STATE OF CONNECTICUT v. MYCALL OBAS
SC 19290
Supreme Court of Connecticut
Argued October 5, 2015—officially released February 9, 2016
Rogers, C. J., and Palmer, Zarella, Eveleigh, McDonald, Espinosa and Robinson, Js.
******************************************************
The ‘‘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 written permission of the Commission on Official Legal Publications, Judicial Branch, State of Connecticut.
******************************************************
Leon F. Dalbec, Jr., senior assistant state’s attorney, with whom, on the brief, were Stephen J. Sedensky III, state’s attorney, and Sean P. McGuinness, assistant state’s attorney, for the appellant (state).
Neal Cone, senior assistant public defender, with whom were Rosemary Chapdelaine, senior assistant public defender, and, on the brief, Lauren Weisfeld, public defender, for the appellee (defendant).
Opinion
EVELEIGH, J. The
The opinion of the Appellate Court sets forth the following undisputed facts and procedural history. ‘‘The defendant pleaded guilty to one count of sexual assault in the second degree [in violation of
‘‘The defendant cooperated fully with the police investigation and agreed to testify [in a related criminal prosecution]. As part of the plea agreement struck between the defendant and the state, the defendant received a ten year sentence of imprisonment, suspended after the mandatory minimum nine months, followed by ten years of probation. The prosecutor explained to the court: ‘The conditions would be: to register as a sex offender, that’s a ten year registration . . . . [The] sex offender evaluation and any treatment deemed necessary. No [unsupervised] contact with any individual . . . under [sixteen] and no contact, whatsoever, directly or indirectly with the victim.’ There was no agreement between the defendant and the state that the defendant would never seek modification of the conditions of probation.
‘‘Following the prosecutor’s recitation of the underlying facts, plea agreement, and recommendation for a split sentence followed by probation with special conditions, the court canvassed the defendant.
‘‘ ‘The Court: You’ve heard the agreed upon recommendation, which is ten years, execution suspended after nine months, which is a mandatory minimum, ten years of probation, standard issues—standard conditions of probation, special conditions of sex offender evaluation and treatment, as deemed necessary . . . . Registration under sex offender status for [ten] years,
no contact with the victim and no unsupervised contact with anyone under . . . [sixteen] years of age. Do you understand that to be the agreed upon recommendation?
‘‘ ‘The Defendant: Yes, Your Honor.’
‘‘The court accepted the defendant’s plea and imposed sentence in accordance with the agreed upon disposition. The defendant was ordered, ‘[i]n addition to the standard conditions of probation,’ to register as a sex offender for a period of ten years, to undergo sex offender evaluation and treatment as deemed necessary, to have no unsupervised contact with anyone under [the] age [of] sixteen and to have no contact with the victim.
‘‘Upon his release from custody in November, 2004, the defendant began reporting to the Office of Adult Probation, registering as a sex offender and receiving sex offender treatment. He violated his probation in 2005 by failing to report a change of address following his parents’ eviction from their home. For this violation, two additional years were added to his probation. Since the 2005 violation, the defendant has reported timely to his
‘‘In 2011, the defendant filed a motion to modify the conditions of his probation. Specifically, the defendant asked that the term of his probation be reduced and that the order that he register as a sex offender be terminated. As a predicate for the hearing on the defendant’s motion, the court ordered him to undergo an additional psychosexual evaluation. The evaluation concluded that the defendant presented a low risk of reoffending and that he ‘would not be one whom the community should fear.’ . . . Three separate probation status reports authored by the defendant’s supervising officer in the sex offender unit lauded his rehabilitation and raised no objection to the defendant’s requested modification.
‘‘Following contested hearings on January 31, 2012, and April 20, 2012, the [trial] court . . . exempted the defendant from the continued obligation to register as a sex offender under
denied that part of the defendant’s motion in which he sought to reduce his probation from twelve years to ten years.’’ (Footnotes omitted.) State v. Obas, 147 Conn. App. 465, 468–71, 83 A.3d 674 (2014).
