Carter v. Commissioner of CorrectionCarter v. Commissioner of Correction
Syllabus
The petitioner, who previously had been convicted of the crimes of assault in the first degree, attempt to commit assault in the first degree, risk of injury to a child and criminal possession of a firearm, sought a fifth writ of habeas corpus, claiming that his trial counsel had provided ineffective assistance and that his right to due process had been violated. The habeas court rendered judgment dismissing the petition in part on the grounds that, pursuant to the applicable rule of practice (§ 23-29 (3)), the petitioner‘s claims were successive and barred by the doctrines of res judicata or collateral estoppel. Thereafter, the habeas court denied the petition for certification to appeal, and the petitioner appealed to this court. Held:
- The habeas court did not abuse its discretion in denying the petition for certification to appeal, the petitioner having failed to demonstrate that his claims involved issues that were debatable among jurists of reason, that a court could resolve the issues in a different manner, or that the questions raised were adequate to deserve encouragement to proceed further.
- The petitioner could not prevail on his claim that the habeas court erred in concluding that his ineffective assistance of counsel claims were barred by the doctrine of res judicata, which was based on his contention that, as a self-represented litigant in his previous habeas actions, he lacked the skill and expertise to ascertain the facts underlying his present claims, and, therefore, they were not reasonably available to him; because the petitioner chose to represent himself through all of his postconviction proceedings rather than exercising his statutory right to counsel, to countenance his contention would be contrary to our jurisprudence and fundamentally unfair to the respondent Commissioner of Correction and to others who have an interest in the finality of the petitioner‘s conviction.
- The petitioner‘s claim that the habeas court erred in concluding that his due process claim was barred by the doctrine of collateral estoppel was unavailing; although the petitioner reworded the nature of his claim and the theory on which it was based, it was clear that he had previously litigated the relevant issue of whether a diagram pertaining to the state‘s ballistics evidence that was admitted into evidence at his criminal trial was the product of fraud, as the integrity of the ballistics evidence had been the subject of extensive postconviction litigation by the petitioner.
Argued January 11—officially released April 13, 2021
Procedural History
Amended petition for a writ of habeas corpus, brought to the Superior Court in the judicial district of Tolland, where the court, Newson, J., rendered judgment dismissing the petition in part; thereafter, the petitioner withdrew the remaining count of the petition; subsequently, the court denied the petition for certification to appeal, and the petitioner appealed to this court. Appeal dismissed.
Justine F. Miller, assigned counsel, for the appellant (petitioner).
Jonathan M. Sousa, deputy assistant state‘s attorney, with whom, on the brief, were Gail P. Hardy, executive assistant state‘s attorney, and Jo Anne Sulik, senior assistant state‘s attorney, for the appellee (respondent).
Opinion
“This case arises from the terrible consequences of a drug turf war. During a Fourth of July block party in the area of Enfield and Garden Streets in Hartford, a seven year old girl was struck by a stray bullet that caused serious injuries.” State v. Carter, 84 Conn. App. 263, 265, 853 A.2d 565, cert. denied, 271 Conn. 932, 859 A.2d 931 (2004), cert. denied, 544 U.S. 1066, 125 S. Ct. 2529, 161 L. Ed. 2d 1120 (2005). The following facts and procedural history, which were set forth by this court in the petitioner‘s appeal from the denial of his fourth habeas petition, are relevant to the petitioner‘s present appeal. “In 2002, after a jury trial, the petitioner was found guilty of assault in the first degree in violation of
“In affirming the judgment of conviction, this court concluded, inter alia, that the evidence adduced at trial was sufficient to support the conviction of assault in the first degree and risk of injury to a child.2 More specifically, this court stated that the evidence adduced at trial was sufficient to establish that the petitioner shot the victim. [Id., 270].
