In September 1990, Douglas E. Moore, petitioner, pleaded guilty to attempted rape. In his Crim.R. 11 colloquy with the trial court, Moore stated that he made his guilty plea of his own free will and that he understood that the court was free to pass the maximum sentence for the crime. The trial court accepted the plea and entered a judgment of conviction against him. At sentencing, the trial court imposed a minimum of eight and a maximum of fifteen years’ incarceration.
On August 16, 1993, Moore filed a petition for postconviction relief under R.C. 2953.21. In that petition, he claimed that his attorney had promised him that if he pleaded guilty to the offense, he would be placed on probation. In support of that allegation, Moore submitted affidavits by his mother, brother, and sister. The court, nonetheless, denied the petitioner’s request for a hearing and dismissed his petition. From that order, Moore brings this appeal.
In his single assignment of error, Moore contends that the trial court erred when it dismissed his petition without a hearing. The Ohio postconviction statute states that the court must grant an evidentiary hearing, unless it determines that there are no substantive grounds for relief. R.C. 2953.21(C) and (E). To determine whether there are substantive grounds for relief, the court must consider the petition, affidavits, files and records of the original proceedings, the record of the clerk of court, and the court reporter’s transcript. R.C. 2953.21(C).
The court’s decision on whether to grant a hearing may turn on the contents of affidavits submitted with the petition. For instance, in one case, the petitioner submitted his own signed statement in which he claimed that his attorney promised him that he would receive a lesser sentence if he pleaded guilty. State v. Kapper (1983),
The issue in this case, then, is whether the affidavits by Moore’s mother, brother, and sister are “self-serving declarations,” as in Kapper, or whether they are sufficient to warrant a hearing under R.C. 2953.21(C). The question stated more generally is whether the trial court may determine issues of credibility and weight based on affidavits when it decides whether to grant an evidentiary
A. May the Trial Court Weigh Issues of Credibility When it Dismisses a Postconviction Petition?
A postconviction proceeding is not an appeal of a criminal conviction, but a collateral civil attack on a criminal judgment. State v. Steffen (1994),
As in all cases of statutory interpretation, the polestar of analysis is the determination of actual legislative intent. Henry v. Cent. Natl. Bank (1968),
Findings of fact generally include decisions regarding weight and credibility of witnesses. See, e.g., State v. DeHass (1967),
When a statute is ambiguous, the court may look at former statutory provisions to determine the intent of the legislature. R.C. 1.49(D). In the original postconviction statute, the Ohio legislature granted the court broad power to determine issues of weight and credibility without the benefit of live testimony. As the statute first was adopted, the court could deny a hearing based on the petition, files, and records, without considering petitioner’s affidavits or depositions. Am.S.B. No. 383, 131 Ohio Laws 684, 684-685 (prior version of R.C. 2953.21 and 2953.22). Furthermore, even if the court ordered a hearing, the legislature permitted it to proceed without the petitioner. Am.S.B. No. 383, 131 Ohio Laws 684, 685 (prior version of R.C. 2953.22). If the court allowed the petitioner to attend the hearing, the court also was permitted to consider the testimony of all witnesses in the form of depositions. Am.S.B. No. 383, 131 Ohio Laws 684, 685 (prior version of R.C. 2953.22). After the hearing, with or without live testimony, the court was ordered to make findings of fact and decide the merits of the petition. Am.S.B. No. 383,131 Ohio Laws 684 (prior version of R.C. 2953.21).
In view of the legislature’s original intent to allow the trial court to dispose of postconviction petitions without the benefit of live testimony, it is helpful to analyze subsequent developments in the law and changes in the Rules of Criminal Procedure to determine the court’s current power to dismiss without a hearing. In 1975, ten years after the postconviction statute first was enacted, the Ohio Supreme Court held that the trial court must grant a hearing if the petitioner’s allegations raised questions of fact that could not be resolved without an evidentiary hearing. State v. Milanovich (1975),
Therefore, the current language of the postconviction statute, prior versions of the procedure, and Ohio Supreme Court interpretations of the statute indicate that the legislature intended for the trial court to weigh issues of credibility without granting a hearing. The question is, therefore, how broad did the legislature intend the factfinding power to be?
