Lead Opinion
The petitioner, Anthony Dyous, appeals
and (2) his criminal trial attorney rendered effective assistance of counsel by failing to research the law surrounding the defense of mental disease or defect and failing to inform the petitioner of the court's authority to extend his commitment beyond the maximum twenty-five year sentence. We disagree with the petitioner's claims and, therefore, affirm the judgment of the habeas court.
The record reveals the following relevant facts and procedural history. In December, 1983, the petitioner hijacked a bus carrying forty-seven people by stating that he was armed with a bomb and nerve gas. Once on the bus, the petitioner ordered the bus driver to drive to a bank. After moving some of the passengers from the bus into the bank, the petitioner held them hostage. He then contacted the state police to demand that he speak with a news reporter so that he could be interviewed regarding a perceived threat to national security. The petitioner then allowed the passengers to leave the bank unharmed, and police officers entered the bank and arrested him without further incident.
The state charged the petitioner with two counts of kidnapping in the first degree in violation of General Statutes (Rev. to 1983) § 53a-92 (a) (1), two counts of threatening in the second degree in violation of General Statutes (Rev. to 1983) § 53a-62 (a) (1), and one count of carrying a dangerous weapon in violation of General Statutes (Rev. to 1983) § 53-206 (a). The petitioner, represented by counsel, pleaded not guilty to all charges. He then filed a notice of his intention to assert a defense of mental disease or defect. The petitioner was tried before the court on November 2, 1984, in a nonadversarial proceeding during which neither party challenged the other's case. After the proceeding, the court rendered a judgment that acquitted the petitioner of all offenses on the basis of mental disease or defect and committed the petitioner to the custody of the respondent for a period not to exceed twenty-five years. The respondent later transferred custody of the petitioner to the jurisdiction of the Psychiatric Security Review Board (board) in accordance with General Statutes § 17a-602.
Since his initial confinement, despite multiple unsuccessful challenges, the petitioner
has remained committed to the custody of the board for more than twenty-five years.
I
We begin with the petitioner's assertion that the habeas court incorrectly determined that
Duperry
v.
Solnit
, supra,
A
Because they set the legal stage for the petitioner's claim, we review
Duperry
v.
Solnit
, supra,
The federal court analyzed, in great depth, footnote 7 in this court's opinion in
Solnit
, which stated: "In light of our conclusion, we do not address whether the substance of the habeas court's holding was proper, i.e., whether the principle of
Boykin
v.
Alabama
, [
In the present appeal, the petitioner claims that the federal court's interpretation of
Duperry
v.
Solnit
, supra,
Regardless of whether this court considered the claim regarding Duperry's plea in
Solnit
, the petitioner's claim in the present case still fails. Assuming, without deciding, that the federal district court correctly determined in
Kirk
that this court did not consider the claim regarding Duperry's plea; see
Duperry
v.
Solnit
, supra,
B
With respect to
Teague
v.
Lane
, supra,
In response, the respondent contends that the habeas court, relying on
Duperry
v.
Solnit
, supra,
When considering the potential retroactive application of a new rule of constitutional criminal procedure, we apply the rule of
Teague
v.
Lane
, supra,
This court has further explained what constitutes a new rule for
Teague
purposes, observing that: "Although the court in
Teague
did not find it necessary to define the meaning of a rule, it is clear that the court was referring to a constitutional rule of criminal procedure issued by a court that would be used as a guiding principle in future cases. Thus, the court repeatedly referred to the fact that new rules are 'announced' or 'promulgated' only in specific cases ... and that a case does not announce a new rule if the result is dictated by 'precedent' ... or by the application of a principle that governed a past decision." (Citations omitted.)
Thiersaint
v.
Commissioner of Correction
, supra,
The first step in our
Teague
analysis is to determine whether the habeas court in the present case could have afforded the petitioner relief based on established jurisprudence governing his claim that his plea of not
guilty by reason of mental disease or defect should be vacated because he had not elected it knowingly and voluntarily, or whether affording such relief would have required the court to establish a new constitutional rule of criminal procedure. An analysis of the precedent existing at the time of the petitioner's trial in 1984 makes clear that no rule existed at that time that would have compelled the trial court to ensure that the petitioner's plea was knowing and voluntary. The case in existence at that time and most closely related to the present case, upon which the petitioner heavily relies, is
Boykin
v.