“In 2004, the petitioner filed his first petition for a writ of habeas corpus in which he raised fourteen claims.3 That petition was denied by the habeas court. The petitioner then appealed following the court‘s denial of his petition for certification to appeal, claiming that the court abused its discretion in denying his petition for certification and in denying his petition as unfounded. This court dismissed that appeal in Carter v. Commissioner of Correction, 106 Conn. App. 464, 942 A.2d 494, cert. denied, 288 Conn. 906, 953 A.2d 651 (2008).
“The petitioner then filed a second petition for a writ of habeas corpus on March 6, 2007. In a supplemental memorandum attached to his petition, the petitioner raised four claims.4 The court summarily dismissed the petitioner‘s second petition on its own motion, without an evidentiary hearing and before the respondent, the [C]ommissioner of [C]orrection, had filed her reply. The court stated in its judgment of dismissal that [a]fter having reviewed the . . . petition, the court finds the petition
“In October, 2007, the petitioner initiated a third habeas action in which he alleged that the state had withheld exculpatory evidence [specifically, ballistics evidence pertaining to a nine page report prepared by the investigating officer in which he misidentifies an item of evidence marked E-9 as a .45 caliber shell casing] in violation of Brady v. Maryland, 373 U.S. 83, 83 S. Ct. 1194, 10 L. Ed. 2d 215 (1963). After a full hearing, the habeas court concluded that there was no Brady violation and denied the petition. See Carter v. Warden, Superior Court, judicial district of Tolland, Docket No. CV-07-4002005 (January 22, 2010). The petitioner then appealed following the court‘s denial of his petition for certification to appeal, and this court subsequently dismissed that appeal in Carter v. Commissioner of Correction, 131 Conn. App. 905, 28 A.3d 360 (2011).
“On November 21, 2007, the petitioner filed a motion to correct an illegal sentence. In his motion, he argued that the trial court, in rendering its sentence, improperly considered an argument the prosecutor had made to the jury during closing argument that certain evidence suggested that the petitioner had fired a nine millimeter firearm. See State v. Carter, 122 Conn. App. 527, 529–30, 998 A.2d 1217 (2010), cert. denied, 300 Conn. 915, 13 A.3d 1104 (2011). The trial court denied that motion and, after reviewing the record, this court affirmed the judgment, concluding that there was nothing in the record to indicate that the court relied on any misstated or inaccurate information in sentencing the petitioner. Id., 532.
“On January 29, 2010, the petitioner initiated [his fourth] habeas action.” (Footnote added; footnotes in original; internal quotation marks omitted.) Carter v. Commissioner of Correction, 133 Conn. App. 387, 388–91, 35 A.3d 1088, cert. denied, 307 Conn. 901, 53 A.3d 217 (2012). By an amended petition dated March 1, 2010, the petitioner alleged that his trial counsel rendered ineffective assistance during sentencing by failing to preserve his right of sentence review. Id., 391. He also asserted three arguments that the evidence was insufficient to sustain his conviction. Id. The habeas court dismissed the petition on the ground that his claims were successive and barred by res judicata. Id., 391–92. The petitioner appealed the dismissal of his habeas petition on the ground that his claims were neither successive nor barred by res judicata because the petition sought a different form of relief than his previous petitions. Id., 392. He further contended that his claims were not barred by the doctrine of res judicata because they were not actually litigated in his prior petitions. Id. This court agreed that the petitioner‘s sufficiency claims were barred by res judicata; id., 395; but that his ineffective assistance claim regarding his counsel‘s failure to preserve his right to sentence review was not barred by res judicata because the claim had not been previously litigated. Id., 396–97. Accordingly, this court reversed the judgment of the habeas court as to the petitioner‘s claim of ineffective assistance of counsel and remanded the case to the habeas court for further proceedings on that claim.5 Id., 397.
On May 22, 2019, the habeas court, sua sponte, ordered a hearing on whether the petition should be dismissed as successive and whether the petitioner‘s claims were barred by res judicata or collateral estoppel. Both parties filed memoranda of law in support of their respective positions, and the court held a hearing on June 18, 2019, during which the petitioner argued that, although he previously had litigated claims of ineffective assistance of his trial counsel, the factual bases of those claims were different. Furthermore, he claimed that he previously had been unable to discover the facts underlying his current claims because he represented himself in those actions. He also argued that his due process claim was premised on a legal ground that he had not asserted previously.
