State v. Calhoun

• Citation: 86 Ohio St.3d 279,714 NE 2d 905
• Decision Date: 01 September 1999
• Docket Number: No. 98-1627.,98-1627.
• Parties: THE STATE OF OHIO, APPELLANT, v. CALHOUN, APPELLEE.
• Court: United States State Supreme Court of Ohio

86 Ohio St.3d 279

714 NE 2d 905

THE STATE OF OHIO, APPELLANT, v. CALHOUN, APPELLEE.

No. 98-1627.

Supreme Court of Ohio.

Submitted April 20, 1999.

Decided September 1, 1999.

Charles E. Coulson, Lake County Prosecuting Attorney, and Julie Mitrovich King, Assistant Prosecuting Attorney, for appellant.

R. Paul LaPlante, Lake County Public Defender, and Vanessa R. MacKnight, Assistant County Public Defender, for appellee.

LUNDBERG STRATTON, J.

We are called upon to answer three questions. First, must a trial court, when considering a postconviction relief petition, accept the affidavits presented as true? Second, did the trial court err in dismissing defendant's petition for postconviction relief on the allegation of ineffective assistance of counsel without holding an evidentiary hearing? Third, were the trial court's findings of fact and conclusions of law adequate to satisfy the requirements of R.C. 2953.21? For the reasons below, we answer the first two questions in the negative, the last question in the affirmative, and reverse the judgment of the court of appeals.

Ohio's Post-Conviction Remedy Act

R.C. 2953.21, Ohio's Post-Conviction Remedy Act, was enacted in 1965 in response to the United States Supreme Court order that states must provide their prisoners with some "clearly defined method by which they may raise claims of denial of federal rights." Young v. Ragen (1949), 337 U.S. 235, 239, 69 S.Ct. 1073, 1074, 93 L.Ed. 1333, 1336.

State collateral review itself is not a constitutional right. State v. Steffen (1994), 70 Ohio St.3d 399, 410, 639 N.E.2d 67, 76, citing Murray v. Giarratano (1989), 492 U.S. 1, 109 S.Ct. 2765, 106 L.Ed.2d 1. Further, a postconviction proceeding is not an appeal of a criminal conviction but, rather, a collateral civil attack on the judgment. See Steffen at 410, 639 N.E.2d at 76, citing State v. Crowder (1991), 60 Ohio St.3d 151, 573 N.E.2d 652. Therefore, a petitioner receives no more rights than those granted by the statute. "It may be useful to note that cases of postconviction relief pose difficult problems for courts, petitioners, defense counsel and prosecuting attorneys alike. Cases long considered to be fully adjudicated are reopened, although memories may be dim and proof difficult. The courts justifiably fear frivolous and interminable appeals from prisoners who have their freedom to gain and comparatively little to lose." State v. Milanovich (1975), 42 Ohio St.2d 46, 51, 71 O.O.2d 26, 29, 325 N.E.2d 540, 543.

R.C. 2953.21 provides:

"(A)(1) Any person who has been convicted of a criminal offense or adjudicated a delinquent child and who claims that there was such a denial or infringement of the person's rights as to render the judgment void or voidable under the Ohio Constitution or the Constitution of the United States may file a petition in the court that imposed sentence, stating the grounds for relief relied upon, and asking the court to vacate or set aside the judgment or sentence or to grant other appropriate relief. The petitioner may file a supporting affidavit and other documentary evidence in support of the claim for relief.

" * * *

"(C) * * * Before granting a hearing on the petition filed under division (A) of this section, the court shall determine whether there are substantive grounds for relief In making such a determination, the court shall consider, in addition to the petition, the supporting affidavits, and the documentary evidence, all the files and records pertaining to the proceedings against the petitioner, including, but not limited to, the indictment, the court's journal entries, the journalized record of the clerk of the court, and the court reporter's transcript. The court reporter's transcript, if ordered and certified by the court, shall be taxed as court costs. If the court dismisses the petition, it shall make and file findings of fact and conclusions of law with respect to such dismissal.

"(D) Within ten days after the docketing of the petition, or within any further time that the court may affix for good cause shown, the prosecuting attorney shall respond by answer or motion. Within twenty days from the date the issues are made up, either party may move for summary judgment. The right to summary judgment shall appear on the face of the record.

"(E) Unless the petition and the files and records of the case show the petitioner is not entitled to relief, the court shall proceed to a prompt hearing on the issues even if a direct appeal of the case is pending." (Emphasis added.)

