State v. Dayton, 171 A.3d 482, 176 Conn. App. 858 (2017)

Oct. 3, 2017 · Connecticut Appellate Court · AC 38860
171 A.3d 482, 176 Conn. App. 858

STATE of Connecticut
v.
Stacey DAYTON

AC 38860

Appellate Court of Connecticut.

Argued April 24, 2017
Officially released October 3, 2017

*485Pamela S. Nagy, assistant public defender, for the appellant (defendant).

Kathryn W. Bare, assistant state's attorney, with whom, on the brief, were John C. Smriga, state's attorney, and Margaret E. Kelley, supervisory assistant state's attorney, for the appellee (state).

DiPentima, C.J., and Beach and Sheridan, Js.*

DiPENTIMA, C.J.

*860The defendant, Stacey Dayton, appeals from the judgment of conviction, rendered after a plea of nolo contendere, of operating a motor vehicle while under the influence of intoxicating liquor or drugs in violation of General Statutes (Rev. to 1995) § 14-227a.1 On appeal, the defendant claims that the court improperly (1) denied his motion to dismiss, and (2) accepted his plea when it was not knowingly, intelligently or voluntarily made. The state disagrees with the defendant on the merits of this appeal and also contends that this appeal is subject to dismissal pursuant to the fugitive felon disentitlement doctrine. We disagree that this appeal should be dismissed and agree with the defendant's first claim. Accordingly, we reverse the judgment of the trial court.2

The following facts and procedural history are relevant to the resolution of this appeal. On November 29, 1995, the defendant entered a plea of nolo contendere to the charge of operating a motor vehicle under the influence of intoxicating liquor or drugs. General Statutes (Rev. to 1995) § 14-227a; see footnote 1 of this opinion. At that proceeding, the court found that the plea was "voluntarily and understandingly made with *861the assistance of competent counsel. There's a factual basis for the plea. The plea is accepted. Finding of guilty." Pursuant to a plea agreement, the defendant would receive a sentence of one year incarceration, execution suspended after ten days, two years of probation and certain special conditions. This sentence was not imposed immediately, as the court acquiesced to the defendant's request to continue the matter.

On January 3, 1996, the defendant failed to appear at sentencing. The court ordered the defendant rearrested and set a cash bond in the amount of $500. No further actions occurred in the defendant's case for nearly eight and one-half years. In *4862004, the court vacated the rearrest order, and the case was "closed out" pursuant to General Statutes § 14-140(b).3 Ten years later, in 2014, the state entered a nolle prosequi as to the defendant's case.4 The court noted the nolle prosequi for the record.

On September 4, 2015, more than thirteen months after the nolle had been entered, the state requested that the defendant's case "be brought back to court." The prosecutor represented to the court that notice had been sent to the defendant's last known address informing him of the proceeding, but that he was not present. The court agreed to the prosecutor's request to have a bail commissioner's letter sent to the defendant.

*862On October 29, 2015, the defendant filed a motion to dismiss pursuant to General Statutes § 54-565 and Practice Book § 41-8 (4).6 The state filed a motion in opposition on November 9, 2015.7 The court held a hearing on December 3, 2015, at which time it rendered an oral decision denying the defendant's motion. Specifically, it stated: "The court's feeling is that under the circumstances in this case where a plea has been canvassed, accepted by the court, where there was a failure to appear at the time of sentencing, where a rearrest was ordered, but the subsequent nolle in this case was a mistake and therefore not valid. And therefore I am going to find that the motion to dismiss is not proper and I'm going to deny it at this time.... I think the court has jurisdiction because I feel that ... the nolle which allowed the case to ripen it into a dismissal was invalid. That therefore, if the nolle was invalid, then the court will still retain jurisdiction."

After denying the motion to dismiss, the court relied on the previously accepted plea canvass and proceeded to sentencing. The defendant received a sentence of six *487months incarceration, execution suspended, eighteen *863months of probation and 100 hours of community service. The court imposed fines, but remitted them due to "the age of the case." This appeal followed. Additional facts will be set forth as necessary.

