Johnson v. Commissioner of Correction
Johnson v. Commissioner of Correction
Opinion
The petitioner, Vance Johnson, appeals from the judgment of the habeas court dismissing his sixth petition for a writ of habeas corpus. 1 On appeal, the petitioner claims that the habeas court, Fuger, J., improperly granted the motion to dismiss filed by the respondent, the Commissioner of Correction. We conclude that the court properly dismissed that portion of the petition for a writ of habeas corpus alleging ineffective assistance of his first and second habeas counsel on the ground of res judicata, and that the court also properly dismissed that portion of the petition alleging ineffective assistance of his third and fourth habeas counsel, albeit on alternative grounds than those on which the court relied.
The record reveals the following facts and procedural history. On August 29, 1994, the petitioner was charged with murder in violation of General Statutes (Rev. to 1993) § 53a-54a and with criminal possession of a firearm in violation of General Statutes (Rev. to 1993) § 53a-217. On December 9, 1996, the petitioner pleaded guilty to the charge of criminal possession of a firearm and received a sentence of five years incarceration in the custody of the respondent. At a subsequent jury trial, in which he was represented by Fred DeCaprio (trial counsel), the petitioner was convicted of murder and sentenced to sixty years incarceration, to run concurrently with the sentence on the firearm charge for a total effective sentence of sixty years of imprisonment. The petitioner's murder conviction was affirmed on direct appeal in
State v. Johnson,
Since his conviction, the petitioner has filed six relevant habeas corpus petitions. 2 In the present petition, he alleges ineffective assistance of counsel as to every counsel that has represented him in the prior habeas actions; therefore, we describe each in turn.
In 2001, the petitioner filed a four count revised amended petition for a writ of habeas corpus (first habeas petition), alleging ineffective assistance of trial counsel. See
Johnson v. Warden,
Superior Court, judicial district of Danbury, Docket No. CV-99-0336854-S,
After a trial, the first habeas court,
White, J.,
denied the petition for a writ of habeas corpus, concluding that trial counsel's conduct did not amount to ineffective assistance and that the petitioner failed to prove any of the allegations in the petition.
In 2005, the petitioner, represented by Attorney William P. Burns (second habeas counsel) filed a second habeas petition, claiming again that trial counsel had rendered ineffective assistance of counsel, but in different respects than he had claimed in the first petition.
Johnson v. Commissioner of Correction,
After a trial, the second habeas court concluded that the petitioner's claims of ineffective assistance by his first habeas counsel failed under both prongs of
Strickland v. Washington,
The second habeas court dismissed the petition for habeas corpus and subsequently granted certification to appeal. Id., at 58,
On December 20, 2005, the self-represented petitioner filed a third habeas petition. On July 10, 2008, the habeas court, Schuman, J., dismissed the petition without a hearing. No appeal followed.
On February 13, 2007, the petitioner, represented by Margaret P. Levy (third habeas counsel), filed a fourth habeas petition that sought, and ultimately obtained, the restoration of his right to sentence review. No appeal followed.
On March 21, 2011, the petitioner, represented by Laljeebhai R. Patel (fourth habeas counsel), filed a fifth habeas petition,
3
alleging that his second habeas counsel provided ineffective assistance by failing to allege in the second habeas action that his first habeas counsel rendered ineffective assistance for failing to allege that trial counsel was ineffective "at the petitioner's plea on the weapons charge and at the murder trial for failing to investigate ... the [petitioner's] incompetence at plea and trial" and "failing to present the claim of the petitioner's incompetence at plea and at trial." Following the testimony of trial counsel, first habeas counsel and second habeas counsel, the fifth habeas court denied the petition for a writ of habeas corpus, finding the petitioner's claim that his trial counsel had provided ineffective assistance meritless as "there had never been 'a question in anyone's mind' as to the petitioner's competency at the time of his trial."
Johnson v. Commissioner of Correction,
The fifth habeas court further determined that " 'there is no possibility ... that [the petitioner] was incompetent. There isn't even a hint of it.' "
The petitioner filed a petition for certification to appeal that decision, which the fifth habeas court granted. Id., at 369,
On July 22, 2013, the self-represented petitioner filed a sixth habeas petition, which is the subject matter of the present appeal. On November 14, 2014, the petitioner filed the operative amended petition (sixth petition), claiming ineffective assistance of the first, second, third, and fourth habeas counsel for failing to allege in their respective prior habeas petitions that trial counsel was ineffective for failing to file a motion for competency evaluation pursuant to § 54-56d at or before the time of the petitioner's plea on the firearm charge, at or before sentencing on the firearms charge, at or before the jury trial for murder, at or before sentencing on the murder conviction, and after sentencing for murder for discovery of evidence that trial counsel failed to investigate by way of petition for a new trial.
