Opinion ID: 2974292
Heading Depth: 3
Heading Rank: 2

Heading: Threshold Legal Issues

Text: Before addressing the merits of Petitioner’s claim, we must first determine which state court decision AEDPA requires this Court to review, and what evidence we may consider in reviewing that decision. Two Ohio courts issued opinions addressing the merits of Petitioner’s claim that trial counsel rendered ineffective assistance by failing to investigate or present mitigation evidence: the Supreme Court of Ohio and the Ohio post-conviction trial court. Williams, 528 N.E.2d at 921; State v. Williams, No. CR 190615, slip. op. at 2 (Ct. Com. Pl. July 1, 1992). The Supreme Court of Ohio addressed Petitioner’s claim on direct appeal. Williams, 528 N.E.2d at 921. Because the claim was raised on direct review, the Supreme Court of Ohio could not consider any evidence outside the trial court record. State v. Ishmail, 377 N.E.2d, 500, 501 (1978). Based on the trial court record, the Supreme Court of Ohio concluded that trial counsel had not rendered ineffective assistance. Williams, 528 N.E.2d at 921. After the conclusion of direct review, Petitioner raised the same claim in post-conviction proceedings. This time, however, Petitioner supported his claim with evidence outside the trial court record. This evidence included 1) an affidavit from Petitioner stating that trial counsel never discussed the mitigation phase of trial with him, 2) several affidavits from friends and family members stating that trial counsel never contacted them, and 3) the affidavit of Dr. Nancy Schmitgoessling, which recounted Petitioner’s troubled childhood and psychological problems. The Ohio post-conviction trial court denied Petitioner’s claim on the merits, finding that trial counsel committed no error in failing to investigate or present mitigation evidence, and that such conduct did not prejudice Petitioner. Williams, No. CR 190615, slip. op. at 2 (Ct. Com. Pl. July 1, 1992). On appeal, Ohio’s Eighth District Court of Appeals affirmed the post-conviction trial court’s denial of relief. State v. Williams, No. CR-190615, slip. op. at 2 (Ohio Ct. App. November 24, 1993). The Eighth District Court, however, held that because Petitioner raised the claim on direct review, Ohio’s doctrine of res judicata precluded post-conviction courts from considering its merits. Id. Because, under Ohio law, the post-conviction trial court did not have the authority to consider the merits of Petitioner’s claim, the parties conclude, and we agree, that this Court must review the decision of the Ohio Supreme Court. Nonetheless, we believe it is proper to consider the evidence Petitioner submitted to the post-conviction trial court when reviewing the Supreme Court of Ohio’s decision. Although normally this Court would not consider evidence not before the court whose decision it is reviewing, here we find cause to do so. Petitioner’s failure to properly support his claim with evidence before the Ohio courts was a direct result of his appellate counsel’s ineffective assistance. Inasmuch as appellate counsel’s ineffective assistance prejudiced Petitioner by rendering him unable to support his meritorious claim with the evidence presented in the postconviction proceedings, Petitioner’s error should be excused. Ohio law requires criminal defendants to bring ineffective assistance of counsel claims on direct review if the defendant has new counsel on appeal, and the trial court record contains sufficient evidence to support the claim. State v. Cole, 443 N.E.2d 169, 171 (1982). Where the trial court record does not contain sufficient evidence to support the claim, however, the defendant must instead bring the claim in post-conviction proceedings. See State v. Cooperider, 448 N.E.2d 452, 454 (Ohio 1983). Unlike on direct review, in post-conviction proceedings a petitioner may introduce evidence outside the trial court record to support the claim. See id. If a defendant chooses to bring an ineffective assistance of counsel claim on direct review, however, Ohio’s “res judicata” rule precludes the defendant from re-raising the claim in post-conviction proceedings. Id. Nos. 04-3515/3585 Williams v. Anderson Page 7 In the instant case, Petitioner chose to bring his ineffective assistance of counsel claim on direct review, thereby foregoing the opportunity to present evidence outside the trial court record to support his claim. Ohio has finality and judicial economy interests in enforcing its prohibition on re-litigation of ineffective assistance of counsel claims in post-conviction proceedings. State v. Saxon, — N.E.2d — , 2006 WL 759668, at  (Ohio March 20, 2006). Thus, normally, we would respect the Ohio court’s decision to enforce “res judicata” and decline to consider a petitioner’s evidence where the petitioner chose to raise his or her ineffective assistance of counsel claim on direct review. Cf. Coleman v. Thompson, 501 U.S. 722, 730-31 (1991) (stating that procedurally defaulted claims are not reviewed for comity and federalism reasons). Here, however, we find that comity is an insufficient reason to decline to consider Petitioner’s evidence because there is cause for Petitioner’s mistake and prejudice resulting therefrom. The Supreme Court has given us some guidance on when comity should give way to justice in the form of the doctrine of procedural default. See id. Federal courts normally decline to consider procedurally defaulted claims for comity reasons. Id. at 730 (“In the habeas context, the application of [procedural default doctrine] is grounded in concerns of comity and federalism.”) Nonetheless, where