THE STATE OF OHIO, APPELLEE, v. SIMPSON, APPELLANT.
No. 2019-1769
Supreme Court of Ohio
December 18, 2020
2020-Ohio-6719
NOTICE
This slip opinion is subject to formal revision before it is published in an advance sheet of the Ohio Official Reports. Readers are requested to promptly notify the Reporter of Decisions, Supreme Court of Ohio, 65 South Front Street, Columbus, Ohio 43215, of any typographical or other formal errors in the opinion, in order that corrections may be made before the opinion is published.
SLIP OPINION NO. 2020-OHIO-6719
[Until this opinion appears in the Ohio Official Reports advance sheets, it may be cited as State v. Simpson, Slip Opinion No. 2020-Ohio-6719.]
(No. 2019-1769—Submitted August 18, 2020—Decided December 18, 2020.)
APPEAL from the Court of Appeals for Butler County, No. CA2018-06-121.
FRENCH, J.
{¶ 1} Appellant, Roger Simpson, asks this court to revisit the standard that Ohio courts of appeals must apply when considering
I. FACTS AND PROCEDURAL HISTORY
{¶ 2} Simpson was charged with 23 felonies related to the rape of a woman in Oxford, Ohio, in 2017. He was charged with ten counts of rape, five counts of sexual battery, two counts of kidnapping, four counts of complicity to rape, and two counts of complicity to sexual battery. Two other men were also indicted. Codefendant Elijah Mincy was charged with 23 felony counts for his involvement in the rape, and codefendant Rodney Gibson II was charged with 26 felony counts for his involvement.
{¶ 3} A jury found Simpson guilty on all charges. The trial court merged many of the counts. It sentenced him on five counts of rape, one count of kidnapping, and two counts of complicity to rape. The court imposed consecutive sentences on all the rape and kidnapping counts, for an aggregate total of 51 years. The court also sentenced Simpson to seven years on each of the complicity counts, but it ordered those sentences to run concurrently with the other sentences.
{¶ 4} After Simpson‘s trial, Gibson and Mincy accepted plea bargains. Gibson pleaded guilty to one count of complicity to kidnapping. He received a five-year sentence. Mincy pleaded guilty to one count of rape and one count of kidnapping. He received an eight-year sentence.
{¶ 5} Simpson appealed his convictions and sentences, raising two assignments of error. First, Simpson argued that the trial court should have merged more counts. Second, he argued that his trial counsel was ineffective for failing to cross-examine the state‘s expert witnesses, failing to allow Simpson to testify in his own defense, and failing to oppose the state‘s sentencing memorandum on allied offenses. The court of appeals rejected both assignments of error.
B. Application for Reopening
{¶ 6} Simpson then filed an application to reopen his appeal under
{¶ 7} Simpson supported his application for reopening with an affidavit executed by his lead trial counsel, Don LeRoy. LeRoy supported Simpson‘s claim that his original appellate counsel had never reviewed Simpson‘s case file, which LeRoy kept at his office. LeRoy also represented that Simpson‘s counsel did not raise meritorious arguments on direct appeal.
{¶ 8} LeRoy addressed the items he believed should have been raised in Simpson‘s direct appeal. LeRoy said that the proceedings concerning the state‘s argument that certain evidence was excluded by the rape-shield law occurred in chambers without a court reporter and that the docket does not contain an entry reflecting the court‘s adjudication of those proceedings. He represented that he proffered an exhibit containing the evidence at issue but that his proffered exhibit
{¶ 9} The court of appeals denied the application. It applied the Strickland standard and concluded that Simpson failed to meet either part of that test. The court considered each of the errors that Simpson argued his original appellate counsel should have raised. It determined that there was no indication that the trial court would have excluded the out-of-court statements as inadmissible hearsay had Simpson‘s trial counsel objected to their admission, because they were not offered for their truth but rather for their effect on the listener. Further, the court of appeals held that Simpson could not show that it would have sustained a challenge to his sentence, because the trial court “properly considered the relevant sentencing guidelines and requirements” and there was no indication that the trial court acted vindictively. Finally, the court held that Simpson failed to show that the evidence his trial counsel proffered during the in-chambers hearing was admissible under Ohio‘s rape-shield law.
