State v. Lima
State v. Lima
Opinion
The defendant, Evandro P. Lima, appeals 1 from the judgment of the trial court, which denied his motion to vacate his guilty plea to one count of conspiracy to commit larceny in the third degree in violation of General Statutes §§ 53a-124 and 53a-48. The defendant claims that the trial court abused its discretion in denying that motion because, under General Statutes § 54-1j(a), 2 the court was required but failed to ask the defendant whether he had spoken with counsel about the possible immigration consequences of pleading guilty before accepting the plea offer. We disagree with the defendant that the trial court improperly failed to inquire of the defendant whether he had consulted with counsel about the possible immigration consequences of his guilty plea because the defendant expressly acknowledged that he understood those consequences, which is all that was required for purposes of § 54-1j(a). We therefore affirm the judgment of the trial court.
The following undisputed facts and procedural history are relevant to our resolution of this appeal. The defendant entered a plea of guilty under the Alford doctrine 3 to conspiracy to commit larceny in the third degree after he and a friend took an automobile worth approximately $10,000 from a dealership for a test drive and never returned it. During the plea canvass, when the court asked the defendant whether he had discussed with his attorney the case and his decision to plead guilty, he answered in the affirmative. The defendant also responded in the affirmative when the court asked him whether he understood that, if he was not a citizen, his conviction could result in his "removal from the United States, exclusion from readmission or denial of naturalization ...." At the conclusion of the plea canvass, the trial court also asked the assistant state's attorney and defense counsel whether there was any reason why the court should not accept the defendant's plea, and both responded that they were not aware of any such reason. Following the plea canvass, the court sentenced the defendant to one year of incarceration.
Thereafter, pursuant to § 54-1j(a) and (c), the defendant filed a motion to vacate his guilty plea, claiming that the trial court improperly failed to determine whether he had spoken to defense counsel about the possible immigration consequences of pleading guilty before the court accepted the defendant's plea. The trial court denied the defendant's motion, concluding that § 54-1j(a) contains no requirement that the court ask the defendant whether he had discussed with counsel the possible immigration consequences of pleading guilty; rather, it requires the court to ask only whether he understood that pleading guilty could have such consequences. Under the trial court's reading of the statute, only if the defendant had answered the court's question in the negative was it obligated to conduct an additional inquiry.
The defendant claims on appeal that § 54-1j(a) is ambiguous as to whether the trial court was required to make an express inquiry of the defendant to determine whether he had discussed with counsel the possible immigration consequences of pleading guilty. The defendant contends that this ambiguity arises from the fact that, although the statute provides that the trial court must allow a defendant time to discuss with counsel those possible consequences of his plea if he has not already done so, it is silent as to the manner in which the trial court is to determine whether such a discussion had taken place. According to the defendant, two possibilities exist. The first is that, before accepting the defendant's plea, the court must ask the defendant directly whether he has discussed the immigration consequences of the plea with his attorney. The second is that the court may ascertain whether such a discussion had taken place when it asks the defendant whether he understands that his plea could carry with it certain adverse immigration consequences because, if the defendant has not previously discussed that issue with counsel, he will respond to the court's inquiry in the negative. The defendant further maintains that, in light of this ambiguity, this court may consult extratextual evidence of the statute's meaning, such as its legislative history, prior judicial decisions and the laws of other states, which, according to the defendant, support his reading of the statute. 4 As in all cases of statutory interpretation, we begin our analysis with the pertinent statutory language. Section 54-1j(a) provides that the court shall not accept a guilty plea without first addressing the defendant personally to ensure that he fully understands that, if he is not a United States citizen, his conviction may have certain enumerated immigration consequences under federal law, and, further, if the defendant has not discussed these possible consequences with his attorney, the court shall permit him to do so before accepting his plea offer. Section 54-1j(c) provides that, if the court fails to comply with the requirements of subsection (a), and the defendant can demonstrate that his conviction may have one of the enumerated immigration consequences, the court, upon motion of the defendant within three years of the plea, shall vacate the judgment and permit the defendant to withdraw his guilty plea and enter a plea of not guilty.
Thus, by its terms, "[§] 54-1j (a) permits a court to accept a defendant's plea only if the court conducts a plea canvass during which ... (1) the court personally
addresses the defendant and (2) the court determines that the defendant understands fully the possible immigration consequences that may result from entering a plea."
State
v.
James
,
As the defendant acknowledges, however, the Appellate Court rejected this very argument in
State
v.
