FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
SUSAN K. CARPENTER STEVE CARTER
Public Defender of Indiana Attorney General of Indiana
BRIAN EISENMAN GEORGE P. SHERMAN
Deputy Public Defender Deputy Attorney General
Indianapolis, Indiana Indianapolis, Indiana
EDWARD JACKSON, )
)
Appellant-Petitioner, )
)
vs. ) No. 43A03-0410-PC-472
)
STATE OF INDIANA, )
)
Appellee-Respondent, )
OPINION - FOR PUBLICATION
Id. at 30, 113 S. Ct. at 523-24. After Parke, it is
clear that if a challenge to a guilty plea can be characterized as
a collateral attack, then it is appropriate to place the burden of producing
evidence of a constitutional violation on the defendant. If the challenge is
a direct attack, then Boykin applies.
This court addressed Parke late last year in Hall v. State, 819 N.E.2d
102 (Ind. Ct. App. 2004). The majority of the Hall panel declined
to apply a Parke-like burden-shifting rule to a situation in which a defendant
waited until 2001 to challenge a guilty plea entered into in 1983, and
no transcript of the guilty plea hearing existed and no other documents indicated
that the defendant was advised of his Boykin rights. See id. at
112. Additionally, because none of the parties present could remember details of
the defendants specific guilty plea hearing, the majority held that reconstruction of the
record was impossible and vacation of the 1983 conviction was required. Id.
This was so even though, as here, there was evidence presented that
the trial judge as a matter of custom always advised defendants of their
Boykin rights before accepting a guilty plea. Id.
The majority in Hall declined to follow the Kentucky rule approved of in
Parke because in Indiana, post-conviction relief is the only way a defendant can
challenge the validity of a guilty plea; the majority concluded, such petition is
not collateral in the sense used by the Court in Parke. It
is instead a direct attack on the validity of the underlying conviction with
no other independent purpose. Id. The majority adhered to what it
believed to be the valid Zimmerman-based rule, i.e. a post-conviction petitioner need establish
only that the record or transcript of the petitioners guilty plea hearings are
unavailable and that reconstruction of the record via the Appellate Rules is impossible.
Id. The majority also noted the difference between Parke and the
case before it, namely that the defendant in Parke was challenging his prior
convictions within the context of a recidivist sentence enhancement proceeding while Hall had
filed a purportedly free-standing post-conviction relief petition. Id. at 108.
Judge May, a member of the current panel, dissented in Hall and advocated
for the burden-shifting rule analyzed in Parke. With respect to the difference
in procedural posture between Parke and Hall, she observed that defendants in Indiana
cannot raise a Boykin challenge to a previous conviction directly during habitual offender
proceedings, and so the Parke situation can never arise precisely in Indiana.
Id. at 113 (May, J., dissenting) (citing Edwards v. State, 479 N.E.2d 541,
547-48 (Ind. 1985)). She went on to state:
I find it inconceivable that Hall filed his petition for post-conviction relief without
an independent purpose other than to overturn the prior conviction, because Hall is
no longer suffering any direct consequences of his plea. He filed his
petition for post-conviction relief eighteen and a half years after being given a
five-year suspended sentence with two years on probation. Any complaint he has
now is undoubtedly based on his desire to avoid some indirect negative consequence
be that an habitual offender proceeding, difficulty getting a job because of
his criminal record, or inability to vote.
Id. at 114 (internal citations omitted). Our supreme court recently granted transfer
in Hall. This does not necessarily mean that it disagrees with the
Hall majority. Nevertheless, two of the panel members in this case believe
that the dissenting opinion in Hall embodies the correct view.
The position of the Hall majority essentially is that because a post-conviction relief
proceeding is the only way in which a defendant in Indiana may challenge
the validity of a guilty plea, such an attack is always direct for
Boykin purposes and never collateral for Parke purposes. Thus, Boykin and its
direct appeal requirement that the record must affirmatively show the waiver of the
right to jury trial, right to confront witnesses, and the privilege against self-incrimination,
would always apply. The Hall majority placed much emphasis on the definition
of collateral attack provided in Parke, which is an effort to deprive previous
convictions of their normal force and effect in a proceeding that has an
independent purpose other than to overturn the prior judgments. Hall, 819 N.E.2d
at 108 (citing Parke, 506 U.S. at 30, 113 S. Ct. at 523).
See footnote
The only purpose of a post-conviction challenge to a guilty plea, the
Hall majority asserted, is to overturn the prior judgment.
We agree that in one sense, especially with respect to guilty pleas, post-conviction
relief petitions allow a direct attack on a conviction because the only facial
purpose of such a petition is to set aside a prior judgment.
On the other hand, it is axiomatic that a post-conviction relief proceeding is
a quasi-civil one that is completely separate and distinct from the underlying criminal
proceeding. See Phillips v. State, 441 N.E.2d 201, 203 (Ind. 1982).