I

As an initial matter, we consider the state's claim that the defendant's appeal should be dismissed on the basis of the fugitive felon disentitlement doctrine. This doctrine "allows an appellate court to dismiss the appeal of a party who flees subsequent to the felony conviction from which he appeals." State v. Brabham, 301 Conn. 376, 378, 21 A.3d 800 (2011). After considering the facts and circumstances of this case, we are not persuaded that the appeal should be dismissed pursuant to this doctrine.

In Brabham, our Supreme Court noted that the fugitive felon disentitlement doctrine is a common-law rule that permits, but does not require, the dismissal of appeals by fugitive defendants in certain instances. Id., at 379, 21 A.3d 800. It further recognized that this doctrine was not a " 'hard and fast rule' " and that there was no universal approach to its application. Id., at 380, 21 A.3d 800. Three cases decided prior to Brabham, in which our Supreme Court applied the doctrine, all involved fugitive defendants whose whereabouts were unknown at the time of the appeal.8 Id., at 381-82, 21 A.3d 800. The facts of Brabham, however, presented our Supreme Court with the opportunity to consider the scope and operation of the doctrine when the defendant had fled after his conviction, but had *864been returned to custody by the time of his appeal. Id., at 382, 21 A.3d 800.

At the outset, the court set forth the various justifications for the doctrine. "The various rationales that have been put forth in support of the fugitive felon disentitlement doctrine include: (1) the judgment on review may be impossible to enforce because the prisoner has escaped, (2) the prisoner's escape disentitles him to call upon the resources of the [c]ourt for determination of his claims, (3) dismissal will [discourage] the felony of escape and [encourage] voluntary surrenders, and (4) dismissal will [promote] the efficient, dignified operation of the courts.... In addition to these reasons, courts, especially when considering appeals by fugitives who have been returned to custody by the time of the appeal, have referred to the need for the dignified and efficient operation of the appellate process specifically, rather than of courts as a whole." (Citation omitted; emphasis in original; internal quotation marks omitted.) Id., at 382-83, 21 A.3d 800.

The court reasoned that a reviewing appellate court may dismiss an appeal in cases where the defendant had been returned to custody by the time his appeal was heard, "but his flight had undermined the integrity, efficiency or dignity of the appellate process, including the potential remedies in the event of a successful appeal." Id., at 385, 21 A.3d 800. "Such an approach to the fugitive felon disentitlement doctrine best serves all of the purposes *488of the doctrine, and allows appellate courts to ensure that a defendant does not reap the benefit of his fugitive status ... by gaining unfair advantages due to the passage of time at the expense of the integrity of the appellate process." (Citation omitted; internal quotation marks omitted.) Id., at 385, 21 A.3d 800.

The court set forth a burden shifting analysis in this type of case. Initially, the state "must allege specific *865instances of prejudice caused by the defendant's flight" when it seeks to have an appeal dismissed pursuant to the fugitive felon disentitlement doctrine. Id., at 386, 21 A.3d 800. Following these allegations by the state, the "burden of proof shifts to the defendant to show that his flight was not prejudicial to the appellate process.... The defendant must disprove the alleged prejudicial effect of his flight by a preponderance of the evidence." (Citation omitted.) Id.9

In its brief, the state argues that the analytical framework of Brabham applies to the present case and that the appellate process has been prejudiced as a result of the defendant's failure to appear at sentencing. Assuming, without deciding, that Brabham applies to the present case,10 we conclude that the appellate process, specifically, our review of the denial of the defendant's motion to dismiss, has not been prejudiced. Accordingly, we decline to dismiss the appeal on the basis of the fugitive felon disentitlement doctrine.

*866The state focuses its claim on the rationale for the fugitive felon disentitlement doctrine, that is, the "defendant's actions of failing to appear on the day of sentencing and then absconding from the jurisdiction for twenty years have significantly and negatively impacted the integrity of the appellate process." At the outset, we note that the state's claim that the defendant absconded from the jurisdiction for twenty years is not supported by the record and amounts to nothing more than sheer speculation, which has no place in appellate review. See New Hartford v. Connecticut Resources Recovery Authority, 291 Conn. 502, 510, 970 A.2d 578 (2009) ; see also State v. LaFleur, 307 Conn. 115, 182, 51 A.3d 1048 (2012) (Palmer, J., dissenting). There is no indication that the state actively sought out the defendant following his failure to appear at sentencing. Further, the rearrest order was vacated in 2004.

