Phillips v. State

441 N.E.2d 201, 1982 Ind. LEXIS 994
Indiana Supreme Court·Decided November 4, 1982·No. 1182S413·Published·Cited by 41 cases

Opinions

ON PETITION TO TRANSFER

PIVARNIK, Justice.

Defendant-Appellant William E. Phillips was charged in the Rush Circuit Court with forgery, Ind.Code § 35-43-5-2 (Burns 1979). On October 12, 1979, Phillips appeared pro se before the trial court and entered a plea of guilty pursuant to a plea agreement proffered by William B. Keaton, the prosecuting attorney. Said plea agreement provided that the State would recommend that Phillips be convicted as charged and sentenced to the maximum term of eight years and that the State would not pursue against Phillips an additional forgery or habitual criminal charge. The trial court accepted the plea agreement and convicted Phillips. Phillips did not appeal. On April 25, 1980, Phillips filed a pro se Petition for Post-Conviction Relief according to Ind.R.P.C. 1. In his Petition, Phillips alleged, inter alia, that the trial court prematurely accepted his guilty plea without properly determining whether or not he had knowingly and freely waived his constitutional right to counsel. Phillips also filed a [203] Verified Motion for Change of Venue From Judge and an Affidavit of Indigency. Special Judge John A. Westhafer was appointed to consider the Petition and a deputy public defender was appointed to represent Phillips. After conducting a hearing on February 5, 1981, the post-conviction court denied Phillips’ Petition. Phillips subsequently appealed to the Fourth District Court of Appeals alleging:

(1) the trial court committed fundamental error by determining that Phillips had waived his right to counsel; and,

(2) the trial court erred by improperly sentencing Phillips to an eight year term without specifying its reason for imposing an aggravated sentence.

The Court of Appeals reversed the judgment of the post-conviction court upon finding the alleged fundamental error. We find the Fourth District Court of Appeals wrong in its judgment and accordingly vacate its opinion.

I

A post-conviction action under Ind.R.P.C. 1 is a special remedy whereby a party can present an error which, for various reasons, was not available or known at the time of the original trial or appeal. An Ind.R.P.C. 1 hearing is a quasi-civil hearing totally separate and distinct from the underlying criminal trial. State ex rel. Sufana v. Lake Sup. Ct., (1978) 269 Ind. 466, 470, 381 N.E.2d 475, 477; Lockhart v. State, (1971) 257 Ind. 349, 357, 274 N.E.2d 523, 528. The burden of proof in such a proceeding is upon the petitioner who must prove his right to relief by a preponderance of the evidence. Robinson v. State, (1982) Ind., 437 N.E.2d 73, 74; Herman v. State, (1979) Ind., 395 N.E.2d 249, 252; State ex rel. Sufana, supra; Lenoir v. State, (1977) 267 Ind. 212, 213, 368 N.E.2d 1356, 1357; Perkins v. State, (1975) 263 Ind. 270, 271, 329 N.E.2d 572, 573. Notwithstanding Indiana’s provision for post-conviction relief, the trial court nonetheless is the sole trier of fact and the sole judge of the weight of the evidence and of the credibility of the witnesses. Accordingly, the trial court’s judgment will not be disturbed m a post-conviction proceeding unless the evidence is without conflict and leads inescapably to a conclusion contrary to that reached by the trial court. Robinson, supra; Herman, supra; Perkins, supra; Johnson v. State, (1974) 262 Ind. 183, 186, 313 N.E.2d 542, 544, reh. denied.

The evidence before the instant post-conviction court revealed that Phillips appeared before the trial judge in the original criminal proceeding four different times and on each occasion stated that he understood his right to have counsel but desired to proceed pro se. Phillips’ first appearance before the trial judge was for arraignment on October 3, 1979. At that time, the trial court explained to Phillips that the offense of forgery was a class C felony punishable by a fine of up to $10,000 and a prison term of five years which could be aggravated to eight or mitigated to two years. Phillips responded that he understood. Prosecutor Keaton then stated that since Phillips had been previously convicted of two felonies, the State would contemplate pursuing a habitual criminal charge against Phillips should he be convicted of the charged forgery. The trial court accordingly advised Phillips that if he were ultimately found to be a habitual criminal, he would receive an additional thirty years of incarceration. The trial court further advised Phillips that he either could plead guilty or not guilty to the forgery charge, and explained to him his respective rights. Phillips was specifically informed that should he plead not guilty, he would have the right to a speedy and public trial by jury, the right to see, hear and question all witnesses against him, the right to present evidence in his favor and the right to personally testify or to remain silent. The court also informed Phillips that he would have the right to order into court evidence or witnesses in his favor, the right to require the State to prove the charge against him beyond a reasonable doubt, and the right to have a qualified attorney defend him. Phillips stated to the trial court that he understood all of these rights and that he had no questions [204] about any of them. The court further explained that if he pleaded guilty, he would waive these rights and would stand convicted without a trial. Phillips stated that he understood this also. The trial court then stated to Phillips that should he be convicted, a sentence would not be imposed until after the probation department had conducted a pre-sentence investigation into his past employment, education, previous criminal record and other aspects of his background which might suggest the most appropriate sentence. Phillips again stated that he understood what the trial court was telling him. There subsequently was the following colloquy between the trial judge, Phillips and Prosecutor Keaton:

“Q. One of the rights mentioned to you is the right to have an attorney. Do you have an attorney?
A. No sir.
Q. Do you expect to get an attorney?
A. Well, I don’t know sir. I mean, I’d like to talk it over with my wife, as I was telling Mr. Keaton I’d like to talk it over with my wife and tell her what Mr. Keaton said and then see, I mean....
Q. Do I understand there’s been some discussion between you and Mr. Keaton this morning as to some possible agreement?
A. Yes sir, we’ve talked.
MR. KEATON: I’ve made an offer, Your Honor.
Q. You have made a plea offer to him?
MR. KEATON: Yes.

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Phillips v. State, 441 N.E.2d 201, 1982 Ind. LEXIS 994 (Ind. 1982).

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