The state appealed from the judgment of the trial court to the Appellate Court.3 Id., 471. The Appellate Court concluded as follows: (1) ‘‘
On appeal, the state advances two claims in support of its position that the Appellate Court improperly affirmed the trial court’s judgment granting the defendant’s application for an exemption from continued registration as a sex offender. First, the state asserts that the Appellate Court improperly interpreted
I
The state first claims that the trial court did not have the authority under
This appeal requires us to construe the requirements of
In accordance with
offender registration requirements.
The term ‘‘exempt’’ is not defined in
The term ‘‘exempt’’ is defined with substantial similarity in a number of dictionaries. Merriam-Webster’s Collegiate Dictionary (11th Ed. 2003) defines ‘‘exempt’’ as, inter alia, ‘‘to release or deliver from some liability or requirement to which others are subject . . . .’’ The Oxford English Dictionary (2d Ed. 1989) defines ‘‘exempt,’’ in relevant part, as ‘‘[t]o grant to [a person] immunity or freedom from a liability to which others are subject . . . [such as the control of] laws, [or obedience to] an authority.’’ (Emphasis in original.) Lastly, the American Heritage Dictionary (5th Ed. 2011) defines ‘‘exempt’’ as ‘‘[t]o free from an obligation, duty, or liability to which others are subject . . . .’’ These definitions of the word ‘‘exempt’’ indicate that the legislature intended for a court to be able to release an individual otherwise mandated to register as a sex offender from the registration requirements set forth in
We further observe that the text of
that the individual was under nineteen years of age at the time of the offense and poses no risk to public safety. See State v. Bletsch, 281 Conn. 5, 18, 912 A.2d 992 (2007) (noting that ‘‘under the ‘may exempt’ language in
The broad, permissive language ‘‘may exempt’’ in
Finally, we note that
On the basis of an examination of the express statutory language,
phrase ‘‘may exempt’’ in
The state, however, contends that the plain language of
Despite its contention that a court must construe a statute as written, the state essentially would have us interpret
advances would require us to ‘‘engraft language onto the statute’’ limiting the court’s authority to grant the exemption to the time before the individual’s statutory obligation to register takes effect, which is something we cannot do. Laliberte v. United Security, Inc., supra, 261 Conn. 186.
The state
We are persuaded by the Appellate Court’s reasoning on this issue. The Appellate Court reasoned that the state’s claim ‘‘wrongly assumes that all defendants who are required to register will be imprisoned for their offenses.’’ State v. Obas, supra, 147 Conn. App. 478. The Appellate Court further explained that ‘‘[t]he state’s logic fails because registration also is required for offenses that would not require a defendant to be jailed,’’ providing the example of the crime of public indecency in violation of
Therefore, it is reasonable to believe that some criminal defendants who are required to register as sex offenders will not be sentenced to a period of incarceration, but will still maintain the right to file an application for an exemption pursuant to
Obas, supra, 147 Conn. App. 478. We conclude that it is not absurd or unworkable to require a criminal defendant convicted of a crime involving sexual conduct to notify both the Office of Victim Services and the Victim Services Unit within the Department of Correction of the filing of an application for an exemption years after having been released from confinement, as would be the case here. See Wilkins v. Connecticut Childbirth & Women’s Center, 314 Conn. 709, 723, 104 A.3d 671 (2014) (‘‘[i]t is axiomatic that ‘[w]e must interpret the statute so that it does not lead to absurd or unworkable results’ ’’).
Our review of the plain language of the statute indicates that the legislature intended to allow an individual to file an application for an exemption from registration at any point during the required period of registration. Therefore, we conclude that the Appellate Court properly determined that the trial court had the authority to grant the defendant’s application for an exemption in the present case.
