BEAR, J.
The petitioner, Alison Barlow, appeals from the judgment of the habeas court dismissing in part and denying in part his third petition for a writ of habeas corpus. On appeal, the petitioner claims: (1) the court erred in denying his claim that counsel for his second habeas appeal, Christopher M. Neary, provided ineffective assistance by withdrawing the petitioner's claims of ineffective assistance of counsel concerning the petitioner's criminal trial attorney, Sheridan L. Moore; (2) the court erred in dismissing his claim that Moore had provided ineffective assistance by improperly concluding that the doctrine of deliberate bypass applied to bar that claim; (3) Moore rendered deficient performance during the petitioner's criminal proceedings by failing to advise the petitioner adequately regarding the court's plea offer; and (4) although the habeas court made no findings concerning prejudice, we should presume prejudice on the
The record reveals the following relevant facts and procedural history. The petitioner had been charged with several serious crimes, including attempt to commit murder and conspiracy to commit murder. He was offered a "one time" plea deal by the court that included a sentence of nine years to serve. The petitioner instead wanted a deal that would require him to serve only six years incarceration. The court informed him that the deal it offered was good for one day only, after which his case would be placed on the trial list. The petitioner did not accept the court's offer at that time. The offer, however, ultimately remained in effect for approximately one year before it was withdrawn. The petitioner was tried by a jury and found guilty of the charges. He was given a total effective sentence of thirty-five years incarceration.
In his first habeas petition, the petitioner, initially acting in a self-represented capacity, alleged that his trial counsel, Moore, was ineffective, inter alia, in failing to counsel him fully regarding the time limitation on the availability of the trial court's plea offer. His appointed counsel, Peter Tsimbidaros, then amended the first habeas petition and withdrew the ineffective assistance claim concerning Moore. The first habeas petition was not successful.
The petitioner, again initially acting in a self-represented capacity, filed a second habeas petition alleging that Moore had been ineffective, and that Tsimbidaros had been ineffective by withdrawing the claim concerning Moore from the first habeas petition. Appointed counsel, Neary, then filed an amended petition, withdrawing those claims. This second habeas petition was denied, and the habeas court, thereafter, denied the petition for certification to appeal. We dismissed the petitioner's appeal from that judgment after concluding that the court did not abuse its discretion in denying the petition for certification to appeal. See Barlow v. Commissioner of Correction, 131 Conn.App. 90, 26 A.3d 123, cert. denied, 302 Conn. 937, 28 A.3d 989 (2011).
The present appeal concerns the petitioner's third habeas petition. In it, he
We first consider the petitioner's claim that the court improperly applied the doctrine of deliberate bypass to his claim that Moore's assistance was ineffective with respect to the court's plea offer. He argues that the doctrine of deliberate bypass does not apply to ineffective assistance of counsel claims in habeas proceedings, but that it applies only to claims that should have been raised on direct appeal but were deliberately bypassed. He further argues that the respondent, the Commissioner of Correction, never raised this claim before the habeas court and that our case law has established that the deliberate bypass doctrine automatically becomes inapplicable when a claim of ineffective assistance of counsel is raised. The respondent argues that the doctrine applies in this instance because the petitioner knowingly and voluntarily declined to pursue his claim concerning Moore by permitting Neary to withdraw that claim.
Practice Book § 23-30(b) provides, in relevant part, that the respondent's return "shall allege any facts in support of any claim of procedural default, abuse of the
"If the respondent claims that the petitioner should have raised the issue [previously] ... the claim [of procedural default] must be raised in the return or it will not be considered at the [habeas] hearing." (Emphasis added.) W. Horton & K. Knox, 1 Connecticut Practice Series: Connecticut Superior Court Civil Rules (2013-2014 Ed.) Rule 23-30, official comments, p. 1031. "[T]he plain language of Practice Book § 23-30(b) requires the [respondent] to plead procedural default in [the] return or [the respondent] will relinquish the right to assert the defense thereafter.... [I]n Connecticut, although the petitioner has the burden of proving cause and prejudice ... that burden does not arise until after the respondent raises the claim of procedural default in [the] return.... Because the respondent did not plead procedural default as an affirmative defense ... the court could not find that the petitioner was procedurally defaulted...." (Citation omitted; internal quotation marks omitted.) Ankerman v. Commissioner of Correction, 104 Conn.App. 649, 654-55, 935 A.2d 208 (2007), cert. denied, 285 Conn. 916, 943 A.2d 474 (2008); see Milner v. Commissioner of Correction, 63 Conn.App. 726, 733, 779 A.2d 156 (2001) (supporting and applying position of federal habeas commentators that "petitioners generally need not raise waiver and procedural default matter in their initial pleading and briefs, because the burden to raise and prove those defenses is on the [respondent]" [internal quotation marks omitted]).