B. How May the Court Determine Credibility of Affidavits?
When a state statute is modeled on parallel federal statutes, judicial interpretations of those federal provisions may be considered as persuasive authority in determining the meaning of comparable Ohio laws. In re Estate of Morgan (1981),
The coordination between the federal and state procedures is illustrated by the fact that a petitioner must exhaust all state postconviction remedies before applying for federal habeas corpus relief. Young,
The United States Supreme Court has held that in state appellate review, factfinding based on a record review can be adequate to afford a full and fair hearing within the meaning of Section 2254(d), Title 28, U.S.Code. Sumner v. Mata (1981),
The Fifth Circuit Court of Appeals in particular has developed standards for “paper hearings.” For instance, in one case a petitioner submitted an affidavit by one of his trial attorneys, who made an allegation of juror misconduct. Buxton v. Lynaugh (C.A.5, 1989),
Other factors that the court may consider in denying a live hearing are whether it appears from the face of the affidavit that it was prepared by a person other than the affiant or whether the affiants are relatives of the petitioner. Sawyers v. Collins (C.A.5, 1993),
By contrast, in a case in which the Fifth Circuit held that a hearing was required, a petitioner raised a claim that the trial court was biased against him. Nethery v. Collins (C.A.5, 1993),
The Fifth Circuit noted that the postconviction judge did not preside at trial; therefore, there was no meaningful opportunity for the court in postconviction to access the credibility of the conflicting affiants. Id. at 1157, fn. 8. In addition, the trial transcript and independent newspaper accounts corroborated the affidavits by showing the emotional outbursts of the trial judge. Therefore, a hearing without live testimony was not sufficient, and the findings of fact in the state
C. Credibility of Moore’s Affidavits
Here, all three of Moore’s affidavits give verbatim accounts of the sequence of events involving the attorney’s promise of probation. See Appendix A, B, and C. The three affidavits were signed by relatives of the petitioner. They seemingly were prepared by the same person. The three affidavits also rely on the hearsay declaration of the attorney: “Mr. Bolee said that he could get a plea bargain where my [son] [brother] Douglas would not have to go to jail.” Similarly, the affidavits swear in triplicate, “When they were escorting him away, I asked Mr. Bolee what happened to the deal.” Finally there is nothing in the record or the petition to corroborate the affiants’ stories.
On the other hand, the record indicates the following colloquy:
“THE COURT: Is your plea made of your own free will?
“THE DEFENDANT: Yes, sir.
U * * *
“THE COURT: The only thing left for me is to pass the sentence. And the possible sentence for this kind of charge is a minimum of three years, four, five, six, seven or eight to fifteen years in a reformatory or penitentiary and a fine of up to $6,500. Do you understand?
“THE DEFENDANT: Yes, sir.”
Applying the standards drawn from the federal cases cited herein, we note not only that the affidavits conflict with the petitioner’s prior statements, given both orally and in a signed writing at the time he entered his guilty plea in open court, but also that the same judge presided at the plea hearing and at the postconviction proceeding. Therefore, the judge was able to observe the defendant and his attorney and ascertain the credibility of the defendant’s original statements. The petition and the affidavits have the effect of asking the judge now to believe that the defendant’s prior statements were false. The Ohio Supreme Court has held as syllabus law that “[r]ecanting testimony ordinarily is unreliable and should be subjected to closest scrutiny.” Taylor v. Ross (1948),
All of these factors must be considered in determining whether the trial court in this case was required to hold an evidentiary hearing. First, the same judge presided at both proceedings. In addition, regarding the affidavits, they were identical, signed by relatives, seemingly prepared by the same person, based on hearsay, and had the effect of recanting prior statements. Therefore, here, just as in Kapper, a record reflecting compliance with Crim.R. 11 has greater
Judgment affirmed.
Notes
. We have sua sponte removed this cause from the accelerated calendar.