II
The state further contends that, even if
We begin with an overview of the legal principles and standard of review governing the state’s claims. This court has previously established that ‘‘the guilty plea and the often concomitant plea bargain are important components of [the] criminal justice system. . . . If every criminal charge were subjected to a full-scale trial, the [s]tates and the [f]ederal [g]overnment would need to multiply by many times the number of judges and court facilities.’’ (Citation omitted; internal quotation marks omitted.) State v. Revelo, 256 Conn. 494, 505, 775 A.2d 260, cert. denied, 534 U.S. 1052, 122 S. Ct. 639, 151 L. Ed. 2d 558 (2001). ‘‘As the United
States Supreme Court . . . has stated, however, the benefits of plea bargaining presuppose fairness in securing agreement between an accused and a prosecutor.’’ (Internal quotation marks omitted.) Id., 506.
‘‘[P]rinciples of contract law and special due process concerns for fairness govern our interpretation of plea agreements. . . . Thus, [t]he validity of plea bargains depends on contract principles. . . . Because [plea agreements] implicate the waiver of fundamental rights guaranteed to persons charged with crimes, [however, they] must . . . be evaluated with reference to the requirements of due process. . . .
‘‘When the contract language relied on by the trial court is definitive, the interpretation of the contract is a matter of law and our review is plenary. . . . When evaluating a contract, [w]e accord the language employed in the contract a rational construction based on its common, natural and ordinary meaning and usage as applied to the subject matter of the contract. . . . [When] the language is unambiguous, we must give the contract effect according to its terms. . . . [When] the language is ambiguous, however, we must construe those ambiguities against the drafter. . . . Whether a contract is ambiguous is a question of law over which we exercise de novo review.’’ (Citations omitted; footnote omitted; internal quotation marks omitted.) State v. Rivers, 283 Conn. 713, 724–25, 931 A.2d 185 (2007).
It is well established that in cases involving plea agreements, ‘‘the drafter of the agreement, the state, generally holds substantially superior bargaining power over the other party to the agreement, the criminal defendant. As the [United States Court of Appeals for the] Second Circuit has explained, [b]ecause the government ordinarily has certain awesome advantages in bargaining power, any ambiguities in the agreement must be resolved in favor of the defendant. . . . Thus, the state, as the drafting party wielding disproportionate power, must memorialize any and all obligations for which it holds the defendant responsible, as well as all promises that it has made for the purpose of inducing the defendant to cooperate. The terms of the agreement should be stated clearly and unambiguously, so that the defendant, in assenting to waive certain fundamental rights, knows what is expected of him and what he can expect in return. Likewise, such clarity ensures that the state knows what it may demand of the defendant and what it is obligated to provide in exchange for the defendant’s cooperation.’’ (Citations omitted; internal quotation marks omitted.) Id., 725–26.
In the present case, the state and the defendant entered into an oral plea agreement whereby the defendant agreed to plead guilty to sexual assault in the second degree in violation of
mend that the trial court sentence the defendant to ten years imprisonment, suspended after nine months, followed by ten years probation. In addition to the standard conditions of probation, special conditions were imposed, including that the defendant: be evaluated for a sex offender treatment program and, if deemed necessary, to successfully complete such a program; be prohibited from having any unsupervised contact with any child under the age of sixteen years; be prohibited from having any contact, directly or indirectly, with the victim; and register as a sex offender for ten years. The trial court accepted the terms of the plea agreement and sentenced the defendant accordingly.