In the present case, the respondent did not claim in the return that the petitioner had procedurally defaulted (or that the doctrine of deliberate bypass was applicable). Accordingly, we conclude that the court improperly raised the doctrine of deliberate bypass sua sponte and, therefore, that it erred in dismissing the petitioner's claim concerning Moore on this basis.
We next consider the petitioner's claim that Moore rendered ineffective assistance of counsel during the petitioner's criminal proceedings. The petitioner argues in relevant part that Moore's "decision not to
We begin with the applicable standard of appellate review and the law governing ineffective assistance of counsel claims. "The habeas court is afforded broad discretion in making its factual findings, and those findings will not be disturbed unless they are clearly erroneous.... The application of the habeas court's factual findings to the pertinent legal standard, however, presents a mixed question of law and fact, which is subject to plenary review.... Sastrom v. Mullaney, 286 Conn. 655, 661, 945 A.2d 442 (2008).
"A finding of fact will not be disturbed unless it is clearly erroneous in view of the evidence and pleadings in the whole record.... As we have noted previously, however, when a question of fact is essential to the outcome of a particular legal determination that implicates a defendant's constitutional rights, and the credibility of witnesses is not the primary issue, our customary deference to the trial court's factual findings is tempered by a scrupulous examination of the record to ascertain that the trial court's factual findings are supported by substantial evidence.... [W]here the legal conclusions of the court are challenged, [our review is plenary, and] we must determine whether they are legally and logically correct and whether they find support in the facts set out in the memorandum of decision.... State v. Mullins, 288 Conn. 345, 362-63, 952 A.2d 784 (2008)." (Internal quotation marks omitted.) State v. DeMarco, 311 Conn. 510, 519-20, 88 A.3d 491 (2014); id., at 520, 88 A.3d 491 (if credible witness' "own testimony as to what occurred is internally consistent and uncontested by the defendant but, in fact, undercuts the trial court's ruling in favor of the state, a reviewing court would be remiss in failing to consider it").
"Ninety-seven percent of federal convictions and ninety-four percent of state convictions are the result of guilty pleas.... The reality is that plea bargains have become so central to the administration of the criminal justice system that defense counsel have responsibilities in the plea bargain process, responsibilities that must be met to render the adequate assistance of counsel that the Sixth Amendment requires in the criminal process at critical stages. Because ours is for the most part a system of pleas, not a system of trials... it is insufficient simply to point to the guarantee of a fair trial as a backstop that inoculates any errors in the pretrial process. To a large extent ... horse trading [between prosecutor and defense counsel] determines who goes to jail and for how long. That is what plea bargaining is. It is not some adjunct to the criminal justice system; it is the criminal justice system.... In today's criminal justice system, therefore, the negotiation of a plea bargain, rather than the unfolding of a trial, is almost always the critical point for a defendant.
