Opinion
The defendant, Donesque Charles Rey-
nolds, appeals from the judgment of conviction, rendered after a plea of guilty to the part B information, of being a persistent serious felony offender subject to enhanced penalties under General Statutes § 53a-40 (c). The underlying conviction, 1 rendered after a jury trial and subject to the enhanced penalties includes conspiracy to commit identity theft in the third degree in violation of General Statutes §§ 53a-48 and 53a-129d, 2 and conspiracy to commit larceny in the third degree in violation of General Statutes §§ 53a-48 and 53a-124 (a) (2). 3
The defendant represented himself at trial with the assistance of standby counsel but in this appeal was represented by counsel. The defendant raises the following claims on appeal: (1) his sixth amendment right
to a jury trial was violated because he did not knowingly, intelligently and voluntarily waive his right to a jury determination that an extended period of incarceration was in the public interest under General Statutes (Rev. to 2007) § 53a-40 (j),
4
(2) the trial court abused its discretion in denying the defendant’s motion to withdraw his guilty plea before the
We conclude that the defendant’s guilty plea on the persistent serious felony offender charge set forth in part B of the information necessarily and validly waived his right to a jury determination as to both his guilt under part B of the information and the public interest determination. We also conclude that the court did not abuse its discretion in denying the defendant’s motion to withdraw his plea. We further conclude, however, that the court did not continue to make the then requisite statutoiy finding that extended incarceration is in the public interest. Accordingly, we vacate the part B sentence enhancement imposed and remand this case for further proceedings with direction to the trial court as fact finder to make the finding as to whether extended incarceration is in the public interest pursuant to § 53a-40 (j).
The jury reasonably could have found the following facts. On or about August 23, 2007, someone initiated, by telephone, a loan application with American General Finance, a bank branch located in Manchester. The requested amount of the loan was $4000. In order to initiate a loan with the bank over the telephone, the applicant was required to give his name, date of birth, social security number, a five year employment history, income, and a five year address history. The caller provided the name Jay Turoff, gave his address as 12 Willard Street in Hartford, listed his employment as retired, and provided a telephone number, social security number, and birth date. Upon investigation, the bank teller determined that there was a fraud alert attached to Turoff s name and personal information and called the telephone number listed in the credit report to confirm the validity of the transaction. During the call, the bank teller confirmed that Turoff had not applied for a loan and then called the Manchester police department. Detective Scott McGill of the Manchester police department received the call and established a surveillance operation designed to apprehend the suspects when they appeared at the bank to claim the loan amount. The bank teller proceeded with the normal loan procedures and scheduled an appointment for closing the loan.
A few days later, on August 25, 2007, the defendant, and a male and a female associate traveled into Hartford, where they obtained a fake identification card bearing the name Jay Turoff, Turoff s date of birth, and the male associate’s photograph. Thereafter, the defendant and the two other people drove to the American General Finance branch in Manchester. The defendant and the male associate entered the bank, and the male associate identified himself to the bank teller as Jay Turoff, and identified the defendant as his nephew. The bank teller discussed the application forms while one of his assistants called the police. The police arrived at the bank shortly thereafter and arrested the defendant and the two other people.
On October 3, 2008, the defendant elected to proceed pro se.
5
On October 9,2008, the state charged the defendant with conspiracy to commit identity theft in the
third degree in violation of
On November 14, 2008, the jury found the defendant guilty on each count, and the court rendered judgment in accordance with the verdict. Following the verdict, after consulting with his standby counsel, the defendant pleaded guilty to the part B information charging him as a persistent serious felony offender under § 53a-40 (c). On December 2, 2008, the defendant filed a motion for plea withdrawal pursuant to Practice Book § 39-27 and stated that the “plea was involuntary, or it was entered without knowledge of the nature of the charge or without knowledge that the sentence actually imposed could be imposed . . . .” On January 15, 2009, the court, Bright, J., denied the defendant’s motion for plea withdrawal and sentenced the defendant pursuant to § 53a-40 (j) to a total effective sentence of twelve years imprisonment followed by four years special parole. 7 This appeal followed. Additional facts will be set forth where necessary.
“The voluntariness of [a guilty] plea can be determined only by considering all of the relevant circumstances surrounding it.”
Brady
v.
United
States,
I
The defendant first claims that his sixth amendment
8
right to a trial by jury was
As an initial matter, we note that the defendant seeks to prevail on this unpreserved constitutional claim pursuant to the requirements set forth in
State
v.