*489Turning to the matter of whether the defendant's conduct prejudiced the appellate process, the state alleges that the defendant's case never would have been nolled had he appeared at sentencing. It further contends that there would have been no basis for the motion to dismiss and, therefore, no appeal would have existed but for the actions of the defendant in 1996. This reasoning ignores the conduct of the state during the relevant time period. Specifically, it was the prosecutor that caused the case to be "closed out" pursuant to § 14-140(b) and the rearrest order vacated in 2004. Additionally, the prosecutor nolled the case on July 25, 2014.

Furthermore, the mere existence of an appeal does not constitute prejudice to the appellate process, or significantly and negatively impact the integrity of that process. Particularly with respect to the issue of whether the court properly denied the motion to dismiss, we are unable to discern any prejudice, due to the passage of time, warranting the dismissal of the *867appeal pursuant to the fugitive felon disentitlement doctrine. Cognizant that this doctrine is not " 'a hard and fast rule' "; State v. Brabham, supra, 301 Conn. at 380, 21 A.3d 800 ; we conclude that, under these facts and circumstances, dismissal of the defendant's appeal is not warranted under the fugitive felon disentitlement doctrine.

II

We now consider the defendant's claim that the court improperly denied his motion to dismiss. Specifically, he argues that the court lacked jurisdiction over the case after the nolle had been entered and thirteen months thereafter had elapsed.11 We agree with the defendant.

We begin by setting forth our standard of review. "Because a motion to dismiss effectively challenges the jurisdiction of the court, asserting that the state, as a matter of law and fact, cannot state a proper cause of action against the defendant, our review of the court's legal conclusions and resulting denial of the defendant's motion to dismiss is de novo.... Factual findings underlying the court's decision, however, will not be disturbed unless they are clearly erroneous." (Internal quotation marks omitted.)

*868State v. Kallberg, 326 Conn. 1, 12, 160 A.3d 1034 (2017) ; see also State v. Rivers, 283 Conn. 713, 723-24, 931 A.2d 185 (2007).

Next, we identify the legal principles regarding a nolle prosequi. "[T]he state's right to terminate a prosecution by the entry of a nolle prosequi has its origins in practices recognized at common law. The effect of a nolle prosequi is to end pending proceedings without an acquittal and without placing the defendant in jeopardy.... Although the decision to initiate a nolle prosequi still rests with the state's attorney, the statute and the rules now permit the defendant to object to a nolle prosequi and to demand either a trial or a *490dismissal except upon a representation to the court by the prosecuting official that a material witness has died, disappeared or become disabled or that material evidence has disappeared or been destroyed and that a further investigation is therefore necessary." (Citations omitted; internal quotation marks omitted.) State v. Lloyd, 185 Conn. 199, 201-202, 440 A.2d 867 (1981) ; see also State v. Kallberg, supra, 326 Conn. at 12-14, 160 A.3d 1034 (distinguishing unilateral entry of nolle proesqui by prosecutor from bilateral agreement involving plea bargain between prosecutor and defendant).

Finally, we review the court's jurisdiction over a criminal case. "The Superior Court is a constitutional court of general jurisdiction.... In the absence of statutory or constitutional provisions, the limits of its jurisdiction are delineated by the common law.... The Superior Court's authority over criminal cases is established by the proper presentment of the information ... which is essential to initiate a criminal proceeding." (Citations omitted; internal quotation marks omitted.) State v. Daly, 111 Conn.App. 397, 401-402, 960 A.2d 1040 (2008), cert. denied, 292 Conn. 909, 973 A.2d 108 (2009) ; see also State v. Koslik, 116 Conn.App. 693, 697, 977 A.2d 275, cert. denied, 293 Conn. 930, 980 A.2d 916 (2009). Following a conviction, this jurisdiction ends once the *869defendant begins serving his sentence. See State v. Smith, 150 Conn.App. 623, 634, 92 A.3d 975, cert. denied, 314 Conn. 904, 99 A.3d 1169 (2014) ; State v. Delgado, 116 Conn.App. 434, 437-38, 975 A.2d 736 (2009).