"To note the prevalence of plea bargaining is not to criticize it. The potential to conserve valuable prosecutorial resources and for defendants to admit their crimes and receive more favorable terms at sentencing means that a plea agreement can benefit both parties. In order that these benefits can be realized, however, criminal defendants require effective counsel during
Under the two part Strickland test, a petitioner asserting a claim of ineffective assistance of counsel must demonstrate both deficient performance and prejudice. Ledbetter v. Commissioner of Correction, 275 Conn. 451, 460, 880 A.2d 160 (2005), cert. denied sub nom. Ledbetter v. Lantz, 546 U.S. 1187, 126 S.Ct. 1368, 164 L.Ed.2d 77 (2006). The petitioner will meet his burden by establishing that counsel's performance "fell below an objective standard of reasonableness"; Strickland v. Washington, supra, 466 U.S. at 688, 104 S.Ct. 2052; and that "there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different." Id., at 694, 104 S.Ct. 2052. Where, as here, a petitioner rejects a plea offer, he must establish that "but for the ineffective advice of counsel there is a reasonable probability that the plea offer would have been presented to the court (i.e., that the defendant would have accepted the plea and the prosecution would not have withdrawn it in light of intervening circumstances), that the court would have accepted its terms, and that the conviction or sentence, or both, under the offer's terms would have been less severe than under the judgment and sentence that in fact were imposed." Lafler v. Cooper, supra, 132 S.Ct. at 1385; see also Missouri v. Frye, supra, 132 S.Ct. at 1409.
When considering whether Moore's performance was deficient for failing to advise and assist the petitioner concerning the court's plea offer, the habeas court explained: "Moore acknowledged that it was her practice never to recommend to a criminal defense client to accept or reject a plea offer. She abstained from doing so to avoid later claims of a coerced plea. In particular, she made no recommendation to the petitioner as to whether to accept or reject the nine year offer. The question arises as to whether a practice eschewing such a recommendation comports with effective representation.
"There is no per se requirement obligating defense counsel to make such a recommendation. Edwards v. Commissioner of Correction, 87 Conn.App. 517, 524-25, [865 A.2d 1231] (2005); Vazquez v. Commissioner of Correction, [supra, 123 Conn.App. at 437-40, 1 A.3d 1242]; Purdy v. United States, 208 F.3d 41, 48 (2d Cir.2000). `Counsel's conclusion as to how best to advise a client in order to avoid, on the one hand, failing to give advice and, on the other, coercing a plea enjoys a wide range of reasonableness....' Vazquez v. Commissioner of Correction, supra, at 438. The need for recommendation depends on `countless' factors, such as `the defendant's chances of prevailing at trial, the likely disparity in sentencing after a full trial as compared to a guilty plea ... whether [the] defendant has maintained his innocence, and the defendant's comprehension of the various factors that will inform [the] plea decision.' Id.
"The court has found that Moore fully apprised the petitioner as to the terms of the plea offer, including its temporary nature, the strengths and weaknesses of the prosecution and defense cases, and the possible outcomes after trial.... [The court] also explained to the petitioner this information. The proof of the petitioner's
"The cases which have found defense counsel wanting for failure to recommend acceptance of a plea offer have typically involved hopeless cases where going to trial was `suicidal' and where the disparity between the plea offer and the potential sentence after trial was enormous. See., e.g., Boria v. Keane, 99 F.3d 492 (2d Cir. 1996) [cert. denied, 521 U.S. 1118, 117 S.Ct. 2508, 138 L.Ed.2d 1012 (1997)]. The circumstances of the present case differ markedly from such a scenario."