Golding,
To determine whether the defendant knowingly, voluntarily and intelligently waived his right to a jury trial on the public interest determination, we must specifically address the following questions: (1) whether the defendant, as part of his November 14, 2008 guilty plea and hearing with respect to part B of the information, knowingly, voluntarily and intelligently waived a jury trial on the public interest determination; and, if so, (2) whether the defendant was entitled to a judicial fact-finding or personal acknowledgement that he met the “character and history” requirement then set forth in § 53a-40 0).
A
To answer the first question, we begin with a brief review of the persistent felony offender statutes and the relevant case law that informs our decision.
In
State
v.
Bell,
supra,
The court in
Bell
concluded that “the language and history of the statute support the conclusion that § 53a-40 (h) requires two factual predicates before an enhanced sentence may be imposed — a jury determination that the defendant meets the definition of a persistent offender by virtue of his prior convictions, and a trial court determination that extended incarceration will best serve the public interest, given the defendant’s history and character and the nature of the offenses.”
11
Id., 803-804. The court reasoned that “this court previously has interpreted § 53a-40 [in
State
v.
Velasco,
After the Supreme Court’s 2007 decision in Bell, the General Assembly accordingly amended § 53a-40, effective January 25, 2008, to eliminate the public interest finding altogether. See Public Acts, Spec. Sess., January, 2008, No. 08-1, § 7. Section 53a-40 (c) remained unchanged; however, the amended version of subsection (j) now provides: “When any person has been found to be a persistent serious felony offender, the court in lieu of imposing the sentence of imprisonment authorized by section 53a-35 for the crime of which such person presently stands convicted, or authorized by section 53a-35a if the crime of which such person presently stands convicted was committed on or after July 1, 1981, may impose the sentence of imprisonment authorized by said section for the next more serious degree of felony.” General Statutes § 53a-40 (j).
We now specifically address the first question of whether the defendant, as part of his November 14, 2008 guilty plea and hearing with respect to part B of the information, knowingly, voluntarily and intelligently waived his right to a jury trial. The defendant claims that the trial court’s canvass does not accord with the standards set forth in
State
v.
Gore,
supra,
We begin by setting forth the background of
Gore
and the standards set forth therein to establish an adequate waiver. “The right to a jury trial in a criminal case is among those constitutional rights which are related to the procedure for the determination of guilt or innocence. The standard for an effective waiver of such a right is that it must be knowing and intelligent, as well as voluntary. ... [A] valid waiver of a constitutional right [is] the intentional relinquishment or abandonment of a known right. . . . This strict standard precludes a court from presuming a waiver of the right to a trial by jury from a silent record. ... In determining whether this strict standard has been met, a court must inquire into the totality of the circumstances of each case.” (Citation omitted; internal quotation marks omitted.) Id., 775-76. We therefore must determine whether the totality of the record furnishes sufficient assurance of a constitutionally valid waiver of the right to a jury trial based on “the facts and circumstances [surrounding the defendant’s] case including the background, experience, and conduct of the accused.” (Internal quotation marks omitted.)
State
v.
Crump,
In determining such a waiver, “in the absence of a written waiver, the trial court must canvass the defendant briefly to ensure that
The defendant argues that he did not understand the nature of the charges because the defendant believed that he was a persistent larceny offender, not a persistent serious felony offender, and that his older convictions, less serious than manslaughter or robbery, could not be used against him. We are not persuaded.
Here, the defendant pleaded guilty pursuant to an information that explicitly listed § 53a-40 (c) as the governing statute. He pleaded guilty on two counts in direct response to being asked for his pleas on the charge of being a “persistent serious felony offender.” At the plea canvass, the defendant responded in the affirmative when the trial court asked if he understood the nature of the state’s burden in establishing that he was a persistent serious felony offender; that he could be sentenced as though his crimes were class C felonies, rather than class D felonies; and that his total exposure was up to twenty years in prison. Furthermore, the defendant previously had been canvassed by the court on his waiver of the right to counsel, when he chose to proceed pro se on the specific charges in the part B information, namely, violation of § 53a-40 (c). During that canvass the court informed the defendant how those charges could enhance his sentences, for example, from class C felony to class B felony liability and increase his total exposure to twenty years imprisonment on each one of the charges. 13 There is no finding or allegation that the canvass of the defendant’s waiver of a right to counsel was in any way inadequate. This record evidences the defendant’s full awareness of the nature of the charges, including the underlying larceny and identity theft as well as the enhancements sought for each.
