 662 A.2d 80 (1995). “ ‘It is axiomatic that, where the statutory language is clear and unambiguous, construction of the statute by reference to its history and purpose is unnecessary. Winslow v. Lewis-Shepard, Inc., 216 Conn. 533, 538, 582 A.2d 1184 (1990). That axiom applies in full force, however, only “[w]here . . . the language of a statute is . . . absolutely clear” on its face and where no ambiguity is raised in applying the statute in a particular case. . . . Anderson v. Ludgin, 175 Conn. 545, 554, 400 A.2d 712 (1978) ....’” (Citation omitted; emphasis in original.) Rose v. Freedom of Information Commission, 221 Conn. 217, 225, 602 A.2d 1019 (1992).
I disagree with the majority — but agree with the trial court — that the language of
Moreover, this is a situation in which “application of the statute . . . reveals a latent ambiguity in seemingly unambiguous language”; Rose v. Freedom of Information Commission, supra, 221 Conn. 227; because it creates “unworkable results.” State v. Cain, 223 Conn. 731, 744, 613 A.2d 804 (1992). Our Supreme Court stated that “even if a statute is considered clear on its face if a literal interpretation of that statute would lead to unworkable results, resort to other aids to determine legislative intent is appropriate.” Id., 744. The result reached by the majority in the present case is clearly unworkable. Persistent felony offender status would hinge on the fortuities and uncertainties of the criminal plea and sentencing process — not to mention being subject to potential manipulations by participants in the process. A defendant who was convicted on different days of two offenses that arose out of a single incident
The majority cites a Maryland Court of Appeals decision, Lett v. State, 51 Md. App. 668, 677-80, 445 A.2d 1050 (1982), in support of its conclusion that
Fortunately, we arе not so constrained. The law of our state permits us to look further in order to ascertain the legislative meaning where unartful statutory language creates an inherent ambiguity. State v. Cain, supra, 223 Conn. 744; Rose v. Freedom of Information Commission, supra, 221 Conn. 227. In People v. Preuss, 436 Mich. 714, 461 N.W.2d 703 (1990), the Supreme Court of Michigan was also not so constrained. In interpreting Michigan’s fourth time habitual offender statute, Michigan Compiled Laws § 769.12, the court “recogniz[ed] the well-established principle that a literal reading of a statute may be modified if that reading leads to a clear or manifest contradiction of the apparent
I now undertake a similar examination of
In ascertaining the legislative puipose, my analysis differs from that of the majority and the trial court concerning the puipose of the statute and the degree of strictness with which the statute should be read. First, our Supreme Court’s decision in State v. Clemons, supra, 168 Conn. 395, while not directly on point, is analogous to the present situation. In that case, which involved a prior statute,
Second, both the majority and the trial court rely on the rule of lenity in order to bolster their interpretations. The rule of lenity seems oddly out of place in this situation, however, in view of our Supreme Court’s decision in State v. Dolphin, supra, 203 Conn. 506, in which the court made it clear that
Clemons and Dolphin lead me to conclude that neither the rule of lenity nor any claimed rehabilitative purpose can serve as an appropriate basis for an interpretation of
The only sensible way of reading the statute is to interpret it as requiring that the first two convictions arise out of separate criminal incidents, as they did here. That interpretation fulfills the punitive purpose that appears in the legislative history and that was underscored by our Supreme Court in Dolphin. “In construing a statute, common sense must be used, and courts will assume that the legislature intended to accomplish a reasonable and rational result.” (Internal quotation marks omitted.) State v. Guckian, 226 Conn. 191, 201, 627 A.2d 407 (1993), quoting Warkentin v. Burns, 223 Conn. 14, 20, 610 A.2d 1287 (1992).
Accordingly, I would reverse the judgment of acquittal on the persistent felony count and remand for a new trial on that count alone.
For all the foregoing reasons, I respectfully dissent.
The trial court stated that “most jurisdictions that have determined the issue of chronology of convictions have resorted to statutory construction, the legislative history of the statute and the case law of other jurisdictions with other similar provisions. . . . However, the most decisive factor appears to be the courts’ determination of the purpose behind their persistent felony offender provisions.” Thus, while the trial court did not expressly state that it found
Article 27, § 643B (c), of the Michigan Compiled Laws provides in pertinent part: “Anyperson who (1) has been convicted on two separate occasions of a crime of violence where the convictions do not arise from a single incident” may be sentenced as a persistent felony offender.
The court specifically cited holdings from Hawaii, Nevada, and every United States Court of Appeals. People v. Preuss, supra, 436 Mich. 735.
In examining this issue, the Supreme Court of Michigan evaluated both its existing law and its predecessor statute. People v. Preuss, supra, 436 Mich. 721. Michigan’s existing law, § 769.12, provides in pertinent part: “If a person has been convicted of 3 or more felonies, attempts to commit felonies, or both . . . and that person commits a subsequent felony within this state, the person shall be punished upon conviction as follows . . . .” “Before that, the language was somewhat different: ‘A person who after having been 3 times convicted ... of felonies or attеmpts to commit felonies .. . commits any felony within this state . . . may be sentenced upon conviction of such fourth or subsequent offense to ... . [1949 P.A. 56; 1929 P.A. 24; 1927 P.A. 175.]” People v. Preuss, supra, 720-21. The court continued: “While the original language of the statute clearly requires that the fourth offense be committed after the three prior convictions, and the present language probably requires the same, neither contains any requirement that a fourth offender’s three prior offenses, convictions, or sentences occur in any particular sequence.” Id., 721.
In responding to a question of the effect of No. 80-422 of the 1980 Public Acts, Representative Alfred Onorato stated: “Well, it seems what it would do is lock somebody up on the third offense if it is a felony.” Conn. Joint Standing Committee Hearings, Judiciary, Pt. 6, 1980 Sess., p. 1148. In addition, Chiеf State’s Attorney Austin McGuigan stated that the “persistent felony offender statute . . . recognizes the need that some people, who are committing violent predatory street crimes, must be incarcerated for the streets to be safe.” Conn. Joint Standing Committee Hearings, Judiciary, Pt. 5,1980 Sess., p. 1161.1 conclude that the trial court’s theory that the statute has exclusively a rehabilitative purpose excludes “other penal goals such as taking repeat offenders off the streets for especially long periods, or simply visiting society’s retribution upon repeat offenders more severely.” Deal v. United States, 508 U.S. 129, 136, 113 S. Ct. 1993, 124 L. Ed. 2d 44 (1993).
The court specifically found that: “It would be anomalous to have one person found guilty of being a persistent dangerous felony offender because he committed the crime of assault with intent to kill, was convicted and imprisoned prior to October 1, 1971, while another person, who committed the same crime on the same day, not be considered a persistent dangerous felony offender because, by mere happenstance, he was not convicted and imprisoned until after October 1, 1971. Such a result would undermine the legislative intent of