The petitioner argues that the habeas court erred in rendering its decision because Moore testified during the habeas trial that she presented the court's plea offer to him without giving him any advice on that offer, which, he argues, is constitutionally deficient performance that reduces counsel's role "to that of a mere messenger...." He further explains that the role of an attorney is to give advice and counsel to a client, especially in a criminal matter, and, in the present case, Moore specifically testified that she refrained from giving any such advice, which the habeas court acknowledged in its memorandum of decision. He further argues that Moore's testimony that she refrained from giving him any advice about the plea offer in order to protect herself demonstrated a clear conflict of interest in violation of rule 1.7 of the Rules of Professional Conduct
"The decision whether to plead guilty or contest a criminal charge is ordinarily the most important single decision in any criminal case.... [C]ounsel may
In Peterson v. Commissioner of Correction, 142 Conn.App. 267, 272-73, 67 A.3d 293 (2013), we recently explained: "Although affirming a defendant's constitutional right to the effective assistance of counsel at the plea negotiations stage of criminal proceedings, our courts have nevertheless been reluctant to elaborate on attorney behaviors that may or may not constitute ineffectiveness. In Ebron v. Commissioner of Correction, 120 Conn.App. 560, 572, 992 A.2d 1200 (2010), rev'd in part on other grounds, 307 Conn. 342, 53 A.3d 983 (2012), cert. denied sub nom. Arnone v. Ebron, ___ U.S. ___, 133 S.Ct. 1726, 185 L.Ed.2d 802 (2013), this court observed: `[P]lea bargaining is an integral component of the criminal justice system and essential to the expeditious and fair administration of our courts.... Commentators have estimated that between 80 and 90 percent of criminal cases in Connecticut result in guilty pleas, the majority of which are the product of plea bargains.... Thus, almost every criminal defendant is faced with the crucial decision of whether to plead guilty or proceed to trial. Although this decision is ultimately made by the defendant, the defendant's attorney must make an informed evaluation of the options and determine which alternative will offer the defendant the most favorable outcome. A defendant relies heavily upon counsel's independent evaluation of the charges and defenses, applicable law, the evidence and the risks and probable outcome of a trial.... Indeed, the United States Court of Appeals for the Second Circuit has described the decision to plead guilty as ordinarily the most important single decision in any criminal case.... Boria v. Keane, [supra, 99 F.3d at 496-97]. It further stated that [e]ffective assistance of counsel includes counsel's informed opinion as to what pleas should enter." (Emphasis omitted; internal quotation marks omitted.)
In Vazquez v. Commissioner of Correction, supra, 123 Conn.App. at 437, 1 A.3d 1242 we explained: "Prior to trial an accused is entitled to rely upon his counsel to make an independent examination of the facts, circumstances, pleadings and laws involved and then to offer [an] informed opinion as to what plea should be entered. Determining whether an accused is guilty or innocent of the charges in a complex legal indictment is seldom a simple and easy task for a layman, even though acutely intelligent.... A defense lawyer in a criminal case has the duty to advise his client fully on whether a particular plea to a charge appears to be desirable." (Citation omitted; emphasis added; internal quotation marks omitted.)
We further explained: "On the one hand, defense counsel must give the client the benefit of counsel's professional advice on this crucial decision of whether to plead guilty.... On the other hand, the ultimate decision whether to plead guilty must be made by the defendant.... And a lawyer must take care not to coerce a client into either accepting or rejecting a plea offer.... Counsel's conclusion as to how best to advise a client in order to avoid, on
After examining relevant case law, we conclude that a crucial component of counsel's effective representation during plea negotiations is giving professional advice to a defendant. See Cardoza v. Rock, supra, 731 F.3d at 178-79; Boria v. Keane, supra, 99 F.3d at 496; Peterson v. Commissioner of Correction, supra, 142 Conn. App. at 273, 67 A.3d 293; Vazquez v. Commissioner of Correction, supra, 123 Conn. App. at 437, 1 A.3d 1242; see also Model Code of Professional Responsibility, Ethical Consideration 7-7 (1992);
In the present case, there is no question that the habeas court credited Moore's testimony. During the habeas trial, Moore testified that the state initially had offered the petitioner a plea deal that required him to serve fourteen years of an eighteen year sentence, but that the court offered the petitioner a sentence of fifteen years, suspended after nine years of incarceration. The petitioner, however, wanted to serve only six years, and he wanted to know what sentences his codefendants would be getting before he decided on his course of action. Moore also testified that, although the court stated that the offer would be good only for that day, the court actually kept the offer open until the start of trial. Moore additionally testified during the habeas trial that she refrained from giving the petitioner any advice on the plea offer proposed by the court; she merely gave him the facts of the offer, providing no assistance or advice as he weighed his options.
The petitioner next argues that, although the habeas court made no findings concerning prejudice, we can presume prejudice on appeal on the basis of the record. He argues that the record clearly demonstrates that he was willing to plead guilty because he made a counteroffer to the court, and it is reasonably probable that he would have taken the court's offer had counsel properly advised him. He asks that we order that the petition for a writ of habeas corpus be granted and that the court be ordered to give the petitioner the opportunity to plead guilty under the plea agreement he previously was offered by the trial court. The respondent contends that the record is inadequate to review the prejudice prong of the Strickland analysis because the habeas court made no findings as to prejudice. He argues, therefore, that we should affirm the judgment on the basis of an inadequate record. In the alternative, the respondent requests that we remand the case to the habeas court for consideration of the Strickland prejudice prong.