Furthermore, there is nothing before us to indicate that the defendant was not of ordinary intelligence and educational background. The defendant previously represented himself in a civil matter and demonstrated familiarity with statutes, and the defendant stated that he knew the elements of the crimes for which he was charged. The defendant has experience with the criminal justice system. The prosecutor represented at sentencing on the part B information that the defendant had thirty convictions, ranging from car theft and possession of firearms to armed robbery and many violations of probation. The defendant said that he understood the nature of what the state would have to prove and what evidence it would have to present against him. The defendant waived a jury trial on some of these prior convictions, thus, evidencing his knowledge of what waiver encompassed. The defendant acknowledged that, by pleading guilty to being a persistent serious felony offender, he was subjecting himself to an enhanced sentence of an additional ten years of imprisonment on each of the underlying charges.
The court permitted the defendant to consult with standby counsel at the
The defendant also argues that the trial court’s canvass did not accord with the standards set forth in
Gore
essentially because the record of the canvass of him by the court mentioned only the required prior convictions and incarceration but did not mention that the jury would also have to pass on whether the enhancement was in the public interest. The court in
Gore
followed the holding of
Boykin
v.
Alabama,
supra,
The circumstances of the present case do not present a “silent record” and constitute more than a bare waiver of a jury trial. When the court canvassed the defendant on his pleas, the following colloquy ensued:
“The Court: . . . Have you had any alcohol, medicine or drugs today, or anything that would affect your ability to understand what you were doing?
“[The Defendant]: No, sir.
“The Court: Now, you’re representing yourself in this matter, and is it your desire to continue to represent yourself in connection with the part B information?
“[The Defendant]: You mean for—
“The Court: For this purpose.
“[The Defendant]: For this purpose?
“The Court: Yes.
“[The Defendant]: Yes, I’ll continue to represent myself.
“The Court: And Ms. Coffin is here as standby counsel, and you’ve had an opportunity to consult with her in that role as standby counsel. Are you satisfied with that consultation?
“[The Defendant]: Yes, I am, sir.
“The Court: All right, and do you understand the nature of what the state would have to prove to convict you of being a serious — a persistent serious felony offender and what evidence it has to present against you?
“[The Defendant]: Yes, sir.
“The Court: All right. I want to go over with you the rights you’re giving up by pleading guilty to being a persistent serious felony offender on these two counts. You’re giving up your right to a court or jury trial; your right to remain silent; your right to continue to plead [not] guilty and make the state prove these charges beyond a reasonable doubt. You’re giving up your right to have your attorney or yourself ask questions of the witnesses presented against you or the evidence presented against you; your right to present your own evidence, including testifying yourself if you wanted to; and your right to present any kind of defense of the charges of being a persistent serious felony offender. Do you understand that by pleading guilty to these charges, you’re giving up all of those rights?
“[The Defendant]: Yes, I do.” (Emphasis added.)
For all of the foregoing reasons, we conclude that the trial court’s plea canvass meets the standards set forth in Gore for a knowing, intelligent and voluntary waiver. The defendant himself directly affirmed to the court that he understood the nature of what the state would have to prove to convict him. of being a persistent serious felony offender.
We next address the defendant’s argument that the trial court never informed him of the right to a jury trial on the public interest determination during the plea canvass or sentencing, and, on that basis, it cannot be presumed that he validly waived that right. A recent case decided by our Supreme Court,
State
v.
Michael A.,
supra,
The court’s conclusion in
Michael A.
is consistent with its decision in
Bell,
with respect to the requirement in
Bell
of two separate factual prerequisite findings before imposition of an enhanced sentence.
State
v.
Bell,
supra,
Certain facts which occurred from the time of briefing to the time of oral argument are pertinent here. In its brief, the state first conceded that the defendant’s waiver of his right to a jury trial on the persistent offender charge was defective and that standby counsel was inadequate. However, at oral argument the state narrowed the concession as a result of the subsequent decision of our Supreme Court in
Michael A.
and now contends that under the language in
Michael A.,
the defendant validly waived his right to a jury trial on the public interest determination. The state now concedes
only that there is an absence of a finding by the trial court or an acknowledgement by the defendant that prolonged incarceration would serve the public interest. In response, the defendant concedes that the court advised the defendant of the maximum penalty when he pleaded guilty to the persistent serious felony offender charge, but argues that the court did not indicate that any additional findings on the public interest factor would be necessary, by the jury or the court, if the jury trial was waived. The defendant specifically argues that
Michael A.
is distinguishable from the present case and
In Michael A., as in the present case, the defendant was not specifically notified in the plea canvass of his right to a jury determination on whether it was in the public interest to enhance his sentence. In Michael A., “the defendant, through the trial court’s thorough canvass, acknowledged his understanding of the consequences of his plea — namely, exposure to expended incarceration — and, thus ‘received real notice of the true nature of the charge against him ....’” Id., 825. The court in Michael A. determined that “the defendant’s uncontested understanding of the consequences of his plea overcame the absence of specific disclosure of the defendant’s particular right to a jury trial on the public interest determination.” Id., 825-26. Under this precise provision in Michael A., the trial court’s recitation in the present case of the elements of the crime and the court’s canvass of the defendant about the consequences of his plea with respect to the part B information were sufficient and did provide the defendant with notice of the true nature of the crimes and the potential for an enhanced sentence of twenty years imprisonment.
