Lead Opinion
The solitary feature of this appeal brings into focus the issue as to whether or not our decision in State v. Sims, supra (
The syllabus in Sims states the holding of this court and applies only to the factual pattern in that case. That syllabus reads:
“In the absence of evidence in the record upon which
In Sims, the defendant was represented in the trial by court-appointed counsel, indicating his indigency. When he filed his motion for leave to appeal within six months of the judgment of conviction, he asserted his indigency to the Court of Appeals by affidavit. In the case before us, the defendant obviously was not indigent at the trial because he was represented by privately retained counsel. He asserts in his motion for leave to appeal, over six years later, that he endeavored to negotiate with his trial attorney for an appeal at the time of judgment in the trial court in 1964 but was unable to borrow any money to pay him therefor. It must be concluded that he knew at that time about appeal rights, from whatever source the information or advice was derived. There is absolutely nothing before us to show that defendant, Leroy, told the trial judge, after his conviction, that he was indigent or that he desired to appeal.
Although the rule stated in Sims in 1971 is sound and just, we do not believe that the United States Constitution required an Ohio Common Pleas judge in 1964 to find out whether Willis Leroy, who had just been convicted by a jury on three counts of armed robbery and who had been represented at trial by retained counsel, wished to prosecute an appeal and was no longer able to afford a lawyer to take such an appeal on his behalf.
Sims, in our opinion, is inapplicable to our instant factual pattern; likewise, Douglas v. California (1963),
Let us examine briefly the doctrine of Douglas, which was handed down in 1963. In that case, defendants were convicted in a California state court of 13 felonies and
In the majority opinion written by Douglas, J., that court said, at page 354: “Although several questions are presented in the petition for certiorari, we address ourselves to only one of them. The record shows that petitioners requested, and were denied, the assistance of counsel on appeal, even though it plainly appeared they were indigents,.” (Emphasis added.)
Later, on page 355, the opinion states: “Here the issue is whether or not an indigent shall he denied the assistance of counsel on appeal.” (Emphasis added.) And, of course, Douglas is retroactive in effect, under Smith v. Crouse (1964),
In Stovall v. Denno, supra (
All three factors favor prospective application of the rule stated in State v. Sims, supra (
The case of United States, ex rel. Smith, v. McMann (1969),
Worthy of mention also is the case of Adams v. Illinois (1972),
Retrospective application of law is proper when the principle to be applied goes to the “fairness of the trial— the very integrity of the fact finding process.” Linkletter v. Walker, supra (
No error was here alleged which attacked “the very integrity of the fact finding process. ’ ’ Linkletter v. Walker, supra (
With full cognizance of the United States Supreme
The judgment of the Court of Appeals is, therefore, affirmed.
Judgment affirmed.
Notes
The legal conclusions sought to be dogmatized’ in footnote No. 8 of the dissenting opinion, herein, must have had origin in nubibus or perhaps in gremio magistrates inasmuch as they are contrary to the established doctrine of the United States Supreme Court that an ‘•opinion must '->e read as a whole in view of the facts on which it was based. The facts are the foundation of the entire structure, which cannot with safety be used without reference to the facts,”
Dissenting Opinion
dissenting. I am of the opinion that State v. Sims (1971),
This court acknowledged in Sims that the right to counsel on appeal is not lost unless the defendant knowingly and intelligently waived it, citing Johnson v. Zerbst (1938),
In Sims, this court found those principles equally applicable in determining whether an indigent convicted defendant waived his “right” to appeal. E. C. 2953.05. Although the right of appeal is not constitutionally mandatory, it is so inextricably intertwined with the right to counsel on appeal that it is a necessary concomitant of that right.
To prevent this problem from recurring, this court quoted with approval from United States, ex rel. Smith, v. McMann, supra (
The period between sentencing and filing a notice of appeal is a “critical” period. “ * * * Appointment of counsel for an indigent is required at every stage of a criminal proceeding where substantial rights of a criminal accused may be affected.” (Emphasis added.) Mempa v. Rhay (1967),
“ * * * Statistics show that a substantial proportion of criminal convictions are reversed by state appellate courts. Thus to deny adequate review to the poor means that many of them may lose their life, liberty or property because of unjust convictions which appellate courts would set aside.”
The majority opinion correctly concludes that under the “old standards” an indigent convicted defendant had no
Moreover, the majority opinion today effectively precludes any indigent whose time for appeal expired prior to July 7, 1971, from asserting any error, constitutional or otherwise. In State v. Benton (1971),
“ * * * By the decision which we render in this case today, we have not foreclosed the appellant from a review of the alleged constitutional errors which he has asserted. In the posture of this case, those errors may be raised by motion for leave to appeal to the Court of Appeals. See State v. Sims * *
Surely, this court did not suggest that Benton perform a useless act. Yet the majority holding today would seem to allow the appellate court to deny leave to Benton after this court specifically told him to assert his claim there.