Alabama
, supra,
Because the petitioner adopts much of the federal court's reasoning in
Kirk
in support of his claim that
Boykin
governs pleas of not guilty by reason of mental disease or defect, we continue our
Teague
analysis with a review of
Kirk
. As stated previously, the federal court considered the claim regarding the knowing and voluntary nature of Duperry's plea de novo, after holding
that this court did not reach the merits of that claim in
Duperry
v.
Solnit
, supra,
In considering whether a plea of not guilty by reason of mental disease or defect that is not knowing or voluntary violates a defendant's due process rights, the federal court first discussed the Supreme Court's holding in
Boykin
v.
Alabama
, supra,
We disagree with the petitioner's reliance on the federal court's analysis of the claim regarding Duperry's plea, including its conclusion that the claim was not barred by
Teague
.
Turning next to
United States
v.
Brown
, supra,
As we stated in
Duperry
v.
Solnit
, supra,
Although merely applying an existing principle to the facts of a case is not considered to be a " 'new rule' " in contravention of
Teague
, the act of expanding an existing principle establishes a new constitutional rule of criminal procedure.
Thiersaint
v.
Commissioner of Correction
, supra,
Similar to
Thiersaint
, in the present case, the rule the petitioner seeks on habeas review would require the court not merely to apply the
Boykin
principle to the underlying facts, but also to expand that principle beyond the scope of guilty pleas to include pleas of not guilty by reason of mental disease or defect. The court in
Boykin
specifically announced a rule that all guilty pleas must be knowing and voluntary to comport with due process. See
Boykin
v.
Alabama
, supra,
Having concluded that the habeas court would have had to depart from prior constitutional jurisprudence to afford relief to the petitioner, we now turn to the petitioner's claim that a new rule that all pleas of not guilty by reason of mental disease or defect must be made knowingly and voluntarily falls within the second
Teague
exception, which is for watershed constitutional rules of criminal procedure.
The "watershed" exception to
Teague
v.
Lane
, supra,
Saffle
v.
Parks
, supra,
Although we recognize some similarities between guilty pleas and pleas of not guilty by reason of mental disease or defect, we conclude that a rule requiring the
election of the latter to be knowing and voluntary is not "central to an accurate determination of innocence or guilt ...."
Teague
v.
Lane
, supra,
II
We next address the petitioner's claim that the habeas court improperly determined that his defense counsel rendered effective assistance in the underlying criminal proceedings. Specifically, he claims that his defense counsel was ineffective for failing to research the law concerning the affirmative defense of mental disease or defect and failing to inform him that he could be confined beyond the maximum twenty-five year period if that defense was successful. In response, the respondent contends that the petitioner did not satisfy his factual burden to demonstrate that his defense counsel's actions constituted deficient performance and prejudiced him. We agree with the respondent.
The record reveals the following additional relevant facts. Relevant to the petitioner's ineffective assistance of counsel claim, it is important to note the lack of evidence presented in the habeas court. First, no transcripts exist of the underlying criminal proceedings, as they since have been destroyed. Second, and most important is that the petitioner's defense counsel, Richard A. Kelley, died prior to the habeas trial. At the habeas trial, three witnesses testified: Attorney Raymond Canning, Attorney John Watson, and the petitioner.
Canning testified that he had one interaction with the petitioner and Kelley, which took place right after the petitioner was arrested. Kelley, who was running late to work one morning, had called Canning and asked him to meet with the petitioner. Once Kelley arrived, he, Canning and the petitioner discussed the affirmative defense of mental disease or defect. At that time, the petitioner was advised that, although he could serve a maximum of twenty-five years, he would likely serve less time. Canning specifically testified that he and Kelley advised the petitioner that he would not be held beyond the maximum twenty-five years. Further, Canning stated that the petitioner's biggest concern was how much time he would serve. He testified that, at the time of his meeting with Kelley and the petitioner, the board did not exist, and that before the board's existence, "[t]he maximum was the maximum," but once the board was created, an individual could remain committed for a longer period of time than the initial maximum commitment period. Finally, Canning confirmed that this brief meeting with Kelley and the petitioner had been his only involvement in the matter.