The court dismissed the petitioner‘s claims orally from the bench, expressly rejecting his contention that he should be absolved from the legal requirements prohibiting successive petitions on the ground that he represented himself. The court found that the petitioner had made “a conscious choice” to represent himself in his prior habeas actions and held that his status as a self-represented party did not allow him to engage in “piecemeal litigation” by asserting new factual bases for his ineffective assistance of counsel claims. The court concluded that, because the facts underlying the petitioner‘s current claims of ineffective assistance of counsel could have been discovered through reasonable diligence in the petitioner‘s prior habeas actions, those claims were barred by res judicata. The court also found that the petitioner‘s claim that his right to due process was violated because a diagram admitted into evidence was fraudulently altered previously had been litigated and was, therefore, barred by res judicata and/or collateral estoppel. Accordingly, the court dismissed in part the petition for writ of habeas corpus and thereafter denied certification to appeal from that judgment. This appeal followed.
“Faced with a habeas court‘s denial of a petition for certification to appeal, a petitioner can obtain appellate review of the dismissal of his petition for habeas corpus only by satisfying the two-pronged test enunciated by our Supreme Court in Simms v. Warden, 229 Conn. 178, 640 A.2d 601 (1994), and adopted in Simms v. Warden, 230 Conn. 608, 612, 646 A.2d 126 (1994). First, [the petitioner] must demonstrate that the denial of his petition for certification constituted an abuse of discretion. . . . Second, if the petitioner can show an abuse of discretion, he must then prove that the decision of the habeas court should be reversed on the merits. . . . To prove that the denial of his petition for certification to appeal constituted an abuse of discretion, the petitioner must demonstrate that the [resolution of the underlying claim involves issues that] are debatable among jurists of reason; that a court could resolve the issues [in a different manner]; or that the questions are adequate to deserve encouragement to proceed further. . . .
“In determining whether the habeas court abused its discretion in denying the petitioner‘s request for certification, we necessarily must consider the merits of the petitioner‘s underlying claims to determine whether the habeas court reasonably determined that the petitioner‘s appeal was frivolous.” (Internal quotation marks omitted.) Haywood v. Commissioner of Correction, 194 Conn. App. 757, 763–64, 222 A.3d 545 (2019), cert. denied, 335 Conn. 914, 229 A.3d 729 (2020).
“The conclusions reached by the [habeas] court in its decision to dismiss [a] habeas petition are matters of law, subject to plenary review. . . . [When] the legal conclusions of the court are challenged, [the reviewing court] must determine whether they are legally and logically correct . . . and whether they find support in the facts that appear in the record.” (Internal quotation marks omitted.) Johnson v. Commissioner of Correction, 285 Conn. 556, 566, 941 A.2d 248 (2008). “To the extent that factual findings are challenged, this court cannot disturb the underlying facts found by the habeas court unless they are clearly erroneous . . . .” (Internal quotation marks omitted.) Grant v. Commissioner of Correction, 121 Conn. App. 295, 298, 995 A.2d 641, cert. denied, 297 Conn. 920, 996 A.2d 1192 (2010). With these principles in mind, we address the petitioner‘s claims in turn.
I
The petitioner first claims that the habeas court erred in concluding that his ineffective assistance of counsel claims were barred by the doctrine of res judicata. He argues that they are not barred by res judicata because they are based on facts pertaining to a third-party culpability claim that he could not have discovered previously because he was not represented by counsel in his prior habeas actions.7 We are not persuaded.
“Our courts have repeatedly applied the doctrine of res judicata to claims duplicated in successive habeas petitions filed by the same petitioner. . . . In fact, the ability to dismiss a petition [if] it presents the same ground as a prior petition previously denied and fails to state new facts or to proffer new evidence not reasonably available at the time of the prior petition is memorialized in Practice Book § 23-29 (3). . . .