The majority opinion cites many cases in which constitutional rules of criminal procedure were not given retroactive effect. It does not, however, discuss even one case which was applied retroactively. As was noted above, Smith v. Crouse, supra (
Griffin v. Illinois (1956),
It is also significant that Johnson v. New Jersey (1966),
Recently, in Adams v. Illinois (1972), U. S. ,
The Supremo Court has often stated that the retro-activity of a rule is not determined solely by the constitutional provision on which it is based. The court begins with the proposition that it is neither prohibited nor required to apply a rule retroactively, and then analyzes the new rule in relation to its purpose, the prior reliance placed on it by the authorities, and the effect of a retroactive application on the administration of justice.
The purpose of Sims is not only to assure that indigency does not become a determining factor in the appellate process, but also to allow those indigents who have not waived their rights an opportunity for appellate review of errors which they may constitutionally claim. See Douglas v. California, supra (
Whatever reliance was placed on the “old standards” is inapposite for the reason that, in the absence of a waiver, the rights of an indigent convicted defendant to an appeal and to have counsel appointed to perfect that appeal
Furthermore, the short answer to the majority’s correct conclusion that the result in Sims was not foreshadowed by our prior decisions, is that such result should have been anticipated by the prior decisions of the United States Supreme Court, beginning with Douglas v. California, supra.
I disagree wtih the majority’s conclusion that a holding of retroactivity would significantly affect the administration of justice. For example, no indigent would be entitled to a complete transcript, because Sims only requires a hearing to determine whether the indigent’s two rights were waived. At most, only the notes of the sentencing proceeding need be reproduced. Moreover, a holding of retroactivity would only apply to indigents who have not had appellate revieiv. Admittedly, counsel would be
The majority opinion emphasizes that appellant’s motion is unsupported by a statement of errors relating to the merits of the appeal. It fears that to hold Sims retroactive would place too great a fiscal burden on the state for once indigents are granted delayed appeal they are entitled to counsel and a transcript at state expense. But the state’s fiscal burden is an irrelevant factor when the principles of Griffin v. Illinois, supra (
Moreover, the present procedure by which an indigent convicted defendant seeks delayed appeal “can only impede open and equal access to the courts.” Mayer v. Chicago (1971), U. S. ,
In Rodriquez v. United States (1969),
The court rejected such a rule because it “makes an indigent defendant face ‘the danger of conviction because he does not know how to establish his innocence. ’ ” It held
The state’s increased fiscal burden should not be a bar to the retroactivity of Sims. This is made clear in Mayer v. Chicago, supra (
Significantly, those cases in which the new rule was held prospective only had certain factors not present in the instant case. For example, infringement of the constitutional right could not be remedied; a retroactive application could not correct the harm done; there was no clear danger of convicting the innocent; the “condemned practice” does not present a substantial likelihood that the trials were incorrect; and the constitutional infirmity was not clearly foreshadowed by previous decisions.
In contrast, those cases in which the new rule was held retroactive contain factors which are present in the instant case. For example, there is a clear danger of convicting the innocent; the rule was clearly foreshadowed by prior decisions; the infringement of the constitutional right can be remedied; and the “condemned practice” substantially impairs the truth-finding process. Clearly, these factors are present in the instant case.
“Where the major purpose of new constitutional doctrine is to overcome an aspect of the criminal trial which substantially impairs its truth-finding function and so raises serious questions about the accuracy of guilty verdicts in past trials, the neio rule has been given complete retroactive effect. Neither good-faith reliance by state or federal authorities on prior constitutional law or accepted practice, nor severe impact on the administration of justice has sufficed to require prospective application in these circumstances.” (Emphasis added.) See, also, Adams v. Illinois (1972), 31 L. Ed 2d 202, 207, which reemphasizes that rule.
Based on the foregoing, the conclusion is inescapable that full retroactive effect should be given to Sims. Sims is a constitutionally required holding and the Douglas case, on which it is based, has been accorded full retroactive effect by the Supreme Court. To deny retroactivity to Sims is to erode the principle of Douglas. As long as the rights of the indigent still exist, he should be afforded an opportunity to assert them.
"However, where the opportunity to appeal is granted * * * it has been settled that an indigent convicted defendant cannot be deprived’ of this opportunity by his impecunious condition.” State v. Sims,
“ ‘It is central to that principle that in addition to counsel’s presence at trial, the accused is guaranteed that he need not stand alone against the State at any stage of the prosecution, formal or informal, m court or out, where counsel’s absence might derogate from the accused’s right to a fair trial.’” (Emphasis added.) Coleman v. Alabama (1970),
Miranda v. Arizona (1966),
Escobedo v. Illinois (1964),
United States v. Wade (1967),
Gilbert v. California (1967),
The holdings of Douglas, supra (
Likewise, when Douglas was made retroactive by Smith v. Crouse, supra (
The Supreme Court’s opinion in its entirety states:
“The motion for leave to proceed in forma pauperis and the petition for writ of certiorari are granted. The judgment is reversed. Douglas v. California.”
Surely, had the court attempted to limit the retroactivity of Douglas to the “situation as was there presented,” it would certainly have so stated.