On November 25, 2014, the respondent filed a motion to dismiss, pursuant to Practice Book § 23-39, alleging that the sixth petition failed to state a claim upon which relief could be granted 4 and that it constituted a successive petition. After a hearing on the motion, the habeas court in the present case, Fuger, J., concluded in an oral decision that the sixth petition was precluded on the grounds of res judicata in its entirety as to the claims relating to first, second, third, and fourth habeas counsel and granted the respondent's motion to dismiss. 5 Thereafter, the habeas court granted certification to appeal, and this appeal followed.
We begin by setting forth our standard of review for a challenge to the dismissal of a petition for a writ of habeas corpus. "The conclusions reached by the trial 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, we
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,
I
The petitioner claims that the court erred when it granted the respondent's motion to dismiss on the basis of res judicata. The sixth petition included four counts alleging that first, second, third, and fourth habeas counsel were ineffective for failing to raise a claim that trial counsel was ineffective for failure to file a motion for a competency evaluation. For the reasons that follow, we conclude that the petitioner's claims as to the first two habeas counsel are barred by the doctrine of res judicata, but that the claims regarding third and fourth habeas counsel are not barred by that doctrine. Nevertheless, the claims regarding third and fourth habeas counsel are precluded, respectively, by collateral estoppel and for failure to state a claim upon which relief can be granted. Thus, we affirm the judgment of the habeas court as to the dismissal of the claims involving first and second habeas counsel on the basis of res judicata, and also affirm the judgment as to the claims involving third and fourth habeas counsel, albeit on the aforementioned alternative grounds. 6
The standard of review of a motion to dismiss is well established. See
Zollo v. Commissioner of Correction,
Having set forth the applicable legal standard regarding the granting of a motion to dismiss, we now turn to the court's conclusion that the petitioner's claims were barred by the doctrine of res judicata.
In the second habeas action, the petitioner claimed ineffective assistance of first habeas counsel for failing to allege that trial counsel was ineffective for failing to secure a ballistics expert to testify on the petitioner's behalf. See
Johnson v. Commissioner of Correction,
supra,
The respondent argues that the habeas court was correct in dismissing the sixth petition as to the first two counts on the grounds of res judicata, as the petitioner already fully litigated his claims against first and second habeas counsel in the second and fifth habeas actions. Because the petitioner has asserted claims that previously were adjudicated fully on their merits and has made no showing that any new factual allegations contained in the sixth petition were not available to him when he filed his earlier petitions, we agree with the habeas court that the claims against first and second habeas counsel are barred by the doctrine of res judicata. The habeas court therefore properly dismissed those claims.
We first analyze the application of the doctrine of res judicata in the habeas context. "The doctrine of res judicata provides that a former judgment serves as an absolute bar to a subsequent action involving any claims relating to such cause of action which were actually made or which might have been made.... The doctrine ... applies to criminal as well as civil proceedings and to state habeas corpus proceedings.... However, [u]nique policy considerations must be taken into account in applying the doctrine of res judicata to a constitutional claim raised by a habeas petitioner.... Specifically, in the habeas context, in the interest of ensuring that no one is deprived of liberty in violation of his or her constitutional rights ... the application of the doctrine of res judicata ... [is limited] to claims that actually have been raised and litigated in an earlier proceeding." (Internal quotation marks
omitted.)
Carter v. Commissioner of Correction,
In the context of a habeas action, a court must determine whether a petitioner actually has raised a new legal ground for relief or only has alleged different factual allegations in support of a previously litigated claim. "Identical grounds may be proven by different factual allegations, supported by different legal arguments or articulated in different language.... They raise, however the same generic legal basis for the same relief." (Citations omitted.)
James L. v. Commissioner of Correction,
"[T]he doctrine of res judicata in the habeas context must be read in conjunction with Practice Book § 23-29(3), which narrows its application." (Footnote omitted.)