{¶ 10} We accepted Simpson‘s appeal and his sole proposition of law:
Appellate ineffectiveness is measured in the application and reopening by comparing the presented arguments on direct appeal with omitted ones, by applying the Sixth Circuit‘s Mapes factors to weigh the strengths, weaknesses, and viability of those omitted arguments, and by evaluating postconviction facts about appellate counsel‘s preparedness and tactics.
See 158 Ohio St.3d 1430, 2020-Ohio-748, 141 N.E.3d 236.
{¶ 11} Indigent criminal defendants generally have a right to appellate counsel in their first appeal of right. Coleman v. Thompson, 501 U.S. 722, 755, 111 S.Ct. 2546, 115 L.Ed.2d 640 (1991). Like trial counsel, appellate counsel must provide reasonably effective assistance. Id., citing Evitts v. Lucey, 469 U.S. 387, 396, 105 S.Ct. 830, 83 L.Ed.2d 821 (1985); Strickland, 466 U.S. at 687, 104 S.Ct. 2052, 80 L.Ed.2d 674, citing Trapnell v. United States, 725 F.2d 149, 151-152 (2d Cir.1983).
A. App.R. 26(B)
{¶ 12}
{¶ 13} If the application is granted, it proceeds to the second step. The case is then treated as if it were an initial direct appeal, with briefs and oral argument.
{¶ 14} In Reed, 74 Ohio St.3d at 535, 660 N.E.2d 456, this court adopted the two-pronged analysis set out in Strickland, 466 U.S. at 687, 104 S.Ct. 2052, 80 L.Ed.2d 674, for considering applications for reopening. Under that standard, an appellant must show that his appellate counsel‘s performance was deficient and that the deficient performance prejudiced him. Strickland at 687; see Reed at 535-536; see also
{¶ 15} Simpson now asks that we adopt a number of other factors for appellate courts to consider when deciding whether to grant an application for reopening. Those factors were first outlined in a federal-court opinion, Mapes v. Coyle, 171 F.3d 408, 427-428 (6th Cir.1999) (”Mapes I“). In that case, the Sixth Circuit considered whether the district court properly granted Mapes‘s petition for a writ of habeas corpus, barring the state from carrying out his death sentence, because Mapes‘s appellate counsel was ineffective for failing to raise certain errors on appeal. The Sixth Circuit recognized that Strickland‘s two-pronged analysis applies to a claim alleging that appellate counsel was ineffective. Mapes I at 425. Applying that standard, the Sixth Circuit said that Mapes would not be able to show that he had been prejudiced during the guilt phase of his trial because there was overwhelming evidence that he was guilty. Appellate counsel‘s failure to raise errors related to the mitigation phase and the jury‘s death-sentence recommendation, though, was “almost inexplicable.” Id. at 427. The court drew from other circuit courts and compiled a list of questions that it found helpful for
- Were the omitted issues “significant and obvious“?
- Was there arguably contrary authority on the omitted issues?
- Were the omitted issues clearly stronger than those presented?
- Were the omitted issues objected to at trial?
- Were the trial court‘s rulings subject to deference on appeal?
- Did appellate counsel testify in a collateral proceeding as to his appeal strategy and, if so, were the justifications reasonable?
- What was appellate counsel‘s level of experience and expertise?
- Did the petitioner and appellate counsel meet and go over possible issues?
- Is there evidence that counsel reviewed all the facts?
- Were the omitted issues dealt with in other assignments of error?
- Was the decision to omit an issue an unreasonable one which only an incompetent attorney would adopt?
Id. at 427-428. The court cautioned that its list is not exhaustive and must not be used to “produce a ‘correct score.‘” Id. at 428. The factors merely guide the consideration.
