Anderson v. Commissioner of Correction
CourtSupreme Court of Connecticut
Date FiledMay 7, 2013
DocketSC18808
JudgeRogers; Norcott; Palmer; Zarella; Eveleigh
StatusPublished
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Full Opinion
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FRANCIS ANDERSON v. COMMISSIONER
OF CORRECTION
(SC 18808)
Rogers, C. J., and Norcott, Palmer, Zarella and Eveleigh, Js.
Argued January 4—officially released May 7, 2013
Robert J. McKay, special public defender, for the
appellant (petitioner).
Tamara A. Grosso, deputy assistant state’s attorney,
with whom, on the brief, was Gail P. Hardy, state’s
attorney, for the appellee (respondent).
Opinion
PER CURIAM. In this certified appeal, the petitioner,
Francis Anderson, appeals from the judgment of the
Appellate Court, which reversed the judgment of the
habeas court granting in part the petitioner’s revised,
amended petition for a writ of habeas corpus on the
ground that the petitioner was deprived of the effective
assistance of trial counsel due to a conflict of interest.
We granted the petitioner’s petition for certification to
appeal, limited to the following issue: ‘‘Did the Appellate
Court properly determine that the [petitioner] was not
deprived of his constitutional right to effective assis-
tance of counsel when both the [petitioner] and a code-
fendant were represented by a different attorney from
the same public defender’s office?’’ Anderson v. Com-
missioner of Correction, 301 Conn. 921, 22 A.3d 1280
(2011). We answer this question in the affirmative and,
accordingly, affirm the judgment of the Appellate Court.
The following relevant facts and procedural history
are set forth in the opinion of the Appellate Court:
‘‘In the underlying criminal matters, the petitioner was
charged with [multiple offenses, including burglary, lar-
ceny, credit card theft, assault and violation of proba-
tion]. On January 10, 2008, the petitioner entered guilty
pleas, pursuant to the Alford doctrine,1 to three counts
of burglary . . . and one count of larceny . . . and
admitted a violation of probation. The state entered a
nolle prosequi as to the remaining charges. On March
6, 2008, the trial court sentenced the petitioner to a
total effective sentence of five years imprisonment and
three years of special parole. The petitioner did not file
a direct appeal.
‘‘On October 8, 2009, the petitioner filed a revised
amended petition for a writ of habeas corpus alleging
[inter alia] . . . that trial counsel, attorney Linda Bab-
cock of the office of the public defender for the judicial
district of Hartford . . . rendered ineffective assis-
tance, depriving the petitioner of his right to the effec-
tive assistance of counsel under both the state and
federal constitutions.
‘‘[At] the November 9, 2009 habeas hearing, Babcock
testified that the petitioner had been implicated in some
of the charges by a codefendant, Jason Fennely, who
was represented by another public defender from the
Hartford [judicial district], attorney Robert Famiglietti.
She also testified that, while the criminal case was pend-
ing, she had requested Famiglietti’s permission to speak
with Fennely to learn whether he planned to testify
against the petitioner but that Famiglietti had denied the
request. Additionally, Babcock testified that Famiglietti
would not reveal Fennely’s intentions. Finally, in this
regard, Babcock testified that she and Famiglietti
shared no information pertaining to the case, and the
fact that they worked in the same office had no effect
on her representation of the petitioner.
‘‘By oral decision at the close of the hearing, the
habeas court found that . . . Babcock did not act in a
constitutionally defective manner in her representation
of the petitioner. Nevertheless, the court granted the
petition [in part] on the basis of its finding that [Bab-
cock] had an actual conflict of interest. The court rea-
soned that Famiglietti and Babcock, as public defenders
from the same office, were members of the same law
firm and were prohibited ethically from representing
adverse interests. Because they represented codefen-
dants with adverse interests, the [habeas] court found
that their simultaneous representation of the petitioner
and Fennely was a conflict of interest prohibited by
rule 1.7 of the Rules of Professional Conduct. On this
basis, and without finding that Babcock’s claimed con-
flict adversely affected her representation of the peti-
tioner, the court granted the petition [in part].2 . . .
[T]he court denied the . . . motion for reconsideration
[filed by the respondent, the commissioner of correc-
tion] but, subsequently . . . granted the respondent’s
petition for certification to appeal.
‘‘On appeal [to the Appellate Court], the respondent
claim[ed] that the habeas court improperly determined
that Babcock was burdened by an actual conflict of
interest that deprived the petitioner of his constitutional
right to the effective assistance of counsel. In this
regard, the respondent . . . [claimed that the habeas]
court improperly determined that (1) the representation
was prohibited by the Rules of Professional Conduct,
(2) a breach of the rules was sufficient to establish a
constitutional violation, and (3) the record supported
a conclusion that Babcock was burdened by an actual
conflict of interest.’’ Anderson v. Commissioner of Cor-
rection, 127 Conn. App. 538, 539–42, 15 A.3d 658 (2011).