According to the postconviction relief statute, a criminal defendant seeking to challenge his conviction through a petition for postconviction relief is not automatically entitled to a hearing. State v. Cole (1982), 2 Ohio St.3d 112, 2 OBR 661, 443 N.E.2d 169. Before granting an evidentiary hearing on the petition, the trial court shall determine whether there are substantive grounds for relief (R.C. 2953.21[C]), i.e., whether there are grounds to believe that "there was such a denial or infringement of the person's rights as to render the judgment void or voidable under the Ohio Constitution or the Constitution of the United States." (Emphasis added.) R.C. 2953.21(A)(1).

Postconviction relief is a remedy sought by a defendant who has either been tried and found guilty beyond a reasonable doubt, or who has pled guilty and has been convicted. In the interest of judicial economy and efficiency, we have held that it is not unreasonable to require the defendant to show in his petition for postconviction relief that such errors resulted in prejudice before a hearing is scheduled. See State v. Jackson (1980), 64 Ohio St.2d 107, 112, 18 O.O.3d 348, 351, 413 N.E.2d 819, 823. Therefore, before a hearing is granted, "the petitioner bears the initial burden to submit evidentiary documents containing sufficient operative facts to demonstrate the lack of competent counsel and that the defense was prejudiced by counsel's ineffectiveness." (Emphasis added.) Id. at syllabus.

Credibility of Supporting Affidavits

In support of his assertions, defendant submitted his own affidavit with his postconviction relief petition. After the state responded to defendant's petition with an affidavit of petitioner's trial counsel, defendant was granted leave to supplement his petition with an affidavit of his mother, along with the pre-sentence report and psychiatric evaluation prepared for defendant's sentencing hearing.

The trial court, in reviewing defendant's claim that he did not knowingly, intelligently, and voluntarily waive his constitutional rights, reiterated the law regarding guilty pleas. In addition, the trial court reviewed the transcript of the plea hearing and concluded that defendant did not express to the court any misunderstandings he had regarding his rights or complain of any misleading information provided to him regarding his rights. Based on a review of the submitted documents and record, the trial court found that defendant's guilty plea was appropriately obtained and that it would be improper to vacate the plea. Accordingly, the trial court found the postconviction relief petition to be without merit and denied the petition without a hearing.

The court of appeals reversed and remanded for an evidentiary hearing on defendant's petition. In reviewing the judgment of the trial court, the court of appeals assumed that when determining whether there are substantive grounds for relief under R.C. 2953.21, the affidavits presented in support of a petition are to be accepted as true. In addition, the court of appeals concluded that even if the affidavits of defendant, his mother, and his trial counsel contradicted each other, conflicts in the evidence should not be resolved without a hearing on the postconviction relief petition. We disagree with both conclusions and hold that in reviewing a petition for postconviction relief filed pursuant to R.C. 2953.21, a trial court should give due deference to affidavits sworn to under oath and filed in support of the petition, but may, in the sound exercise of discretion, judge their credibility in determining whether to accept the affidavits as true statements of fact. To hold otherwise would require a hearing for every postconviction relief petition. Because the statute clearly calls for discretion in determining whether to grant a hearing, accepting all supporting affidavits as true is certainly not what the statute intended. "[I]f we would allow any open-ended allegation or conclusory statement concerning competency of counsel without a further showing of prejudice to the defendant to automatically mandate a hearing, division (D) of R.C. 2953.21 would be effectively negated and useless." Jackson, 64 Ohio St.2d at 112,18 O.O.3d at 351,413 N.E.2d at 823.

Unlike the summary judgment procedure in civil cases, in postconviction relief proceedings, the trial court has presumably been presented with evidence sufficient to support the original entry of conviction, or with a recitation of facts attendant to an entry of a guilty or no-contest plea. The trial court may, under appropriate circumstances in postconviction relief proceedings, deem affidavit testimony to lack credibility without first observing or examining the affiant. That conclusion is supported by common sense, the interests of eliminating delay and unnecessary expense, and furthering the expeditious administration of justice. See Civ.R. 1(B) and 1(C); Cole, 2 Ohio St.3d at 114, 2 OBR at 663, 443 N.E.2d at 171 ("[T]he allegations outside the record upon which appellant relies appear so contrived, when measured against the overwhelming evidence in the record of trial counsel's competence, as to constitute no credible evidence"); Sumner v. Mata (1981), 449 U.S. 539, 545-546, 101 S.Ct. 764, 768-769, 66 L.Ed.2d 722, 730 (state appellate court factfinding based on a record review may be adequate to warrant a presumption of correctness in federal habeas corpus...