{¶ 17} Simpson argues that we should adopt the Mapes factors so that there is a standard against which his appellate counsel‘s performance can be evaluated and so that Ohio aligns with federal law to provide a predictable and uniform standard for ineffective-assistance-of-appellate-counsel claims. But there is already a predictable and uniform standard to evaluate appellate counsel‘s performance, and it is outlined in Strickland. And as we discuss below, both Ohio and federal courts have adopted Strickland as the standard for evaluating appellate counsel‘s performance. See Reed, 74 Ohio St.3d at 535, 660 N.E.2d 456; Smith v. Robbins, 528 U.S. 259, 285, 120 S.Ct. 746, 145 L.Ed.2d 756 (2000).
{¶ 18} As we have stated, under Strickland, in order to prevail on a claim that counsel was ineffective, a criminal defendant must show (1) that his counsel‘s performance was deficient and (2) that that performance prejudiced him. See Strickland, 466 U.S. at 687, 104 S.Ct. 2052, 80 L.Ed.2d 674. Strickland also established a standard for evaluating whether counsel‘s performance was deficient. In Strickland, the United States Supreme Court acknowledged that courts must be
{¶ 19} Although Strickland involved a claim of ineffective assistance of trial counsel, both this court and the United States Supreme Court have recognized that the Strickland standard also applies to claims asserting ineffective assistance of appellate counsel. See Smith at 285 (“the proper standard for evaluating [a] claim that appellate counsel was ineffective * * * is that enunciated in Strickland“); Reed, 74 Ohio St.3d at 535, 660 N.E.2d 456. Contrary to appellant‘s assertion, Ohio law is, therefore, already aligned with federal law on the standard for evaluating appellate counsel‘s performance.
{¶ 20} As a final matter, we note that even the Sixth Circuit itself has not adopted the Mapes factors uniformly. See, e.g., Haliym v. Mitchell, 492 F.3d 680, 694-696 (6th Cir.2007) (applying the Strickland standard alone, without mentioning the Mapes factors, and finding that appellate counsel was not
{¶ 21} Today, we reaffirm that a defendant must show a genuine issue as to whether he has a colorable claim that his appellate counsel was ineffective in order to have his appeal reopened. The Twelfth District applied the correct standard when it reviewed Simpson‘s application for reopening and concluded that Simpson failed to show a genuine issue that he has a colorable claim of ineffective assistance of appellate counsel. We therefore affirm the decision of the Twelfth District.
III. CONCLUSION
{¶ 22} Today, we reaffirm that the two-pronged standard articulated in Strickland, 466 U.S. at 687, 104 S.Ct. 2052, 80 L.Ed.2d 674, applies to
Judgment affirmed.
KENNEDY and DEWINE, JJ., concur.
O‘CONNOR, C.J., concurs, with an opinion.
FISCHER, J., concurs, with an opinion.
DONNELLY, J., dissents, with an opinion joined by STEWART, J.
{¶ 23} I agree with the majority‘s conclusion that the two-pronged standard articulated in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), applies to
{¶ 24} Applying the first prong of Strickland, I find it difficult to conceive of a more appropriate example of performance that falls below “an objective standard of reasonableness,” id. at 688, than that of appellate counsel failing to even review the case file of a defendant who was convicted following a jury trial. See also Storey v. Vasbinder, 657 F.3d 372, 389 (6th Cir.2011) (Clay, J., dissenting) (“There is no scenario under which a complete failure to investigate a case or to review available discovery can be assumed to be reasoned trial strategy or otherwise excused.“). In his affidavit, Simpson‘s lead trial counsel explained that he kept the case file at his home office and intended to discuss the case with appellate counsel once he provided her with the file. But appellate counsel never obtained, nor attempted to obtain, the file, meaning she never reviewed the bill-of-information, the counsel-only discovery, work product from experts and investigators, or trial counsel‘s work product. Nor did she ever discuss the issues in the case with trial counsel. As a result, appellate counsel was not aware of two issues that trial counsel believed had merit and should have been raised on direct appeal.