Also, the courts of this State have repeatedly labeled post-conviction proceedings as collateral
in nature. See, e.g., Lambert v. State, 743 N.E.2d 719, 725 (Ind.
2001). It thus appears to us that a post-conviction relief petition could
be construed either as a direct or collateral attack on a conviction, depending
on the circumstances. We think it is necessary to focus narrowly on
whether Jacksons post-conviction petition may be construed as a collateral attack strictly for
purposes of Parkes burden-shifting rule, based on the particular facts and circumstances of
his case, regardless of whether the petition might be a direct attack for
other purposes. After reading Parke in its entirety, we conclude the Supreme
Court readily would approve of placing the burden of producing evidence of a
Boykin violation on a defendant such as Jackson because he effectively launched a
collateral attack on his 1979 guilty plea.
Parke clearly permits making it difficult for defendants who have pled guilty to
challenge their plea many years later. It also disapproved of allowing defendants
to avoid the consequences of their plea simply because the official record of
their plea hearing has disappeared through no ones fault. In our view,
Parke stands for the proposition that there is no constitutional right that decades-old
tape recordings of guilty plea hearings never be lost, nor that trial judges
and attorneys have perfect memories regarding long-ago proceedings. We see no indication
that the Supreme Court intended to narrowly limit this proposition only to challenges
to guilty pleas that arise within the official context of an habitual offender
proceeding. Of course, Parke did not mandate that the states implement rules
that place the burden of proving constitutional infirmity on defendants who challenge their
guilty pleas in a collateral setting. It merely approved such rules.
We conclude, however, that such a rule would be consistent with Indiana case
law and our post-conviction rules.
We mentioned White v. State earlier in this opinion. There, our supreme
court expressed great consternation with prisoners who had pled guilty being able to
successfully challenge their guilty pleas many years after the fact. The court
stated:
Routine reversal of convictions on technical grounds imposes substantial costs on society. .
. . Jurors, witnesses, judges, lawyers, and prosecutors may be required to
commit further time and other resources to repeat a trial which has already
taken place. The victims are caused to re-live frequently painful experiences in
open court. The erosion of memory and the dispersal of witnesses may
well make a new trial difficult or even impossible. If the latter
is the case, an admitted perpetrator will be rewarded with freedom from prosecution.
Such results prejudice societys interest in the prompt administration of justice, reduce
the deterrent value of any punishment, and hamper the rehabilitation of wrongdoers.
White, 497 N.E.2d at 905. This was the reason the White court
held that merely demonstrating a trial courts failure to give all of the
advisements required by Indiana Code Section 35-35-1-2(a) is not enough to warrant post-conviction
relief from a guilty plea. Instead, the petitioner must allege and prove
by a preponderance of the evidence that such failure rendered the plea decision
involuntary or unintelligent. Id. In the recent Graves decision, the court
again plainly evidenced its skepticism toward post-conviction challenges to ancient guilty pleas.
See Graves, slip op. at 4. We also observe that the White
court labeled post-conviction relief challenges to guilty pleas as collateral attacks on criminal
convictions . . . . 497 N.E.2d at 905.
We do agree with the Hall majority to the extent that there might
be occasions when a post-conviction challenge to a guilty plea should be considered
a direct attack and the rule of Boykin rather than Parke should apply.
We do not need to identify any such situations today. We
do hold that in a situation such as that before us today, in
which a defendant is no longer suffering any direct negative effects of his
or her guilty plea because any sentence and probationary period stemming from the
plea has been fully served, a post-conviction challenge to such a plea should
be deemed collateral for purposes of Parke. On such collateral review it
should be presumed that a judgment was entered validly, regardless of whether the
official record of a proceeding is lost, and a defendant should bear the
burden of forwarding evidence of invalidity or a constitutional violation. If such
evidence is forwarded, then the State must present evidence to the contrary, but
it is still an inherently factual question to be resolved by the post-conviction
court as to whether the violation occurred. This approach is consistent with
the plain language of our post-conviction rules, which provide that a petitioner has
the burden of establishing his grounds for relief by a preponderance of the
evidence. Ind. Post-Conviction Rule 1(5). This is also consistent with the
Supreme Courts and our supreme courts stated skepticism regarding long-delayed challenges to guilty
pleas. Otherwise, and perversely, the finality of a guilty plea would decrease
rather than increase as time marches on, as judges, lawyers, and reporters die
or forget the details of proceedings, tape recordings become misplaced or disintegrate in
crowded courthouse vaults, and the possibility of definitively proving that Boykin advisements were
given to a particular defendant fades into oblivion. Parties should not be
permitted to game the system in such a manner.
See footnote
We also observe that the affirmative defense of laches is not by itself
sufficient to preserve the integrity of final judgments in all cases. For laches
to apply, the State must prove by a preponderance of the evidence that
the petitioner unreasonably delayed in seeking relief and that the State is prejudiced
by the delay.