When the state elects to nolle a charge, however, the termination of the court's jurisdiction necessarily follows a different path. "[T]he entry of a nolle prosequi terminates the prosecution and the defendant shall be released from custody. If subsequently the prosecuting authority decides to proceed against the defendant, a new prosecution must be initiated. Practice Book § 39-31. The defendant is accused of no crime, is released from custody unconditionally and is no longer under the authority of the court. It follows that, generally, a court does not have jurisdiction over the case after the entry of a nolle." (Emphasis added; footnote omitted; internal quotation marks omitted.) State v. Daly, supra, 111 Conn.App. at 402-403, 960 A.2d 1040 ; see also State v. Richardson, 291 Conn. 426, 430, 969 A.2d 166 (2009). Put another way, "[a]lthough the entry of a nolle prosequi results in the defendant's release from custody, he can ... be tried again upon a new information and a new arrest." (Internal quotation marks omitted.) State v. Kallberg, supra, 326 Conn. at 13, 160 A.3d 1034. Furthermore, thirteen months after the nolle, all pertinent records are erased pursuant to statute. See General Statutes § 54-142a (c) (1) ; see also State v. Daly, supra, at 402 n.4, 960 A.2d 1040.

In the present case, the defendant pleaded nolo contendere to the charge of operating a motor vehicle while under the influence of liquor or drugs.12 He failed to *870appear for sentencing on January 3, 1996. The court ordered a rearrest, which remained in effect until August, 2004. At that time, the defendant's case was "filed pursuant to § 14-140" and *491closed out. After approximately ten years, in July, 2014, the state nolled the defendant's case, which the court noted on the record. More than thirteen months later, the state redocketed the case on September 4, 2015. Approximately two months later, the defendant filed his motion to dismiss on the basis that the court lacked jurisdiction following the nolle that had been entered by the state and the passage of thirteen months. Following a hearing on December 3, 2015, the court denied the defendant's motion to dismiss.

Specifically, in denying the motion to dismiss, the court found that, given the facts of this case, the state had mistakenly nolled the case. It further reasoned that the nolle was invalid, and, therefore, the court retained jurisdiction in the defendant's case. The court cited no authority that would support its decision to invalidate a nolle that had been entered more than thirteen months earlier. We are not aware of, and the parties have not directed us to, any statute, rule of practice, or case law that would support the court's decision that a nolle entered in error by the prosecutor after the case had been idle for nearly one decade is invalid. To the contrary, we note that the trial court has observed: "[W]e live in an adversary system and very often for both sides mistakes lead to unintended and final results. The court does feel that the issue of mistake can and should not color any appraisal made of a strictly jurisdictional question." State v. Jesus C., Superior Court, judicial district of New Haven, Docket No. CR-295038, (September 18, 1990) (1990 WL 276375, *4 ). In the present case, the legal consequence of the prosecutor's unilateral action in entering the nolle in 2014-whether intended or unintended-was that the state unconditionally *871abandoned the prosecution of the defendant. See State v. Kallberg, supra, 326 Conn. at 13 n.7, 160 A.3d 1034. The court, therefore, lacked jurisdiction following this action by the prosecutor.