{¶ 26} Turning to the second prong of Strickland, appellate counsel‘s failures also demonstrate a reasonable probability that counsel‘s deficient performance prejudiced Simpson. See Strickland, 466 U.S. at 687, 104 S.Ct. 2052, 80 L.Ed.2d 674. Because appellate counsel failed to raise the disproportionate-sentencing issue, the court of appeals could not address this significant issue in Simpson‘s direct appeal. Indeed, similar arguments involving disproportionate sentences and trial taxes have persuaded courts of appeals to reverse and remand for more appropriate sentences. See State v. Moore, 2012-Ohio-1958, 970 N.E.2d 1098 (8th Dist.) (defendant successfully contended that his sentence was disproportionate to that of his codefendant‘s and a punishment for exercising his constitutional right to trial); State v. Beverly, 2d Dist. Clark No. 2011-CA-64, 2013-Ohio-1365, rev‘d on other grounds, 143 Ohio St.3d 258, 2015-Ohio-219, 37 N.E.3d 116 (concluding that the evidence in the record did not support the more than 50-year disparity between defendant‘s and codefendant‘s sentences). There is a reasonable probability that had appellate counsel raised this disproportionate-sentencing
{¶ 27} While I believe Simpson demonstrated a colorable claim that his appellate counsel was ineffective under Strickland, and therefore, met his burden under
FISCHER, J., concurring.
{¶ 28} I concur with the majority opinion. The standard set forth in Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), is the appropriate standard by which appellate courts should review applications for reopening under
{¶ 29} I also write separately to express my concern with a matter that was raised in this appeal but that could not be fully considered due to the narrow scope of the issue before us. The Office of the Ohio Public Defender, in its amicus brief, identifies that review of applications for reopening under
DONNELLY, J., dissenting.
{¶ 30} In this case, appellant, Roger Simpson, invites us to supplement the two-part test enunciated in Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), with the factors set forth in Mapes v. Tate, 388 F.3d 187, 191 (6th Cir.2004), when considering applications for reopening under
{¶ 31} This case deserves meaningful review because appellate counsel below failed many of the factors listed in Mapes to determine whether “appellate counsel performed reasonably competently despite failing to raise arguments * * *,” majority opinion at ¶ 15. According to Simpson‘s brief,
Simpson‘s lead counsel kept the case file at his home office because he intended to discuss the issues with appellate counsel when he transferred the file to her. But appellate counsel only emailed once about the case, never obtained the file, and never had
a substantive discussion about the case. Which means appellate counsel never reviewed the bill-of-information, the discovery, the counsel-only discovery, the work product of experts and the investigator, and the notes.
{¶ 32} The brief also states:
Appellate counsel failed to argue that Simpson‘s 51-year sentence was unsupported by the record, disproportionate with his co-defendants’ sentences, and involved an unconstitutional trial tax. The discrepancy between Simpson‘s 51-year term and [codefendant Elijah] Mincy‘s and [codefendant Rodney] Gibson‘s 8- and 5-year terms was a significant and obvious issue—more so given that Simpson and Mincy committed the same acts, where each faced 23 counts, and therefore shared culpability and blameworthiness.
The majority opinion concludes that these deficiencies are basically irrelevant because Simpson was not prejudiced.
{¶ 33} Any appellate attorney in Ohio worth his or her salt would have recognized the vitality and importance of the disproportion between Simpson‘s sentence and the sentences received by his codefendants. That issue should have been Simpson‘s first proposition of law. Still, the majority opinion concludes that Simpson has not set forth “a colorable claim that his appellate counsel was ineffective in order to have his appeal reopened.” Majority opinion at ¶ 21. It can only be because the second prong of Strickland is not satisfied—i.e., that Simpson could not have prevailed even with competent counsel—though that is not directly stated.
{¶ 35} If failure to review the record below and failure to argue the disproportion of a sentence more than six times longer than a codefendant‘s do not present a colorable claim of ineffective assistance, then we might never reopen a case pursuant to
STEWART, J., concurs in the foregoing opinion.
Michael T. Gmoser, Butler County Prosecuting Attorney, and John C. Heinkel, Assistant Prosecuting Attorney, for appellee.
Repper-Pagan Law, Ltd., and Christopher J. Pagan, for appellant.
Dave Yost, Attorney General, Benjamin M. Flowers, Solicitor General, and Michael J. Hendershot, Chief Deputy Solicitor General, urging affirmance for amicus curiae Ohio Attorney General.