“Pursuant to Practice Book § 23-29 (3), [i]f a previous [petition] brought on the same grounds was denied, the pending [petition] may be dismissed without hearing, unless it states new facts or proffers new evidence not reasonably available at the previous hearing. . . . [A] petitioner may bring successive petitions on the same legal grounds if the petitions seek different
This court has held that, “in the absence of allegations and facts not reasonably available to the petitioner at the time of the original petition or a claim for different relief, a subsequent claim of ineffective assistance directed against the same counsel is subject to dismissal as improperly successive. . . . Identical grounds may be proven by different factual allegations, supported by different legal arguments or articulated in different language. . . . However they are proved, the grounds that the petitioner asserted are identical in that each alleges ineffective assistance of counsel, and, therefore, the habeas petition was properly dismissed.” (Citation omitted; internal quotation marks omitted.) Id., 272.
Here, the petitioner concedes that his claims of ineffective assistance of counsel have been litigated. He nevertheless contends that they are not barred by res judicata because, as a self-represented litigant, he lacked the skill and expertise to ascertain the facts underlying his present claims of ineffective assistance. In other words, he now claims that the facts underlying his present claims were based on facts or evidence not reasonably available to him during prior proceedings because, at the time of those proceedings, he was a self-represented party, and now, with counsel, he is aware of the facts or evidence and wishes to raise them despite having litigated these claims previously.
In support of his argument, the petitioner relies on the following language in Gaskin v. Commissioner of Correction, 183 Conn. App. 496, 520, 193 A.3d 625 (2018): “[W]e cannot expect an incarcerated individual such as the petitioner, after appellate counsel has been permitted to withdraw by the Superior Court, to then be able to develop new claims from the confines of prison. Such expectations defy reason.” That reasoning was applied, however, in the procedural context presented in Gaskin where the court permitted the petitioner‘s counsel to withdraw from his case, leaving the petitioner with no choice but to represent himself. This case is distinguishable from Gaskin because the petitioner here chose to represent himself, repeatedly and consistently, over the course of almost two decades, and in numerous proceedings, since the date of his conviction.
This court has explained: “Although we allow [self-represented] litigants some latitude, the right of self-representation provides no attendant license not to comply with relevant rules of procedural and substantive law. . . . There, however, comes a point at which granting too much latitude to self-represented parties can simply be unfair to their adversaries.” (Citation omitted; internal quotation marks omitted.) Woods v. Commissioner of Correction, 197 Conn. App. 597, 608–609, 232 A.3d 63, cert. granted, 335 Conn. 938, 237 A.3d 1 (2020).
It is clear from the extensive history of this case, that the petitioner has been afforded several opportunities to fully and fairly challenge his conviction and that he has been given significant latitude to do so as a self-represented litigant. In particular, he freely admits that he has previously litigated his ineffective assistance of counsel claims. He also all but concedes that, if he were represented by counsel when he
II
The defendant also claims that the habeas court erred in concluding that his due process claim was barred by the doctrine of collateral estoppel.8 We disagree.
The same policy considerations that we have relied on to circumscribe the application of the doctrine of res judicata to habeas proceedings guide us in applying the doctrine of collateral estoppel in this context. “The common-law doctrine of collateral estoppel, or issue preclusion, embodies a judicial policy in favor of judicial economy, the stability of former judgments and finality. . . . Collateral estoppel . . . is that aspect of res judicata [that] prohibits the relitigation of an issue when that issue was actually litigated and necessarily determined in a prior action between the same parties upon a different claim. . . . For an issue to be subject to collateral estoppel, it must have been fully and fairly litigated in the first action. It also must have been actually decided and the decision must have been necessary to the judgment. . . .