a petitioner demonstrates cause and prejudice for the default a federal court will excuse it. Id. at 750. We believe that the same principles should apply to a Petitioner’s error in the instant case. Because, as in the procedural default context, we would normally decline to consider Petitioner’s evidence for comity reasons, here too cause and prejudice should excuse Petitioner’s error. Petitioner has cause for his error because it was a direct result of ineffective assistance of appellate counsel.1 As this court has held in the procedural default context, ineffective assistance of appellate counsel constitutes cause for failing to properly present a claim before a state court. See Lundgren v. Mitchell, 440 F.3d 754, 766 (6th Cir. 2006) (citing Willis v. Smith, 351 F.3d 741, 745 (6th Cir. 2003)). Counsel is ineffective if his or her conduct falls below an objective standard of reasonableness and causes the petitioner prejudice. Strickland v. Washington, 466 U.S. 668, 688 (1984). Counsel’s unreasonable conduct prejudices a petitioner if a reasonable probability exists that but for such conduct the outcome of the proceedings would have been different. Id. at 694. Here, Petitioner’s appellate counsel performed below an objective standard of reasonableness by raising Petitioner’s ineffective assistance of trial counsel claim on direct appeal despite the absence of evidence in support of the claim in the record. It is well-established in Ohio law that where an ineffective assistance of counsel claim cannot be supported solely on the trial court record, it should not be brought on direct appeal. See Cooperrider, 448 N.E.2d at 454; State v. Leeper, No. 2004CAA07054, 2005 WL 977063, at  4-5 (Ohio Ct. App. April 26, 2005) (quoting Cooperrider); State v. Fryer, 627 N.E.2d 1065, 1072 (Ohio Ct. App. 1993) (quoting Cooperrider). Ineffective assistance of counsel claims based on trial counsel’s failure to investigate and present mitigation evidence can never be proven based solely on evidence in the record because the record necessarily does not contain evidence of prejudice. See State v. Scott, 578 N.E.2d 841, 844 (Ohio Ct. App. 1989) (“[T]he failure to present mitigation evidence could not have been determined on direct appeal 1 While Petitioner fails to make this argument on appeal, we are nonetheless free to base our holding on this ground because this Court may affirm the district court on any ground supported by the record. City Management Corp. v. U.S. Chem. Corp., 43 F.3d 244, 251 (6th Cir. 1994). Additionally, we recognize that ineffective assistance of counsel may only be cause for procedural default if the ineffective assistance of counsel claim itself was not procedurally defaulted, or unless cause and prejudice for such default exists. Edwards v. Carpenter, 529 U.S. 446, 453 (2000). Here, Petitioner procedurally defaulted this claim by failing to raise it in state court. Engles v. Issac, 456 U.S. 107, 125 n. 28 (1982). However, Petitioner has cause and prejudice for this default. Petitioner did not learn his claim was barred by res judicata until the Eighth District Court of Appeals issued the final opinion in Petitioner’s post-conviction proceedings. The Ohio Supreme Court then denied leave to appeal. Thus, Petitioner had no reason to raise this ineffective assistance of appellate counsel in state court until after the Eighth District Court issued its opinion, and no opportunity to raise it after the Eighth District Court issued its opinion. Nos. 04-3515/3585 Williams v. Anderson Page 8 because the evidence of the lack of an effort to contact witnesses and the availability of mitigation evidence was not present until the affidavits were made a part of the petition.”) Appellate counsel’s decision to ignore this substantial body of case law was objectively unreasonable and falls below prevailing professional norms. See Ohio Rules of Court, Code of Professional Responsibility, Canon 6, available at http://www.sconet.state.ohio.us/Rules/professional/default.asp#c6 (last visited April 19, 2006) (requiring Ohio attorneys to be familiar with relevant area of practice). Additionally, counsel’s unreasonable decision to raise this claim on direct appeal prejudiced Petitioner. By raising the claim on direct appeal, counsel rendered Petitioner unable to raise this claim in post-conviction proceedings supported by the necessary evidence. Williams, No. CR190615, slip. op. at 2 (Ohio Ct. App. November 24, 1993); see also Cooperrider, 44 8 N.E.2d at 454. As will be discussed below, Petitioner’s claim was meritorious when supported with evidence. Thus, but for counsel’s unreasonable decision, Petitioner would have been able to support his meritorious claim with the necessary evidence in post-conviction proceedings. Accordingly, counsel’s conduct prejudiced Petitioner. Because appellate counsel’s decision to raise Petitioner’s claim on direct review was unreasonable and prejudicial, Petitioner has established that appellate counsel was ineffective and thus that he has cause for raising this claim on direct review in state court. Normally, after determining a petitioner has cause for failing to raise a claim in accordance with state law, the court must make a separate inquiry into prejudice. Where the cause is ineffective assistance of counsel, however, an additional showing of prejudice is unnecessary. This is because a showing of prejudice is necessary to establish ineffective assistance of counsel. If petitioner’s counsel was constitutionally ineffective, the petitioner was necessarily prejudiced. Thus, we now address the merits of Petitioner’s claim.