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State of Connecticut v. Luis Rivera (12230) — Supreme Court of Connecticut, Decision released July 2, 1985

Factual and Procedural Background

The defendant, Luis Rivera, was charged by substitute information with two counts of robbery in the first degree (General Statutes § 53a-134 (a)(4)), criminal attempt to commit robbery in the first degree (General Statutes §§ 53a-49 and 53a-134 (a)(4)), conspiracy to commit robbery in the first degree (General Statutes §§ 53a-48 and 53a-134 (a)(4)) and larceny in the second degree (General Statutes §§ 53a-119 and 53a-123). After a jury trial in the Superior Court in New Haven before Judge Celotto, the jury found Rivera guilty on counts one through four and not guilty on count five. He was sentenced to an effective term of five to ten years and appealed to this court.

The convictions arose from an incident in which three young men were robbed after their moped broke down. A red station wagon stopped; the passenger threatened the men and demanded money. The victims noted the license plate, reported the incident to police, and later identified the car when police located it outside a Meriden after-hours bar. The car was stolen and contained a fingerprint of the defendant. Each victim independently identified Rivera from photographic arrays and in court. The defense presented an alibi: witnesses placed Rivera at the after-hours club that night and testified he was under the influence of drugs and alcohol.

Legal Issues Presented

  1. What is the proper forum in which to consider a claim that a criminal conviction must be set aside because of ineffective assistance of counsel—direct appeal or habeas corpus proceedings?
  2. Whether the defendant was denied the constitutional right to effective assistance of counsel at his criminal trial (as alleged by the defendant).

Arguments of the Parties

Appellant's Arguments

  • The defendant alleges he was denied effective assistance of counsel in violation of the Sixth and Fourteenth Amendments and article first, § 8, of the Connecticut Constitution.
  • Specifically, trial counsel's conduct was allegedly ineffective in five respects:
    • Failure to pursue pretrial suppression of photographic identifications by two of the victims;
    • Failure to object to hearsay testimony by the victims;
    • Failure to object to expert testimony about the defendant's fingerprint;
    • Failure to object to inflammatory cross-examination of one alibi witness;
    • Prejudicial direct examination of another alibi witness.

Appellee's Arguments

The opinion does not contain a detailed account of the state's legal arguments in opposition to the defendant's claims.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
McMann v. Richardson, 397 U.S. 759, 771 n. 14, 90 S.Ct. 1441, 25 L.Ed.2d 763 (1970) Establishes that the constitutional right to counsel includes the right to effective assistance of counsel. Used to support the proposition that Rivera's claim rests on a recognized constitutional right to effective counsel.
State v. Gregory, 191 Conn. 142, 143, 463 A.2d 609 (1983) Connecticut authority recognizing the right to effective assistance and cited in defining standards for ineffective assistance claims. Cited for the same proposition as McMann and as part of the court's articulation of the governing law.
State v. Scielzo, 190 Conn. 191, 205-206, 460 A.2d 951 (1983) Connecticut authority recognizing the constitutional right to effective assistance of counsel. Applied to support the legal premise that counsel must be effective under federal and state constitutions.
State v. Tirado, 194 Conn. 89, 91-92, 478 A.2d 606 (1984) States the two-part test for ineffective assistance of counsel (deficient performance and prejudice). Cited as authority for the test the court applies to assess ineffective assistance claims and as an example of declining such claims on direct appeal.
State v. Chairamonte, 189 Conn. 61, 63, 454 A.2d 272 (1983) Connecticut authority cited in relation to the two-part test for ineffective assistance. Included among authorities establishing the legal standard for measuring ineffective assistance.
Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) U.S. Supreme Court articulation of the two-pronged Strickland test for ineffective assistance of counsel. Cited as controlling federal authority for the two-part performance-and-prejudice test used by the court.
State v. Lubesky, 195 Conn. 475, 485, 488 A.2d 1239 (1985) Example of this court declining to consider ineffective assistance claims on direct appeal and suggesting habeas review. Used to illustrate the court's practice of directing such claims to habeas corpus rather than deciding them on direct appeal.
State v. Jacobowitz, 194 Conn. 408, 413, 480 A.2d 557 (1984) Another example of declining to decide ineffective assistance claims on direct appeal. Applied as precedent for preferring habeas review on such claims.
Paulsen v. Manson, 193 Conn. 333, 337, 476 A.2d 1057 (1984) States that a habeas petitioner must allege and establish he did not deliberately bypass direct appeal; articulates purposes of the deliberate bypass rule. Cited for the deliberate bypass rule and its purposes in the context of collateral review.
Morin v. Manson, 192 Conn. 576, 579, 472 A.2d 1278 (1984) Supports the deliberate bypass rule requiring explanation for not pursuing direct appeal before collateral review. Used to reinforce the court's discussion of procedural prerequisites for habeas review under ordinary circumstances.
McClain v. Manson, 183 Conn. 418, 433, 439 A.2d 430 (1981) Another decision cited for the deliberate bypass principle applied to habeas petitioners. Referenced as part of the court's established framework governing collateral claims.
Blue v. Robinson, 173 Conn. 360, 369-70, 377 A.2d 1108 (1977) Earlier case describing the deliberate bypass rule and its functions. Cited to explain the purposes served by requiring direct appeal prior to habeas in general.