Kearney v. Commissioner of Correction,
Accordingly, having compared the sixth petition to the prior petitions and having determined that they raise the same ground and seek the same relief, we conclude that the habeas court in the present case properly determined that the judgments rendered by the second and fifth habeas courts were judgments on the merits on the issue of ineffective assistance of the petitioner's trial counsel. We further conclude that the habeas court properly found that the petitioner had an opportunity to litigate fully the effectiveness of his trial counsel in the second and fifth habeas proceedings. See
Brown v. Commissioner of Correction,
As noted previously, the petitioner failed to prove that the "new" facts alleged in the sixth habeas petition
were "not reasonably available at the time of the prior petition." Practice Book § 23-29(3). The allegations within the petitioner's sixth habeas petition claiming ineffective assistance of trial counsel constituted the same legal ground as those found in the second and fifth habeas petitions, simply expressed in a reformulation of facts. These "new" allegations could have been raised in those petitions.
7
See
Mejia v. Commissioner
of Correction,
Because the petitioner asserted claims that previously were adjudicated fully on their merits, we agree with the habeas court in the present case that the claims against the first and second habeas counsel are barred by the doctrine of res judicata. See
Brown v. Commissioner of Correction,
supra,
II
The petitioner next claims that the habeas court in the present case improperly dismissed his petition with respect to the ineffective assistance of his third habeas counsel. Specifically, the petitioner argues that res judicata does not preclude his claim against third habeas counsel because it was not litigated in any of the prior habeas proceedings. The petitioner alleged that third habeas counsel was ineffective because she did not raise the issue of whether trial counsel was ineffective for failing to file a motion for a competency evaluation. The respondent concedes that the petitioner's claim of ineffective assistance of third habeas counsel was dismissed by the habeas court on improper grounds. We agree with the petitioner that the doctrine of res judicata does not apply with respect to his claim against his third habeas counsel. Nonetheless, we affirm the dismissal of this count on the alternative ground of collateral estoppel. 8
Our Supreme Court has ruled that a petitioner has a right to effective assistance of habeas counsel.
Lozada v. Warden,
The current habeas proceeding was the first time the petitioner had raised a claim of ineffective assistance of third and fourth habeas counsel for allegedly failing to raise an ineffective assistance claim regarding trial counsel's failure to file a motion for a competency evaluation. The respondent concedes that the habeas court's dismissal of the claims against third and fourth habeas counsel on the ground of res judicata was incorrect as the petitioner had not raised this particular claim in any of his "numerous prior habeas petitions [alleging] ineffective assistance of counsel claims."
In part I of this opinion, we concluded that the habeas court properly dismissed the petitioner's claims of ineffective assistance of his first and second habeas counsel because they already had been litigated fully in the second and fifth habeas proceedings. The trial court's ruling does not preclude a claim in the current habeas proceeding that a prior habeas counsel was ineffective litigating that claim. "Although the petitioner must, by necessity, repeat his allegations of trial counsel's inadequacy, there may never have been a proper determination of that issue in the [prior] habeas proceeding[s] because of the allegedly incompetent habeas counsel. The claim of ineffective assistance of habeas counsel, when added to the claim of ineffective assistance of trial counsel, results in a different issue." (Internal quotation
marks omitted.)
Brewer v. Commissioner of Correction,
supra,
A claim of ineffective assistance of counsel involving a habeas attorney "is not subject to dismissal on the ground that an earlier habeas petition that was based on the ineffectiveness of trial counsel had been unsuccessful."
Kearney v. Commissioner of Correction,
supra,
Thus, the habeas court in the present case incorrectly concluded that the petitioner's claim involving third habeas counsel was precluded by the doctrine of res judicata, as the petitioner had not raised that claim in any of the prior habeas petitions. Nonetheless, we affirm the habeas court's judgment on alternative grounds, as the issue of whether the third habeas counsel was ineffective for failing to allege that trial counsel was deficient for failing to file a motion for a competency evaluation was precluded by the doctrine of collateral estoppel.
"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 which 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." (Internal quotation marks omitted.)
Oliphant v. Commissioner of Correction,
In his brief, the respondent argues that the habeas court's decision should be affirmed on the alternative ground that the claim as to third habeas counsel is barred by collateral estoppel because litigation of that claim necessarily requires relitigation of an issue that already has been fully and fairly decided in the fifth habeas action, specifically, whether trial counsel was ineffective for failing to move for a competency evaluation. We agree. Here, the claim involving third habeas counsel is barred by collateral estoppel because the judgment in the fifth habeas proceeding concerned the petitioner's claim against trial counsel, first habeas counsel, and second habeas counsel necessarily resolved an issue that would need relitigation if the claim involving third habeas counsel were to proceed in this case. To establish that third habeas counsel was ineffective for failing to allege a claim that trial counsel was ineffective for failing to move for a competency evaluation, the petitioner would be required to prove that trial counsel was ineffective for failing to move for a competency
evaluation. This already was decided, after a full evidentiary hearing, by the fifth habeas court when it found that (1) there was never a doubt as to the petitioner's competency at the time of the trial, and (2) trial counsel was not ineffective for failing to move for a competency evaluation. See
Johnson v. Warden,
supra,
We therefore conclude that because the fifth habeas court necessarily decided the underlying issue of whether trial counsel was ineffective for failing to move for a competency evaluation, the petitioner is precluded by collateral estoppel from relitigating the same in regard to his claim involving third habeas counsel. Thus, we affirm the dismissal of the claim involving third habeas counsel on the alternative ground that it is barred by collateral estoppel.