The respondent argues that we cannot make the credibility determinations that are necessary in determining whether the petitioner was prejudiced. He argues: "In applying the three-pronged test for determining whether Moore's failure to make a specific recommendation regarding [the trial court's] plea offer prejudiced the petitioner for Sixth Amendment purposes, the [respondent] does not dispute that the record is sufficient for this court to consider the prong that concerns whether [the trial court] would have continued to extend the offer after it was initially rejected by the petitioner; Ebron [v. Commissioner of Correction, 307 Conn. 342, 352, 53 A.3d 983 (2012), cert. denied sub nom. Arnone v. Ebron, ___ U.S. ___, 133 S.Ct. 1726, 185 L.Ed.2d 802 (2013)]; given [Moore's] uncontested testimony that the judge held the offer open until the start of trial.... The [respondent] also does not dispute that the record is adequate for this court to find, pursuant to another prong of the test, that the offer[ed] sentence of nine years to serve would have been less severe than the thirty-five year total effective sentence that the petitioner received as a result of his convictions at trial. However, the record is lacking regarding the final prong of the test, which is whether the petitioner would have accepted the offer had [Moore] recommended that he do so. The petitioner asserts that he would have accepted the offer ... [b]ut only the habeas court, as the trier of fact, is in a position to assess the petitioner's believability on this matter and make the necessary credibility determination...." (Citations omitted.)
The petitioner contends that we can presume prejudice on the basis of the record because it is uncontested that he was willing to take a plea deal because he asked Moore to try to negotiate a deal that required him to serve a term of six years, and he was not insisting on going to trial. Citing Missouri v. Frye, supra, 132 S.Ct. at 1409, he argues that in this case there is no need for a credibility determination because he need not prove that he would have accepted the court's offer because the standard set forth in Frye requires only that he demonstrate a reasonable probability that he would have accepted such offer. We agree with the respondent that the habeas court is in the best position to determine whether it is reasonably likely
The judgment is reversed in part and the case is remanded for further proceedings on the issue of whether the petitioner was prejudiced by counsel's deficient performance. In the event that the habeas court finds that the petitioner has established prejudice, and no timely appeal is taken from that decision, the judgment is reversed and the case is remanded with direction to grant the petition for a writ of habeas corpus. In the event that the habeas court finds that the petitioner has failed to demonstrate prejudice, and no timely appeal is taken from that decision, the judgment is reversed only as to form and the court is ordered to render judgment denying rather than dismissing the petition as it relates to the claim that Moore provided ineffective assistance of counsel.
In this opinion the other judges concurred.
"In Boria, we applied this principle in holding that an attorney had rendered constitutionally deficient assistance to the defendant by failing to discuss with him the advisability of accepting or rejecting a proffered plea bargain that would have resulted in a prison term of one-to-three years, where the attorney felt it would be suicidal to go to trial and the defendant, after going to trial, received a sentence of [twenty] years to life. See [Boria v. Keane, supra, 99 F.3d at 494-95]. We noted that although our own Court had not previously been called upon to articulate the rule that an accused is entitled to receive such advice, our holding was based principally on the standards for claims of ineffective assistance of counsel set out more than a decade earlier in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), and on well established principles set forth in American Bar Association (ABA) guidelines: While the Second Circuit may not have spoken, the Strickland Court has indicated how the question should be resolved. Just before starting its discussion of the merits, it observed that it had granted certiorari to consider the standards by which to judge a contention that the Constitution requires that a criminal judgment be overturned because of the actual ineffective assistance of counsel. [Id.] at 684 [104 S.Ct. 2052].... Later it pointed to [p]revailing norms of practice as reflected in American Bar Association standards as guides to determining what is reasonable. Id. at [688, 104 S.Ct. 2052]....