Court's Reasoning and Analysis

The court began by recognizing the established two-pronged test for ineffective assistance of counsel (performance deficiency and prejudice), citing both Connecticut and United States Supreme Court authority. It explained that appellate review of such claims is often inadequate because an appellate record rarely reveals the strategic reasons for counsel's actions or omissions.

Given that difficulty, the court observed that it has increasingly declined to resolve ineffective assistance claims on direct appeal and has suggested habeas corpus as the proper forum to address their merits. The court then analyzed the policy underlying the deliberate bypass rule—which ordinarily requires a habeas petitioner to show he did not deliberately bypass direct appeal—and concluded that the rule should be relaxed when the sole claim for relief is ineffective assistance of counsel.

The court explained why habeas corpus is preferred in such single-issue ineffective assistance cases: it economizes judicial resources by permitting resolution in a single forum, and it allows the claim to be heard more expeditiously. The court limited the scope of this procedural change: when ineffective assistance is joined with other substantive or procedural claims, the court did not decide whether the deliberate bypass rule should be relaxed and indicated that direct appeal will ordinarily need to be exhausted in those mixed cases.

The court further required that, before a trial court entertains a habeas petition in these situations, it should ascertain on the record that the defendant knowingly, voluntarily and intelligently waives the right to a direct appeal.

Applying this analysis to Rivera's appeal, the court declined to find reversible error on the appellate record, noting that the record does not reveal the strategic reasons for counsel's trial decisions and that the trial court had remarked at sentencing that defense counsel "has done the very best he can do with the facts and situation that was presented to him." The court also noted there was no claim that the evidence was insufficient to sustain the convictions.

Holding and Implications

The court held that it would not find reversible error on Rivera's direct appeal and announced that habeas corpus is the preferred route for review of convictions challenged solely on the ground of ineffective assistance of counsel.

Implications:

  • The defendant's convictions and sentences were not reversed on direct appeal; the court remitted Rivera to pursue relief, if any, by petitioning for habeas corpus.
  • The court relaxed the deliberate bypass rule for cases where ineffective assistance of counsel is the only claim, explaining that habeas review in such cases better serves judicial economy and expedition.
  • Before a trial court considers a habeas petition in these circumstances, it must ascertain on the record that the defendant knowingly, voluntarily and intelligently waives the right to a direct appeal.
  • The court expressly left unresolved whether the deliberate bypass rule should be relaxed when ineffective assistance is not the sole issue; in mixed claims, direct appeal will ordinarily need to be exhausted.