Next, Watson, who has been a public defender since 1980, testified about what a reasonable attorney would have done in his or her representation of the petitioner. He noted that, at the time of the petitioner's plea, the revision of General Statutes § 53a-47 then in effect provided that the petitioner could be committed beyond the
maximum of twenty-five years.
Lastly, the petitioner testified. He stated that Kelley never told him that if he successfully asserted the affirmative defense of mental disease or defect, he nevertheless could remain committed for more than twenty-five years. He testified that, although he recalled discussing his options, Kelley had told him that the worst case scenario would be that he would be committed for about one year and then he would be released. The petitioner recalled meeting with Kelley at least five times from his arrest in 1983 through his commitment in March, 1985. Ultimately, he stated that, had he known that he could have been held beyond twenty-five years, he would not have pursued the same defense.
The habeas court, in its memorandum of decision, determined that the petitioner failed to establish both deficient performance and prejudice under the standard of
Strickland
v.
Washington
, supra,
"A criminal defendant is constitutionally entitled to adequate and effective assistance of counsel at all critical stages of criminal proceedings. ... This right arises under the sixth and fourteenth amendments to the United States constitution and article first, § 8, of the Connecticut constitution. ... It is axiomatic that the right to counsel is the right to the effective assistance of counsel. ...
"A claim of ineffective assistance of counsel is governed by the two-pronged test set forth in Strickland .... Under Strickland , the petitioner has the burden of demonstrating that (1) counsel's representation fell below an objective standard of reasonableness, and (2) counsel's deficient performance prejudiced the defense because there was a reasonable probability that the outcome of the proceedings would have been different had it not been for the deficient performance. ... For claims of ineffective assistance of counsel arising out of the plea process, the United States Supreme Court has modified the second prong of the Strickland test to require that the petitioner produce evidence that there is a reasonable probability that, but for counsel's errors, [the petitioner] would not have pleaded guilty and would have insisted on going to trial. ... An ineffective assistance of counsel claim will succeed only if both prongs [of Strickland ] are satisfied." (Citations omitted; internal quotation marks omitted.)
Thiersaint
v.
Commissioner of Correction
, supra,
"The issue of whether the representation that a defendant received at trial was constitutionally inadequate is a mixed question of law and fact. ... As such, the question requires plenary review unfettered by the clearly erroneous standard." (Citation omitted; internal quotation marks omitted.)
Davis
v.
Commissioner of Correction
,
Turning to the performance prong of Strickland , in its memorandum of decision, the habeas court was not convinced that Kelley had made inaccurate representations to the petitioner regarding the maximum amount of time for which he could be confined and, thus, concluded that the petitioner failed to establish the deficient performance prong of Strickland for two reasons. First, the habeas court found that Canning's testimony lacked evidentiary weight and was of little probative value. His interactions with the petitioner and Kelley pertained only to one meeting, which was held just after the petitioner's arrest. As such, he could not testify as to any other conversations between the petitioner and Kelley, including those in closer proximity to the assertion of the petitioner's affirmative defense. Additionally, the habeas court noted the difficulty an individual would have in recalling details from a single meeting that had taken place thirty years prior.
Second, the habeas court found that the petitioner's testimony was "uncompelling," "largely self-serving and unsupported." After observing the petitioner testify, the habeas court noted that the petitioner had difficulty remembering when he had met with his attorneys and with which attorneys he had met. Significantly, the habeas court pointed out that the petitioner himself conceded that his recollection was "iffy" of the initial meeting between himself, Canning, and Kelley, during which he claimed that he was advised that if he pursued a defense of mental disease or defect, that he could not be committed for more than twenty-five years. Thus, the habeas court concluded that, on the basis of the extremely limited evidence offered, the petitioner failed to meet his burden on the deficient performance prong of Strickland .
On the basis of our review of the evidence presented at the habeas trial, giving deference to the habeas court's factual findings; see
Sanchez
v.
Commissioner of Correction
, supra,
The judgment is affirmed.
In this opinion ROGERS, C.J., and ZARELLA, EVELEIGH, McDONALD and ESPINOSA, Js., concurred.
The habeas court granted the petitioner's petition for certification to appeal pursuant to General Statutes § 52-470(b). The petitioner subsequently appealed from the judgment of the habeas court to the Appellate Court, and we transferred the appeal to this court pursuant to General Statutes § 51-199(c) and Practice Book § 65-2.