“An issue is actually litigated if it is properly raised in the pleadings or otherwise, submitted for determination, and in fact determined. . . . An issue is necessarily determined if, in the absence of a determination of the issue, the judgment could not have been validly rendered. . . . [C]ollateral estoppel [is] based on the public policy that a party should not be able to relitigate a matter which it already has had an opportunity to litigate. . . . Stability in judgments grants to parties and others the certainty in the management of their affairs which results when a controversy is finally laid to rest.” (Citation omitted; internal quotation marks omitted.) Johnson v. Commissioner of Correction, 168 Conn. App. 294, 310–11, 145 A.3d 416, cert. denied, 323 Conn. 937, 151 A.3d 385 (2016).
The petitioner claims that his right to due process was violated because, at trial, a diagram portraying the state‘s preliminary theory regarding certain ballistics evidence was admitted into evidence without a label identifying it as having been prepared by the Hartford Police Department. The petitioner argues that the label was removed by the state prior to the diagram‘s admission into evidence, constituting
Most recently, the petitioner filed a motion to set aside his conviction, claiming ” ‘after-discovered fraud on the court,’ ” involving the same ballistics report at issue in this case. State v. Carter, Superior Court, judicial district of Hartford, Docket No. HHD-CR-01-553550 (October 30, 2017). The trial court, Schuman, J., concluded, inter alia, that the petitioner‘s claim was barred by collateral estoppel and dismissed his motion because the petitioner had previously raised the same issue in a previously filed motion to open and set aside his judgment of conviction. Id. Although the petitioner filed an appeal from Judge Schuman‘s decision, he did so on other grounds and did not challenge Judge Schuman‘s collateral estoppel determination on appeal. In affirming that judgment, this court recounted: “On June 20, 2017, the [petitioner] filed a motion to set aside the judgment. Therein, the [petitioner] claimed ‘after-discovered fraud on the court.’ . . . In his memorandum of law in support of the operative motion, the [petitioner] expounded ‘that the prosecution altered, concealed and/or removed from the trial proceedings documents prepared by the Hartford Police Department with purpose to impair its verity and availability, and that the prosecution passed the altered document off to the defense, representing it to be “[simply] a distance” measurement, knowing it to be false.’ On August 3, 2017, the state moved to dismiss the operative motion, arguing that the trial court lacked subject matter jurisdiction. The trial court . . . granted the state‘s motion on October 30, 2017. . . .
“In the court‘s ruling, it detailed part of the [petitioner‘s] ‘voluminous history’ of postconviction litigation, including a motion to open and set aside the judgment of conviction filed in 2010. The [petitioner] based his 2010 motion on ‘fraud concerning ballistics evidence and reports prepared by the Hartford Police Department about that evidence.’ . . . That motion was denied by the court, Gold, J., on two grounds: (1) ‘the motion was filed well beyond the four month period after the entry of the criminal conviction and judgment‘; and (2) ‘the motion was barred by collateral estoppel in that Judge Nazzaro had rejected the same claim in the [petitioner‘s] third habeas petition.’ Applying this history to the operative motion, Judge Schuman concluded that the [petitioner‘s] claim bore ‘only semantic differences from the [petitioner‘s] claim . . . raised in [the 2010] motion to open.’ As that claim had already been considered and rejected multiple times before, most recently by Judge Gold and this court, the trial court concluded that it ‘necessarily must grant the state‘s motion to dismiss . . . .’ ” (Footnotes omitted.) State v. Carter, 194 Conn. App. 202, 204–205, 220 A.3d 882 (2019).10
In the present case, the petitioner claims that the absence of the label indicating
On the basis of our analysis and conclusions in parts I and II of this opinion, we conclude that the petitioner has failed to prove that the resolution of the underlying claims involves issues that are debatable among jurists of reason, that a court could resolve the issues in a different manner, or that the questions are adequate to deserve encouragement to proceed further, and, therefore, the habeas court did not abuse its discretion in denying the petition for certification to appeal.
The appeal is dismissed.
In this opinion the other judges concurred.