James , supra,
We agree with the Appellate Court that § 54-1j(a) does not purport to require the trial court to inquire directly of the defendant as to whether he has spoken
with counsel about the possible immigration consequences of pleading guilty before the court accepts the defendant's guilty plea. Well established rules of statutory construction compel this conclusion, chief among them the bedrock principle that the legislature is fully capable of enacting legislation consistent with its intent, particularly in the area of criminal procedure. See, e.g.,
State
v.
Fernando A
.,
Our interpretation finds support in the fact that, under subsection (c) of § 54-1j, a conviction may be vacated only "[i]f the court fail [ed] to address the defendant personally [to] determine that [he] fully understands the possible consequences of [his] plea, as required in subsection (a) of [§ 54-1j ] ...." Once again, we may presume that, if the legislature had intended to allow a conviction to be set aside for any other reason, it would have indicated such intent explicitly.
In reaching our determination, we are also mindful "that the jurisdiction of the sentencing court terminates once a defendant's sentence has begun and that a court may not take action affecting a defendant's sentence
unless it expressly has been authorized to act
." (Emphasis added.)
State
v.
Lawrence
,
The defendant nonetheless argues that this court's decision in
State
v.
Hall
,
In
Hall
, the defendant, Osibisa Hall, claimed that, under § 54-1j(c), the trial court's failure to address him personally during the plea canvass-the court had addressed his attorney instead-to determine whether he understood the immigration consequences of his plea required that his conviction be vacated and that he be allowed to withdraw his guilty plea. See id., at 530-32,
In light of these facts, this court concluded that the trial court had substantially complied with the basic tenets of § 54-1j(a), which was all that the statute required under
State
v.
Malcolm,
In reaching our determination, we rejected Hall's contention "that [a 2003] amendment to § 54-1j(a) subsequent to our decision in
Malcolm
require[d] us to revisit the substantial compliance standard."
State
v.
Hall , supra,
In light of the purpose of § 54-1j, we concluded that the trial court had substantially complied with that statutory provision because the record revealed "that [Hall] was adequately warned that his immigration status could be implicated by his guilty pleas. In response to the court's inquiry, defense counsel stated on the record that he had informed [Hall] about potential immigration issues and that [Hall] understood the possible consequences of his pleas. The trial court properly relied [on] these representations by defense counsel." Id., at 536,
Contrary to the defendant's contention, however, our observation concerning the legislature's understanding of the trial court's role in effectuating the policy reflected in § 54-1j was intended simply to underscore
the reasonableness of the trial court's reliance on defense counsel's representations regarding Hall's understanding of the immigration consequences of his plea, because it was the duty of counsel, not the trial court, to apprise Hall of those consequences. Indeed, the right to the effective assistance of counsel guaranteed by the sixth amendment to the United States constitution requires defense counsel to advise a defendant about the possible immigration consequences of pleading guilty whenever that defendant considers entering such a plea. See, e.g.,
Padilla
v.
Kentucky
,
We note, moreover, our observation in
Hall
; see
State
v.
Hall , supra,
In
Webb
, the defendant, Delroy Anthony Webb, argued that the term "advises," as used in the preamendment version of the statute, "required the court to actively interact with the defendant and to engage in a colloquy to ensure that he fully underst[ands] the deportation consequences of his guilty plea ...."
State
v.
Webb , supra,
In
State
v.
Irala , supra,
"Currently there is no requirement that the court ascertain whether the defendant understands the immigration ramifications [of pleading guilty]. As it stands now, the court is required ... only to advise the defendant that if he or she is not a citizen of the United States ... certain immigration consequences [may ensue].
"Since the court is already required to give this advice, the only substantial change would be that the court asks the defendant a question, which requires an answer, instead of simply making a statement about the consequences.
* * *
"By requiring the court to ascertain affirmatively that the defendant understands the possible consequences on the record, the defendant would no longer be able to request that the judgment be vacated or the plea withdrawn by way of a writ of habeas corpus on the ground that he or she did not understand the immigration consequences.
"This door would be closed because the defendant's affirmative acknowledgment of his or her understanding of the consequences would be on the record....
"Passage of [the proposed legislation] would result in a decrease in the number of habeas corpus petitions brought before the court that allege that [a] plea was not voluntary. This decrease in the number of petitions filed would provide the Habeas Unit [of] the Office of [the] Chief Public Defender more time to devote to other petitions in the system, which is already so [over-burdened]." Conn. Joint Standing Committee Hearings, Judiciary, Pt. 7, 2003 Sess., pp. 2163-64. Thus, contrary to the defendant's assertion, the legislative history is fully consistent with our conclusion that the 2003 amendment was not intended to impose any requirements on the trial court apart from the ones expressly provided therein. 8
The judgment is affirmed.