The Appellate Court agreed with the respondent that the
habeas court had misapplied the Rules of Professional
Conduct in determining that Babcock was burdened by
an actual conflict of interest. Id., 548–49. The Appellate
Court explained that, although rule 1.7 (a) of the Rules
of Professional Conduct3 prohibits representation that
involves a concurrent conflict of interest and that rule
1.10 (a) of the Rules of Professional Conduct4 provides
that one lawyer’s conflicts generally are imputed to the
members of his or her firm, Babcock was not subject
to imputation under rule 1.10 (a) because she was a
government employee, and, therefore, her representa-
tion of the petitioner was governed by rule 1.11 of the
Rules of Professional Conduct.5 See id., 544–45. The
Appellate Court also noted that changes made to rules
1.10 and 1.11 in 2007 contemplated an express distinc-
tion between private and government attorneys and
clarified that conflicts are not imputed to current gov-
ernment employees. See id., 545–46. The Appellate
Court further observed that this exemption from the
imputation of a conflict is explicitly acknowledged in
the commentary to rule 1.11, which provides in relevant
part that, ‘‘[b]ecause of the special problems raised by
imputation within a government agency, subsection (d)
does not impute the conflicts of a lawyer currently
serving as an officer or employee of the government
to other associated government officers or employees,
although ordinarily it will be prudent to screen such
lawyers. . . .’’ Rules of Professional Conduct 1.11, com-
mentary; see Anderson v. Commissioner of Correction,
supra, 545. In light of the plain language of rules 1.10
and 1.11, the Appellate Court concluded that it was
improper for the habeas court to have imputed Famig-
lietti’s representation of Fennely to Babcock. Anderson
v. Commissioner of Correction, supra, 545.
The Appellate Court also agreed with the respondent
that the habeas court improperly had determined that
a breach of the Rules of Professional Conduct alone
was sufficient to establish a violation of the right to
effective assistance of counsel. Id., 551. The Appellate
Court explained that, under our case law, ‘‘ ‘in order
to establish a violation of the sixth amendment the
[petitioner] has a two-pronged task. He must establish
(1) that counsel actively represented conflicting inter-
ests, and (2) that an actual conflict of interest adversely
affected his lawyer’s performance.’ . . . Phillips v.
Warden, [220 Conn. 112, 133, 595 A.2d 1356 (1991)],
quoting Cuyler v. Sullivan, [446 U.S. 335, 350, 100 S.
Ct. 1708, 64 L. Ed. 2d 333 (1980)].’’ Anderson v. Commis-
sioner of Correction, supra, 127 Conn. App. 549. The
Appellate Court concluded, therefore, that, even if the
habeas court had applied the Rules of Professional Con-
duct correctly, an ethical violation, without more, is
insufficient to establish a constitutional violation. Id.,
551. The Appellate Court noted that the habeas court
had found no specific instances in which the petitioner’s
interests had been adversely affected by Babcock’s rep-
resentation. Id. Indeed, the Appellate Court observed
that the habeas court expressly found that Babcock’s
representation was not constitutionally deficient. Id.,
551–52. The Appellate Court concluded, therefore, that,
because the habeas court’s finding of an actual conflict
was based on a misapplication of the Rules of Profes-
sional Conduct and a misplaced reliance on an incorrect
legal principle, namely, that an ethical violation in and
of itself constitutes a constitutional violation, the peti-
tioner had failed to demonstrate that an actual conflict
of interest existed and deprived him of the effective
assistance of counsel. Id., 552. The Appellate Court
therefore reversed the judgment of the habeas court and
remanded the case with direction to render judgment
denying the habeas petition. Id.
Thereafter, we granted certification to appeal, limited
to the issue of whether the Appellate Court properly
determined that the petitioner was not deprived of his
constitutional right to the effective assistance of coun-
sel. ‘‘Our examination of the record and briefs and our
consideration of the arguments of the parties [persuade]
us that the judgment of the Appellate Court should be
affirmed on the certified issue. The Appellate Court
properly resolved that issue in its [thorough] and well
reasoned opinion. Because that opinion fully addresses
all arguments raised in this appeal, we adopt it as a
proper statement of the issue and the applicable law
concerning that issue. It would serve no useful purpose
for us to repeat the discussion contained therein.’’ Ruo-
tolo v. Tietjen, 281 Conn. 483, 486, 916 A.2d 1 (2007).
The judgment of the Appellate Court is affirmed.
1
North Carolina v. Alford, 400 U.S. 25, 91 S. Ct. 160, 27 L. Ed. 2d 162 (1970).
2
The habeas court found against the petitioner on his other claims, which
are not at issue in this appeal.
3
Rule 1.7 (a) of the Rules of Professional Conduct provides in relevant
part: ‘‘[A] lawyer shall not represent a client if the representation involves
a concurrent conflict of interest. A concurrent conflict of interest exists if:
‘‘(1) the representation of one client will be directly adverse to another
client; or
‘‘(2) there is a significant risk that the representation of one or more
clients will be materially limited by the lawyer’s responsibilities to another
client, a former client or a third person or by a personal interest of the
lawyer.’’
4
Rule 1.10 (a) of the Rules of Professional Conduct provides in relevant
part: ‘‘While lawyers are associated in a firm, none of them shall knowingly
represent a client when any one of them practicing alone would be prohibited
from doing so by Rules 1.7 or 1.9 . . . .’’
5
Rule 1.10 (d) of the Rules of Professional Conduct provides in relevant
part: ‘‘The disqualification of lawyers associated in a firm with former or
current government lawyers is governed by Rule 1.11.’’
Rule 1.11 is entitled ‘‘Special Conflicts of Interest for Former and Current
Government Officers and Employees,’’ and provides in relevant part: ‘‘(d)
Except as law may otherwise expressly permit, a lawyer currently serving
as a public officer or employee:
‘‘(1) Is subject to Rules 1.7 and 1.9 . . . .’’