In its appellate brief, the state argues that a court retains the inherent authority to correct, sua sponte, a clerical error in the judgment at any time.13 See, *492e.g., Sanzo v. Sanzo, 137 Conn.App. 216, 222 n.5, 48 A.3d 689 (2012) ; Milazzo v. Schwartz, 88 Conn.App. 592, 597, 871 A.2d 1040 (2005) ; see also State v. Grant, 286 Conn. 499, 502 n.1, 944 A.2d 947, cert. denied, 555 U.S. 916, 129 S.Ct. 271, 172 L.Ed.2d 200 (2008) ; *872State v. Wilson, 199 Conn. 417, 436-37, 513 A.2d 620 (1986). We agree with that statement of the law; we disagree, however, with its application to the present case. The case before us does not constitute a mere clerical error, such as an error in the calculation of damages. See Milazzo v. Schwartz, supra, at 597, 871 A.2d 1040. Additionally, the error in the present case originated not with the trial court but with the prosecutor's entry of a nolle. As our Supreme Court has explained: "A distinction ... must be drawn between matters of substance and clerical errors, the distinction being that mere clerical errors may be corrected at any time even after the end of the term.... A clerical error does not challenge the court's ability to reach the conclusion that it did reach, but involves the failure to preserve or correctly represent in the record the actual decision of the court.... In other words, it is clerical error if the judgment as recorded fails to agree with the judgment in fact rendered ...." (Citations omitted; internal quotations omitted.) Maguire v. Maguire, 222 Conn. 32, 39-40, 608 A.2d 79 (1992) ; Bank of Stamford v. Schlesinger, 160 Conn.App. 32, 43, 125 A.3d 209 (2015) ; see also Jordan v. Jordan, 125 Conn.App. 207, 211, 6 A.3d 1206 (2010) ( General Statutes § 52-212a imposes four month time limit for modification of matters of substance), cert. denied, 300 Conn. 919, 14 A.3d 333 (2011).

The state nolled the case in 2014, and the court noted that disposition. After the passage of thirteen months, the records of the defendant's case were subject to erasure by operation of law. The redocketing and the denial of the motion to dismiss changed the substance of the disposition from a dismissal of the charge to a conviction of operating a motor vehicle while under the influence of liquor or drugs. See Maguire v. Maguire, supra, 222 Conn. at 39, 608 A.2d 79. Any error originated with the decision of the prosecutor to nolle the charge and is *873not a clerical error.14 We therefore reject the state's argument that the court merely corrected a clerical error when it denied the motion to dismiss on December 3, 2015.

We find support for our conclusion in *493Commonwealth v. Miranda, 415 Mass. 1, 610 N.E.2d 964 (1993). In that case, the Commonwealth of Massachusetts nolled one indictment against the defendant, noting that it had been superseded by a second indictment. Id., at 4, 610 N.E.2d 964. Approximately three months later, the commonwealth moved to vacate the nolle with respect to the second count of the first indictment, claiming that it had been entered in error. Id. The trial court denied the defendant's attempts to have the first indictment dismissed, concluding that the commonwealth's actions had been "a mistake, oversight and unintended act." (Internal quotation marks omitted.) Id.

On appeal, the defendant argued that the trial court improperly denied his motion to dismiss and erred by permitting the reinstatement of count two of the first indictment. Id., at 5, 610 N.E.2d 964. The commonwealth countered that *874the trial judge had the authority to vacate the nolle on the basis of a clerical error. Id. The Supreme Judicial Court of Massachusetts agreed with the defendant, concluding that the reinstatement of the first indictment had been improper. Id. The court first noted that, pursuant to Massachusetts law, clerical errors are subject to correction at any time. "Such mistakes, however, do not include or apply to the correction of errors of substance.... Material or substantial errors are not ones of transcription, copying, or calculation, but are those that trample the defendant's rightful expectations." (Citations omitted.) Id. It further reasoned that the defendant had a rightful expectation that he would not be charged under the first indictment that had been nolled unless the commonwealth filed a new and proper indictment. Id., at 6, 610 N.E.2d 964.

The court's reasoning in Commonwealth v. Miranda, supra, 415 Mass. at 1, 610 N.E.2d 964, applies to the present case. The defendant's case idled for years. The state took steps that led to the rearrest order being vacated and later nolled the charges. Thirteen months passed before the resurrection of the defendant's case. Under the facts and circumstances, we are not persuaded that this is a case of a mere transcription or calculation error. The effect of the state's decision to nolle the case resulted in the termination of the proceedings against the defendant without placing him in jeopardy. To subsequently revive the charge is a matter of substance, and, therefore, the rule regarding clerical errors does not apply to this case.15

*875*494The judgment is reversed and the case is remanded with direction to grant the motion to dismiss and to render judgment thereon.

In this opinion the other judges concurred.