In this opinion the other justices concurred.
The plaintiff appealed to the Appellate Court from the judgment of the trial court, and we transferred the appeal to this court pursuant to General Statutes § 51-199(c) and Practice Book § 65-1.
General Statutes § 54-1j(a) provides: "The court shall not accept a plea of guilty or nolo contendere from any defendant in any criminal proceeding unless the court first addresses the defendant personally and determines that the defendant fully understands that if the defendant is not a citizen of the United States, conviction of the offense for which the defendant has been charged may have the consequences of deportation or removal from the United States, exclusion from readmission to the United States or denial of naturalization, pursuant to the laws of the United States. If the defendant has not discussed these possible consequences with the defendant's attorney, the court shall permit the defendant to do so prior to accepting the defendant's plea."
General Statutes § 54-1j(c) provides: "If the court fails to address the defendant personally and determine that the defendant fully understands the possible consequences of the defendant's plea, as required in subsection (a) of this section, and the defendant not later than three years after the acceptance of the plea shows that the defendant's plea and conviction may have one of the enumerated consequences, the court, on the defendant's motion, shall vacate the judgment, and permit the defendant to withdraw the plea of guilty or nolo contendere, and enter a plea of not guilty."
Unless otherwise noted, all references to § 54-1j are to the current revision of the statute.
A defendant pleading guilty under the
Alford
doctrine neither admits guilt nor protests innocence, but merely acknowledges that the state can produce evidence that would be sufficient to obtain a conviction. See
North Carolina
v.
Alford
,
"When construing a statute, [o]ur fundamental objective is to ascertain and give effect to the apparent intent of the legislature.... In other words, we seek to determine, in a reasoned manner, the meaning of the statutory language .... In seeking to determine that meaning, General Statutes § 1-2z directs us first to consider the text of the statute itself and its relationship to [the broader statutory scheme]. If, after examining such text and considering such relationship, the meaning of such text is plain and unambiguous and does not yield absurd or unworkable results, extratextual evidence of the meaning of the statute shall not be considered.... The test to determine ambiguity is whether the statute, when read in context, is susceptible to more than one reasonable interpretation.... When a statute is not plain and unambiguous, we also look for interpretive guidance to the legislative history and circumstances surrounding its enactment, to the legislative policy it was designed to implement, and to its relationship to existing legislation and common law principles governing the same general subject matter ...." (Internal quotation marks omitted.)
State
v.
Pond
,
The court in
James
made clear that it was not suggesting that defense counsel has no duty to advise an accused of the immigration consequences of a guilty plea but, rather, that § 54-1j is not the source of that duty.
State
v.
James , supra,
We note, moreover, that, even if we were to agree with the defendant that § 54-1j(a) is susceptible of more than one reasonable interpretation, the principle of legislative acquiescence would counsel against the construction advanced by the defendant. See, e.g.,
State
v.
Flemke
,
The defendant also contends that we should construe § 54-1j(a) as directing trial courts to inquire whether a defendant has discussed the possible immigration consequences of pleading guilty with counsel because statutes in several other jurisdictions require that the court allow time for a defendant to have such a discussion only upon the defendant's request. The defendant asserts that the absence of any such " 'upon request' language ... from § 54-1j(a) strongly suggests that the onus is on the court, rather than [on] the defendant, to ensure that the defendant has had adequate time to speak with counsel about immigration consequences." We will not read into § 54-1j requirements that are not contained therein merely because other states have chosen different language to effectuate the same policy. We note, moreover, that the statutes that the defendant cites are arguably less protective of noncitizen defendants because, unlike § 54-1j(a), they do not require courts to determine that a defendant fully understands that pleading guilty may result in his deportation or inability to later reenter the country; instead, they merely require that the court advise the defendant that such consequences may ensue from the entry of a guilty plea.
Having concluded that, under § 54-1j, the trial court is not required to ask a defendant whether he has consulted with counsel about the possible immigration consequences of his guilty plea when that defendant has informed the court that he understands those possible consequences, we nevertheless believe that it is a good practice to make such an inquiry. Thus, we therefore encourage our trial courts to do so.
Reference
- Full Case Name
- STATE of Connecticut v. Evandro P. LIMA
- Cited By
- 4 cases
- Status
- Published