It is undisputed that the defendant did not explicitly waive his right to file an application for an exemption from registration pursuant to
The Second Circuit has previously stated that it would ‘‘not imply a waiver in a plea bargain that is to be strictly construed against the government.’’ United States v. Podde, 105 F.3d 813, 821 (2d Cir. 1997). In the present case, the state failed to clearly communicate to the defendant that he was relinquishing his right to file an application for an exemption from registration as
consideration for the state’s offering of a reduced charge and reduced sentence. There is no indication in the record that the defendant agreed that his assent to comply with the registration requirements of
Our conclusion is consistent with this court’s previous decision in State v. Rivers, supra, 283 Conn. 717–18, where the state and the defendant entered into a plea and cooperation agreement, under which ‘‘the defendant agreed to plead guilty to kidnapping in the first degree and to cooperate with the state, and the state agreed to make certain sentencing recommendations to the court.’’ As a result, the defendant provided testimony consistent with his prior statement to the police at the probable cause hearing of a codefendant. Id., 718. When the state called the defendant as a witness at the codefendant’s trial, however, the defendant invoked his privilege against self-incrimination under the fifth amendment to the United States constitution and declined to testify. Id., 719. Thereafter, the state declared its plea agreement with the defendant to be null and void, asserting that ‘‘the defendant’s refusal to testify, although a proper exercise of his constitutional rights, nevertheless constituted ‘a bad faith breach of the obligations [that] he [had] entered into in the [plea] agreement,’ ’’ and that, therefore, the defendant was no longer entitled to the benefits of the agreement. Id., 719–20. Specifically, although the state conceded that there was no express requirement in the plea agreement that the defendant testify, the state asserted that language in the plea agreement implied such an obligation.8 Id., 728–29. The trial court agreed with the state. Id., 721–22. This court reversed. Id., 716. Relying on the principle that ambiguous language of a plea agreement must be construed against the state, this court concluded that the trial court had improperly read into the agreement an implicit obligation to testify. Id., 729. This court explained as follows: ‘‘Unless a plea agreement contains an explicit provision requiring that a defendant fulfill a substantial obligation such as testifying, this court will not require the defendant to do so. Likewise, the state may not claim retroactively that a particular act or omission of a defendant constituted a breach of an agreement when the language of the agreement does not prohibit such an act or omission.’’ Id., 730.
Our interpretation is also consistent with the decisions of other courts that have considered similar issues. See Innes v. Dalsheim, 864 F.2d 974, 980 (2d Cir. 1988) (refusing to read ambiguous plea agreement as requiring defendant to waive his right to jury trial in event of breach), cert. denied, 493 U.S. 809 (1989);
United States v. Podde, supra, 105 F.3d 821 (refusing to read
This court has previously reaffirmed the principle that pretrial negotiations play a ‘‘critical role’’ in the criminal justice system. State v. Revelo, supra, 256 Conn. 505. We reaffirm this principle again today and note that nothing stated in this opinion should be interpreted as undermining the plea bargaining process. Nevertheless, in light of the plea agreement in the present case, the state may not claim that the defendant was barred from exercising his right pursuant to
The judgment is affirmed.
In this opinion the other justices concurred.
Notes
‘‘(b) Notwithstanding the provisions of subsection (a) of this section, the court may exempt any person who has been convicted or found not guilty by reason of mental disease or defect of a violation of subdivision (1) of subsection (a) of section 53a-71 from the registration requirements of this section if the court finds that such person was under nineteen years of age at the time of the offense and that registration is not required for public safety. . . .’’
Although
Evans involved two consolidated appeals, where both defendants sought to alter the terms of their sentences by filing motions for sentence reconsideration after having entered into negotiated plea agreements with the state. People v. Evans, supra, 174 Ill. 2d 327. One defendant filed a motion requesting that the court either reduce his ten year prison sentence or, alternatively, place him in a rehabilitation facility. Id., 322. The other defendant filed a motion for reconsideration, asserting that his sentences were excessive and should be reduced due to his mental disabilities. Id., 323. Unlike the defendants in Evans, the defendant in the present case does not challenge the sentence he received as a result of his plea agreement with the state. Rather, as we explained previously in this opinion, as a result of the parties’ agreement that the defendant would plead guilty to a violation of
Moreover, Trujillo is also factually distinct from the present case. In Trujillo, the defendant filed a petition for writ of habeas corpus, claiming that the provision in a plea agreement requiring that she successfully complete an in-house drug rehabilitation program violated her constitutional rights. State v. Trujillo, supra, 117 N.M. 770. Without holding that the defendant’s sentence was unconstitutional, the district court issued an order modifying the defendant’s probation terms. Id. Unlike in Trujillo, the defendant in the present case had the specific, statutory right to file an application for an exemption from registration without filing a motion challenging his guilty plea or resulting sentence.