Armstrong v. State, 747 N.E.2d 1119, 1120 (Ind. 2001).
Prejudice exists when the unreasonable delay operates to materially diminish a reasonable
likelihood of successful re-prosecution. Id. Here, the State initially pled laches
in response to Jacksons post-conviction relief petition. Later, after interviewing witnesses to
the 1979 molestation, the State withdrew the defense because the witnesses could still
recall and testify about the event. The State, therefore, could not establish
the prejudice element of laches. Still, those witnesses, and especially the victim
of the 1979 crime, certainly were entitled to expect that Jacksons guilty plea
over twenty-five years ago had concluded the matter. They should not have
to relive the event in a new trial, in the absence of clear
evidence that the plea was entered in violation of Jacksons constitutional rights.
Society at large also has an interest in ensuring the finality of convictions
and upholding the integrity of the criminal justice system.
Here, Jackson pled guilty in 1979 to a Class D felony, for which
he received a two-year suspended sentence and one year of probation. He
did not file his petition for post-conviction relief until 2003.
See footnote
Parke should
apply here, and the mere fact that the transcript of his plea hearing
is missing and no one present at the hearing can remember details of
it does not warrant relief from the 1979 plea. Instead, the validity
of the plea is presumed. Jackson was required to present some evidence
that the Boykin advisements were not given in this case. He did
not do so; the inability of Jackson, the trial judge, prosecutor, and defense
attorney to remember what precisely was said at one plea hearing conducted decades
ago was not enough. In any event, the State presented ample evidence
that it would have been highly unusual for Boykin advisements not to be
given such that any testimony to the contrary could be rebutted. The
post-conviction court properly denied Jacksons petition.
DARDEN, Judge, dissenting
I commend Judge Barnes on his thought-provoking and thorough analysis, but I must
respectfully dissent.
Parke v. Raley, 506 U.S. 20 (1992), certainly lends flavor to our consideration
of what the effect is when a defendant who pled guilty later seeks
to have that plea vacated on post-conviction relief because it is "impossible" to
reconstruct the guilty plea hearing to show that he was advised of those
rights mandated by Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709 (1969).
But I believe we must continue to use Boykin as our starting
point. As the majority explained in Hall v. State, 819 N.E.2d 102
(Ind. Ct. App. 2004), transmitted on transfer March 10, 2004,
the Boykin decision requires that the record must show, or there must be
an allegation and evidence which shows, that the defendant was informed of,
Id. at 205. With the import of the Boykin rights and Boykin's
mandate in mind, I agree with the majority in Hall that we must
be mindful of an important distinction between the legal landscape of applicable Kentucky
law in Parke and that of Indiana: in Indiana, the only avenue available
for challenging a guilty plea is by a petition for post-conviction relief.
See Tumulty v. State, 666 N.E.2d 394 (Ind. 1996) (defendant who pleads guilty
may not challenge the validity of plea upon direct appeal but must pursue
post-conviction procedures).
It is also worth noting that Indiana gives greater protections to criminal defendants
than required by the U.S. Constitution. See e.g. Richardson v. State, 717
N.E.2d 32 (Ind. 1999 (Indiana's double jeopardy protection); Sims v. State, 274 Ind.
495, 413 N.E.2d 386 (1983) (defendant in custody must be advised of right
to counsel before being asked to consent to search); Vaughan v. State, 446
N.E.2d 1 (Ind. Ct. App. 1983) ("Indiana has historically afforded the defendant more
protection than is mandated by the Due Process Clause of the Fourteenth Amendment.").
In the context of Boykin's mandate that certain advisements to a defendant contemplating
a guilty plea must not only be made but also be evidenced, I
note that our supreme court rules require that records of convictions be maintained
and, more particularly, that transcripts of felony guilty plea hearings be maintained for
fifty-five years. See Ind. Criminal Rule 5. I believe this
properly reflects the premium placed by public policy on keeping such records, and
I believe this record-keeping is a small price to pay when weighed against
the potential consequences that a defendant will likely pay if convicted as a
recidivist.
Finally, while I risk being thought unduly skeptical of fellow practitioners, it is
difficult for me to envision the judge or attorney who will come into
court and admit having done something improper in a court proceeding. Thus,
I am troubled by the fact that the result of the majority's conclusion
is that if a witness comes into court and testifies that it was
his or her practice to follow a certain procedure, this will suffice to
establish as a matter of law compliance with a Constitutional requirement. Giving
due regard to the effect of time on the human memory, it seems
to me that relying on this nonspecific report -- that "it was my
practice" to do what should have been done -- is unacceptable to establish
a matter having the Constitutional dimensions of Boykin.
For the foregoing reasons, I cannot agree with the burden shifting that the
majority has found acceptable until such time as our supreme court adopts this
approach, and I would follow the reasoning of the majority in Hall.