Both Michael A. and the present case involve the persistent offender statutes, which are part of the same statutory scheme. 17 Neither defendant was specifically notified of his right to a jury determination on the public interest factor. Accordingly, the defendant’s plea of guilty operates as a waiver of his right to a jury trial, not only with respect to the factual predicate of whether he was a persistent serious felony offender but also with respect to the issue of whether his extended incarceration was in the public interest. See id., 821.
We conclude, therefore, that the defendant’s sixth amendment right to a jury trial was not violated because his guilty plea on part B of the information resulted in a waiver of that right, including a jury determination as to whether an extended period of incarceration was in the public interest under § 53a-40 (j). The defendant has failed to carry his burden of showing under
State
v.
Golding,
supra,
B
Having determined that the defendant knowingly, voluntarily, and intelligently waived his right to a jury trial on the public interest determination, we now turn to our second question of whether the defendant was entitled to a judicial fact-finding or personal acknowledgement that he meets the “character and history” requirement set forth in § 53a-40 (j) before a sentence enhancement could be imposed. The defendant claims that the trial court failed to make such a finding. We conclude that the defendant was entitled to such a finding and agree with the defendant that the court failed to make such requisite finding.
After a proper waiver of a right to a jury trial under § 53a-40 the court may make the requisite finding.
State
v.
Bell,
supra,
II
The defendant also claims that the court abused its discretion in denying the pro se defendant’s motion to withdraw his guilty plea before the enhanced sentences were imposed. We disagree.
As a preliminary matter, we identify the legal principles and the standard of review relevant to our discussion. “Practice Book § [39-27] specifies circumstances under which a defendant may withdraw a guilty plea after it has been entered. [0]nce entered, a guilty plea
cannot be withdrawn except by leave of the court, within its sound discretion, and a denial thereof is reversible only if it appears that there has been an abuse of discretion. . . . The burden is always on the defendant to show a plausible reason for the withdrawal of a plea of guilty.” (Internal quotation marks omitted.)
State v. Siminausky,
“The court is required to permit the withdrawal of a guilty plea upon proof of any ground set forth in Practice Book § [39-27] . . . [but] [w]hether such proof is made is a question for the court in its sound discretion, and a denial of permission to withdraw is reversible only if that discretion has been abused.” (Internal quotation marks omitted.)
State
v.
Winer,
A review of the transcript reveals that the defendant was canvassed thoroughly before the court accepted his guilty plea to the part B information on November 14, 2008. “A court is permitted to rely on a defendant’s responses during a plea canvass.”
State
v.
Hanson,
We agree with the defendant that the trial court failed to make an explicit finding that an extended period of incarceration would be in the public interest, as required by § 53a-40 (j). Under
Michael A.,
however, it does not affect the voluntariness of the plea or provide grounds for withdrawal because “the defendant’s uncontested understanding of the consequences of his plea overcame the absence of specific disclosure of the defendant’s particular right to a jury trial on the public interest determination.”
State
v.
Michael A.,
supra,
We conclude that the trial court properly found that the defendant knew the charges against him at the time he pleaded guilty and did not abuse its discretion when it denied his motion to withdraw his pleas.
The judgment on the part B information only is reversed and vacated and the case is remanded for further proceedings with direction to the trial court as fact finder to make the finding whether extended incarceration is in the public interest or for the defendant to make the appropriate acknowledgement and, depending on that finding or acknowledgement, to determine whether an enhanced sentence is appropriate.
In this opinion the other judges concurred.
Notes
The defendant has neither appealed nor briefed on appeal any challenge to the underlying conviction of conspiracy to commit identity theft and conspiracy to commit larceny.
General Statutes § 53a-48 (a) provides: “A person is guilty of conspiracy when, with intent that conduct constituting a crime be performed, he agrees with one or more persons to engage in or cause the performance of such conduct, and any one of them commits an overt act in pursuance of such conspiracy.”
General Statutes § 53a-129d provides: “(a) A person is guilty of identity theft in the third degree when such person commits identity theft, as defined in section 53a-129a.
“(b) Identity theft in the third degree is a class D felony.”