STATE OF CONNECTICUT v. LUIS RIVERA

Where, as here, the sole claim for relief from a criminal conviction is a claim of ineffective assistance of counsel, the preferred route for review of that claim is a petition for a writ of habeas corpus. Accordingly, this court declined to find reversible error on the defendant's appeal to it. Rule prohibiting deliberate bypass of direct appeal, discussed.

PETERS, C.J.

The principal issue in this appeal is the determination of the proper forum in which to consider the defendant's claim that his robbery conviction must be set aside because of ineffective assistance of counsel. The defendant, Luis Rivera, was charged in a substitute information with having committed robbery in the first degree in violation of General Statutes 53a-134 (a)(4); criminal attempt to commit robbery in the first degree in violation of General Statutes 53a-49 and 53a-134 (a)(4); conspiracy to commit robbery in the first degree in violation of General Statutes 53a-48 and 53a-134 (a)(4); and larceny in the second degree in violation of General Statutes 53a-119 and 53a-123. After a trial to a jury, he was found guilty of all of the charges except that of larceny. He appeals from the judgment convicting him of these crimes and sentencing him to an effective sentence of five to ten years.

The defendant's conviction arose out of the following facts. Three young men were returning home from their jobs at a restaurant in Wallingford when the moped on which two of them were riding broke down. The other young man was on foot. While they waited for help, a red station wagon drove up and stopped. The passenger in the car first asked for directions and then proceeded to threaten the men and to demand their money. When, after some hesitation, the victims complied with this demand, the car drove off. Although the incident occurred at night, the area was brightly lit and the victims noted the license plate of the car. After making a timely report to the police, the victims were able to identify the car used in the crime when the police, shortly thereafter, located the car outside a Meriden after-hours bar. The car, which had been stolen, was later determined to contain a fingerprint of the defendant. Each of the three victims, on the basis of independent photographic arrays, identified the defendant as the person who had taken their money. Each of the victims also identified the defendant in court.

The defense offered at the trial was one of alibi. Several witnesses testified that the defendant was at the after-hours club at the time of the crime, and that he was under the influence of drugs and alcohol throughout that night. In addition, the defense sought to undermine the credibility of the witnesses presented by the state.

The defendant's only claim on this appeal is that he was denied his constitutionally guaranteed right to effective assistance of counsel in violation of the sixth and fourteenth amendments to the United States constitution and of article first, 8, of the Connecticut constitution. It is undisputed that the constitutional right to counsel to which every person accused of a crime is entitled is a right to effective assistance of counsel. McMann v. Richardson, 397 U.S. 759, 771 n. 14, 90 S.Ct. 1441, 25 L.Ed.2d 763 (1970); State v. Gregory, 191 Conn. 142, 143, 463 A.2d 609 (1983); State v. Scielzo, 190 Conn. 191, 205-206, 460 A.2d 951 (1983). The defendant alleges that trial counsel's conduct of his defense constituted ineffective assistance in five respects: failure to pursue pretrial suppression of photographic identifications by two of the victims; failure to object to hearsay testimony by the victims; failure to object to expert testimony about the defendant's fingerprint; failure to object to inflammatory cross-examination of one of the defendant's alibi witnesses; and prejudicial direct examination of another of the defendant's alibi witnesses.

The test that measures ineffective assistance of counsel requires a defendant to make two showings, that trial counsel's performance was not reasonably competent or within the range of ordinary training and skill in the criminal law, and that trial counsel's lack of competence contributed to the defendant's conviction. State v. Tirado, 194 Conn. 89, 91-92, 478 A.2d 606 (1984); State v. Gregory, supra, 143-44; State v. Chairamonte, 189 Conn. 61, 63, 454 A.2d 272 (1983); see Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). As we have repeatedly held, this test is difficult to meet on the face of an appellate record because such a record rarely reveals the strategic reasons behind the actions taken or not taken by trial counsel. For that reason, we have with increasing frequency declined to consider such claims on direct appeal, suggesting instead that their merits be addressed by recourse to habeas corpus. See, e.g., State v. Lubesky, 195 Conn. 475, 485, 488 A.2d 1239 (1985); State v. Jacobowitz, 194 Conn. 408, 413, 480 A.2d 557 (1984); State v. Tirado, supra, 92-93.