"The American Bar Association's standard on the precise question before us is simply stated in its Model Code of Professional Responsibility, Ethical Consideration 7-7 (1992): A defense lawyer in a criminal case has the duty to advise his client fully on whether a particular plea to a charge appears to be desirable.... Boria [v. Keane, supra, 99 F.3d at] 496....
"Further, as recognized in Boria, the principle articulated by the Supreme Court in Von Moltke in 1948 had been reiterated decades prior to Boria by other circuit courts of appeals in Walker v. Caldwell, 476 F.2d 213, 224 (5th Cir.1973), and Jones v. Cunningham, 313 F.2d 347, 353 (4th Cir.), cert. denied, 375 U.S. 832, 84 S.Ct. 42, 11 L.Ed.2d 63 (1963), and by the district court in which Roccisano was convicted and filed his 1991 and 1995 Motions, see Boria [v. Keane, supra, 99 F.3d] at 497 ([i]n United States v. Villar, 416 F.Supp. 887, 889 [(S.D.N.Y.1976)], Judge Motley ... made the following observation about effective assistance of counsel: Effective assistance of counsel includes counsel's informed opinion as to what pleas should be entered).
"In sum, the principle that defense counsel in a criminal case must advise his client of the merits of the government's case, of what plea counsel recommends, and of the likely results of a trial, was established long before Roccisano was even prosecuted. Roccisano plainly was aware of the factual basis for his present claim, knowing what counsel's advice to him had been. The fact that Boria had not yet been decided gave him no excuse for not raising his present claim at least as early as his first [motion pursuant to 28 U.S.C. § 2255]." (Citations omitted; emphasis altered; internal quotation marks omitted.) Roccisano v. Menifee, supra, 293 F.3d at 59-60.
Our Supreme Court in DeMarco was careful to insert a footnote stressing that the finder of fact is free to credit parts of a witness' testimony and to reject other parts. See id., at 520 n. 4, 88 A.3d 491. That specific limitation leads us to believe that the broad review approved in DeMarco is to be used sparingly and only where the overall thrust of a witness' testimony, relied upon by both parties, is clear and unequivocal.
We believe that Moore's testimony in the present case falls into that narrow category. Her testimony, which we have carefully reviewed, was clear and unequivocal. It was relied on by both sides, and credited by all parties and by the habeas court. We conclude, then, that the circumstances of the present case fit within the narrow exception recognized in DeMarco, and that we may rely on facts apparent from Moore's testimony, even though not expressly found by the habeas court.
"[The Petitioner's Counsel]: Did you recommend to [the petitioner] that he accept [the court's] offer?
"[Moore]: I don't recommend that people take offers.
"[The Petitioner's Counsel]: You just convey the offer?
"[Moore]: That's correct."
* * *
"[The Petitioner's Counsel]: And just going back to April 21, 1997, you had testified that the prosecutor wanted eighteen, suspended after fourteen. The [court] offered fifteen, suspended after nine, and [the petitioner] said he would take six.
"[Moore]: Again, that's what appears to have happened.
"[The Petitioner's Counsel]: So, you are only three years apart, correct?
"[Moore]: ... yes.
"[The Petitioner's Counsel]: And did you make any attempt to convince [the petitioner] to go with the nine years that [the court] was offering?
"[Moore]: As I indicated, I don't convince my clients. I indicate what the offer is. They tell me what they want or don't want, and I relay that to the judge.
"[The Petitioner's Counsel]: Okay. But based on the seventeen years [of] experience you had at that time, do you tell them, here is what I think is likely to happen, you should seriously consider taking this offer?
"[Moore]: No, I don't do that."
"[The Respondent's Counsel]: Did you feel that his desire for [a] six year sentence was realistic in light of the circumstances and his history?
"[Moore]: I don't think I had a feeling one way or the other. I felt that I would relay the court's offer to [the petitioner], [the petitioner] would tell me what he wanted me to relay to the court, and I did that; I didn't feel one way or the other.
"[The Respondent's Counsel]: If a client says to you, you know, what is the range that I can expect, how does what I desire fit into this? Do you go over that with them?
"[Moore]: Well, I don't think I ever had a conversation like that with my client."