The petitioner has filed numerous challenges to his extended confinement. Specifically, on October 23, 2003, the petitioner filed his first application for discharge from custody, which the court, Foley, J. , denied. The petitioner filed a second application for discharge on March 28, 2007, which the trial court, Swords, J. , denied.
In 2009, the state filed a petition for an order of continued commitment, in response to which the petitioner filed a motion to dismiss. After a hearing on the matter, the trial court,
Swords, J.
, concluded that the petitioner posed "an imminent and substantial risk of harm to himself or others," denied the petitioner's motion to dismiss, and granted the state's order for continued commitment. Following an unsuccessful appeal from that decision, in which we held that the trial court lacked jurisdiction over the petitioner's due process claim that his plea of not guilty by reason of mental disease or defect was not knowing, intelligent, or voluntary;
State
v.
Dyous
,
The petitioner also alleged that his due process rights were violated because the trial court did not canvass him regarding his decision to plead not guilty by reason of mental disease or defect. He subsequently withdrew that claim at the habeas trial.
The habeas court also denied the respondent's claim that the petitioner's claims were barred by the special defense of laches. This determination is not at issue in this appeal.
The undisputed facts underlying
Solnit
and Kirk
are strikingly similar to the facts in the present appeal. In April, 1988, Duperry was arrested and charged with arson and manufacturing bombs in connection with the explosion of a pipe bomb at the Institute of Living in Hartford.
Duperry
v.
Solnit
, supra,
Nearly one decade later, Duperry filed a petition for a writ of habeas corpus in the Superior Court, alleging, inter alia, that his due process rights were violated, as his plea was not made knowingly, intelligently, and voluntarily because he did not understand the consequences of raising the affirmative defense of mental disease or defect.
We also, however, exercised our supervisory authority to conclude that, "in future cases when a defendant pleads not guilty by reason of mental disease or defect and the state substantially agrees with the defendant's claim of mental disease or defect, with the result that the trial essentially is not an adversarial proceeding, the trial court must canvass the defendant to ensure that he or she fully understands the consequences of his or her plea, particularly with respect to the length of time the defendant could be confined."
Duperry
v.
Solnit
, supra,
In the alternative, the petitioner contends that, if this court "finds that the Supreme Court did in fact rule that the claim was precluded by Teague in [ Solnit ] this court [should] revisit that issue and find that the principle that a plea of [not guilty by reason of mental disease or defect] must be knowing and voluntary should apply at the time that the petitioner entered his plea and can be reviewed by this court." Because we assume that Solnit has no preclusive effect with respect to the petitioner's claim regarding the knowing and voluntary nature of his plea, for the purposes of this appeal, we decline the petitioner's suggestion to revisit the issue.
Because the claim is procedurally barred, we do not reach the merits of the petitioner's claim that all defenses premised on mental disease or defect must be elected knowingly and voluntarily to comport with due process.
Although we usually afford deference to the federal courts when interpreting federal law; see, e.g.,
Szewczyk
v.
Dept. of Social Services
,
In contrast,
Miller
existed at the time of Duperry's plea, which was entered in December, 1988, for the purposes of
Duperry
v.
Kirk
,
The petitioner does not claim that this rule would fall within the first exception to
Teague
, which "permits the retroactive application of a new rule if the rule places a class of private conduct beyond the power of the [s]tate to proscribe ... or addresses a substantive categorical guarante[e] accorded by the [c]onstitution, such as a rule prohibiting a certain category of punishment for a class of defendants because of their status or offense." (Citation omitted; internal quotation marks omitted.)
Saffle
v.
Parks
,
We rarely have addressed the issue of whether a new constitutional rule of criminal procedure established on collateral review in contravention of
Teague
, nevertheless may be applied retroactively because the rule fell within the watershed exception. Most recently, we conducted a
Teague
analysis in
Casiano
v.
Commissioner of Correction
, supra,
At the time of the petitioner's plea and commitment, the board did not exist. As such, he was committed pursuant to General Statutes (Rev. to 1985) § 53a-47. Under that statute, however, it was clear that the "state's attorney ... may petition the court for an order of further confinement on the grounds that release of the person would constitute a danger to life or person." General Statutes (Rev. to 1985) § 53a-47(d).
Concurrence Opinion
I agree with the result that the majority reaches because I believe that our decision in
Duperry
v.
Solnit
,