III
Finally, the petitioner claims that the habeas court improperly dismissed his count alleging that fourth habeas counsel was ineffective. Specifically, he argues that res judicata does not preclude his claim that fourth habeas counsel rendered ineffective assistance because it was not previously litigated in any of the prior habeas proceedings. The respondent concedes that the count alleging ineffective assistance of fourth habeas counsel for failure to raise the issue of whether trial counsel was ineffective for failure to file a motion for a competency evaluation was
dismissed improperly. We agree with the petitioner that the doctrine of res judicata does not apply as to his claim against the fourth habeas counsel. Nonetheless, we affirm the dismissal of this count on the alternative ground that the petition fails to state a claim upon which relief can be granted.
Practice Book § 23-29(2) provides that a petition may be dismissed by the court if "the petition, or a count thereof, fails to state a claim upon which habeas corpus relief can be granted." On the basis of our plenary review of the record, we conclude that the petitioner's claim involving fourth habeas counsel in his sixth petition fails to state a claim upon which habeas corpus relief can be granted as fourth habeas counsel raised the very claim that petitioner, in the present petition, alleges was not raised. Specifically, fourth habeas counsel raised the claim that first and second habeas counsel were ineffective for failing to allege that trial counsel failed to investigate adequately and present the issue of the petitioner's competency at the time of plea and trial.
Johnson v. Commissioner of Correction,
supra,
This court explained that in the fifth habeas petition, the petitioner's claims "were based upon his trial counsel's alleged failure to request a competency examination pursuant to ... § 54-56d and the failure of his two prior habeas attorneys to allege ineffectiveness by their predecessors in prior trial and habeas corpus proceedings." (Footnote omitted.)
The judgment is affirmed.
In this opinion the other judges concurred.
The habeas court granted the petitioner's petition for certification to appeal. See General Statutes § 52-470(g).
The petitioner's first habeas action was
Johnson v. Warden,
Superior Court, Docket No. CV-98-0002729 (April 27, 1999) (
Previously, the petitioner, acting as a self-represented party, had filed a petition for a writ of habeas corpus on May 16, 2008, which the habeas court,
Schuman, J.,
dismissed as successive. See
Johnson v. Commissioner of Correction,
The respondent argued in the memorandum of law accompanying its motion to dismiss that the sixth petition failed to state a claim upon which relief could be granted because the petitioner did not have a right to effective assistance of habeas counsel in the fifth habeas action. Whether a habeas petitioner has the right to effective assistance of counsel in a "habeas on a habeas" currently is being litigated before our Supreme Court in Kaddah v. Commissioner of Correction, SC 19512.
Although the petitioner states in his brief that the habeas court dismissed the sixth petition on the ground of res judicata, he argues that "by dismissing the habeas case without an evidentiary hearing it agreed [with] the [respondent's] claim that pursuant to Practice Book § 23-29(3) the November 14, 2014 petition ... constitute[s] a successive petition." Because the habeas court granted the respondent's motion to dismiss on the ground of res judicata, we will not address the petitioner's argument that said dismissal necessarily constituted an acceptance of the respondent's successive petition argument in its motion to dismiss.
"It is axiomatic that we may affirm a proper result of the trial court for a different reason." (Internal quotation marks omitted.)
Coleman v. Commissioner of Correction,
In fact, the petitioner has acknowledged that the "new" facts he intended to present in support of the sixth habeas petition were available to him at the time of the fifth habeas proceeding.
Dismissal of a claim on alternative grounds is proper when those grounds present pure questions of law, the record is adequate for review, and the petitioner will suffer no prejudice because he has the opportunity to respond to proposed alternative grounds in the reply brief.
State v. Martin M.,
Reference
- Full Case Name
- Vance JOHNSON v. COMMISSIONER OF CORRECTION.
- Cited By
- 14 cases
- Status
- Published