Pursuant to General Statutes § 53a-35a (8), the sentence of imprisonment for a class D felony is ordinarily a term of from one to five years.
General Statutes § 53a-124 provides in relevant part: “(a) 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 one thousand dollars ....
“(c) Larceny in the third degree is a class D felony.”
All citations to § 53a-40 Q) in this opinion refer to General Statutes (Rev. to 2007) § 53a-40 (j) unless otherwise noted.
Ultimately, attorney Kirstín B. Coffin served as the defendant’s standby counsel during trial and during his pleas on the part B information while the defendant continued to represent himself pro se.
General Statutes § 53a-40 (c) provides: “A persistent serious felony offender is a person who (1) stands convicted of a felony, and (2) has been, prior to the commission of the present felony, convicted of and imprisoned under an imposed term of more than one year or of death, in this state or in any other state or in a federal correctional institution, for a crime. This subsection shall not apply where the present conviction is for a crime enumerated in subdivision (1) of subsection (a) of this section and the prior conviction was for a crime other than those enumerated in subsection (a) of this section.”
The sentence was structured as follows: six years imprisonment plus two years special parole for each charge, to be served consecutively, for a total effective sentence of twelve years imprisonment and four years special parole. The effect of the sentence enhancement was to increase the sentence on each charge by one year.
The sixth amendment to the United States constitution provides in relevant part: “In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury . . . .”
The statute in effect at the time of the crime was § 53a-40 (j), which provided: “When any person has been found to be a persistent serious felony offender, and the court is of the opinion that such person’s history and character and the nature and circumstances of such person’s criminal conduct indicate that extended incarceration will best serve the public interest, the court in lieu of imposing the sentence of imprisonment authorized by section 53a-35 for the crime of which such person presently stands convicted, or authorized by section 53a-35a if the crime of which such person presently stands convicted was committed on or after July 1, 1981, may impose the sentence of imprisonment authorized by said section for the next more serious degree of felony.” This subsection was amended by No. 08-1 of the 2008 Public Acts to eliminate the public interest finding. See Public Acts, Spec. Sess., January, 2008, No. 08-1, § 7.
The court in Bell specifically addressed General Statutes (Rev. to 2007) § 53a-40 (h). Its precedent is applicable here because the language of § 53a-40 (j), as applicable to this case, tracks the same language and employs the same scheme as § 53a-40 (h).
It is worth noting that subsection (h) of § 53a-40, the statute in
Bell,
provides that the court “shall impose” an enhanced sentence, leaving no discretion to the court. Subsection (j), the subsection in the present case, provides that upon making the public interest determination, the court “may impose” the enhanced sentence, conferring full discretion on the court. This distinction, however, is immaterial to the determination that § 53a-40 requires two factual predicates before an enhanced sentence is imposed. See footnote 10 of this opinion. The legislative history of § 53a-40 also supports the conclusion that the public interest determination is, as stated in
State
v.
Velasco,
In interpreting
Velasco,
the court in
Bell
concluded that “the prior conviction appears to be the triggering fact in the same sense that our death penalty scheme provides that certain facts make an offense death penalty eligible; see General Statutes § 53a-54b (enumerating capital felonies); and
then requires that an additional fact — an aggravating fact — be found by the jury beyond a reasonable doubt before the death penalty actually may be imposed. General Statutes § 53a-46a (f) and (i).”
State
v.
Bell,
supra,
We note that in the canvass concerning the defendant’s waiver of his right to counsel the court erroneously stated that the part B information would enhance his sentences from C felony to B felony liability. The maximum penalty for a B felony is twenty years and, since there were two enhancements, the maximum exposure would have been forty years. The court’s error in reference to the enhancement to B felony liability is not harmful because the enhancements are both felonies, not misdemeanors or some lesser type of infraction, and the court correctly computed his maximum exposure at twenty years. The defendant has not raised this as an appellate issue.
Further, the court in
Gore
reasoned that “the defendant’s silence [was] too ambiguous to permit the inference that he . . . waived such a fundamental right.”
State
v.
Gore,
supra,
Importantly, “[a] defendant’s personal assertion of a waiver of the right to a jury trial is not conclusive evidence that the waiver was made knowingly, intelligently and voluntarily, but its absence is a fatal blow to the validity of a waiver.”
State
v. Gore, supra,
The defendant’s claim in
Bell
was that the court, rather than the jury that had found him to be a persistent dangerous felony offender, improperly had made the finding that extended incarceration would be in the public interest.
State
v.
Bell,
supra,
See footnote 10 of this opinion.
See part I A of this opinion.