Defendants have been faced with a quandary about the proper way to pursue claims for ineffective assistance of counsel. On the one hand, a direct appeal on such a claim is almost always an exercise in futility. On the other hand, failure to take a direct appeal runs the risk of potential conflict with the limited authority of trial courts to hear petitions for habeas corpus. This court has repeatedly emphasized that "[a] petitioner seeking to raise federal constitutional claims in a collateral proceeding must first allege and establish by a preponderance of the evidence that he did not deliberately bypass the orderly procedure of direct appeal." Paulsen v. Manson, 193 Conn. 333, 337, 476 A.2d 1057 (1984); Morin v. Manson, 192 Conn. 576, 579, 472 A.2d 1278 (1984); McClain v. Manson, 183 Conn. 418, 433, 439 A.2d 430 (1981); Blue v. Robinson, 173 Conn. 360, 369-70, 377 A.2d 1108 (1977). "The deliberate bypass rule serves two important functions: (1) it encourages a litigant to have all constitutional claims resolved in a single proceeding economizing the time and resources of all concerned parties and bringing the case to a conclusion; and (2) it prevents a prisoner from deliberately deferring his claims of unlawful confinement until a time when a new trial, if required as a result of the collateral proceeding, would be, for all practical purposes, impossible." Paulsen v. Manson, supra, 337-38.

We decide today that the deliberate bypass rule should be relaxed in cases in which the sole claim for relief from a criminal conviction is a claim of ineffective assistance of counsel. For such cases, immediate access to habeas corpus proceedings will in fact accomplish the purposes of the deliberate bypass rule. It will economize judicial resources by enabling the defendant's claim to be heard in a single forum that has the capacity to resolve the claim once and for all. It will enable the claim to be heard more, rather than less, expeditiously. For these reasons, we hereby announce that habeas corpus is the preferred route for review of convictions challenged solely on the ground of inadequate assistance of counsel. Before the trial court entertains a habeas corpus petition, however, it should ascertain, on the record, that the defendant knowingly, voluntarily and intelligently waives the right to appeal his conviction directly.

Whether the deliberate bypass rule should be relaxed in cases where inadequate assistance of counsel is not the sole issue is a question we need not decide at this juncture. When the claim of inadequate counsel is joined with other substantive and procedural claims of error, it is often difficult to make a judgment about the extent to which inadequate counsel has implicated the outcome of the criminal conviction. For that reason, it will ordinarily be necessary to await exhaustion of the direct appeal before the claim of ineffective assistance can be pursued on a petition for habeas corpus.

In accordance with this new procedure, we decline to find reversible error in the defendant's claim that he was denied adequate assistance of counsel at his trial, and remit him to whatever relief may be afforded to him upon a petition for habeas corpus. On the appellate record presently before us, we can only speculate why trial counsel chose to conduct the defendant's defense as he did. It may well be, for example, that further inquiry into photographic identifications would not have been fruitful after the unsuccessful challenge of the one photographic identification that was fully examined in a suppression hearing. Other trial decisions may have reflected a deliberate effort to minimize the deleterious effect of potentially damaging evidence. We note that the trial court, at the time of the defendant's sentencing, expressly stated that defense counsel "has done the very best he can do with the facts and situation that was presented to him." The trial court's view of the strength of the state's case against the defendant is corroborated by the absence of any claim, in this court, that the evidence against the defendant was insufficient to sustain his convictions.

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STATE v. RIVERA
(Jul 2, 1985)