Opinion · Ohio Supreme Court
State v. Iacona
93 Ohio St. 3d 83
- Type
- Opinion
- Court
- Ohio Supreme Court
- Jurisdiction
- Ohio
- Date
- 2001-08-29
- Topic
- general
reaching similar conclusion where the state failed to correct its witness’s answer that was contrary to facts | Juv.R. 24 imposes a duty, corresponding to that imposed by Brady, in juvenile delinquency proceedings | probable cause is a flexible, common-sense standard which does not demand any showing that the belief is correct or more likely true than false | a statement is not considered false and the state is not required to correct the statement before the end of trial where a witness’s statement was qualified one or “was, by its own terms, limited to his own personal knowledge” | a statement is not considered false and the state is not required to correct the statement before the end of trial where a witness’s statement was a qualified one or “was, by its own terms, limited to his own personal knowledge”
Citator
- Cited by
- 81 opinions
[This decision has been published in Ohio Official Reports at93 Ohio St.3d 83
.]
THE STATE OF OHIO, APPELLEE, v. IACONA, APPELLANT.
[Cite as State v. Iacona, 2001-Ohio-1292
.]
Juvenile court—Transfer of case for criminal prosecution—Prosecutor under
duty to disclose to juvenile respondent all evidence in state’s possession
favorable to juvenile respondent and material either to guilt or
punishment that is known at time of mandatory bindover hearing held
pursuant to R.C. 2151.26 and that may become known to prosecuting
attorney after bindover—In determining whether reversible error is
committed where state fails to disclose evidence in its possession that is
favorable to juvenile respondent for use by defense at mandatory bindover
proceeding, defense has burden to prove that violation was material—
Requirements to support finding that probable cause exists to believe
juvenile committed offense before ordering mandatory waiver of juvenile
court jurisdiction pursuant to R.C. 2151.26(B).
(No. 00-495—Submitted January 10, 2001—Decided August 29, 2001.)
APPEAL from the Court of Appeals for Medina County, No. 2891-M.
__________________
SYLLABUS OF THE COURT
1. A prosecutor is under a duty imposed by the Due Process Clauses of the Ohio
Constitution and the United States Constitution and Juv.R. 24 to disclose to
a juvenile respondent all evidence in the state’s possession favorable to the
juvenile respondent and material either to guilt or punishment that is known
at the time of a mandatory bindover hearing held pursuant to R.C. 2151.26
and that may become known to the prosecuting attorney after the bindover.
2. In determining whether reversible error is committed where the state fails to
disclose evidence in its possession that is favorable to a juvenile respondent
SUPREME COURT OF OHIO
for use by the defense at a mandatory bindover proceeding, the defense has
the burden to prove that the violation was material, i.e., that there is a
reasonable probability that, had the evidence been disclosed to the defense,
the result of the mandatory bindover hearing would have been different.
3. The state must provide credible evidence of every element of an offense to
support a finding that probable cause exists to believe that the juvenile
committed the offense before ordering mandatory waiver of juvenile court
jurisdiction pursuant to R.C. 2151.26(B).
__________________
MOYER, C.J.
{¶ 1} Appellant, Audrey Iacona, was convicted of involuntary
manslaughter and other crimes in connection with the death of her child.1 We have
reviewed the record and fully considered her contentions of trial error. Having done
so, we acknowledge that Iacona was not afforded a perfect trial. She did, however,
receive a fair trial. We therefore affirm the judgment of the court of appeals, which
affirmed her convictions but remanded to the trial court for resentencing.
I
Facts
{¶ 2} On May 1, 1997, then seventeen-year-old Iacona went into the
basement of her parents’ home and gave premature birth to Baby Boy Iacona.
{¶ 3} After cutting the umbilical cord, she returned upstairs. Iacona then
called Lynn Scherma, a friend, and informed her that she had given birth and that
the baby was dead.
{¶ 4} After speaking with Iacona, Scherma called her father, who called the
local police department. He informed the police that there was a possibly dead
newborn in the basement of the home of Iacona’s parents, Mark and Angela Iacona.
1. During trial, the parties entered stipulations referring to the child as “Baby Boy Iacona.” We use this
designation herein.
2
January Term, 2001
{¶ 5} Upon arriving at the Iacona home, an officer informed Iacona’s
parents about the phone call and was invited into the foyer. After receiving
permission from Angela Iacona to look around the basement, the officer went
downstairs. While in the basement, the officer observed two wet spots on the floor
he suspected might be blood. Returning upstairs, the officer asked Iacona and her
parents to remain on the main floor until the other officers arrived.
{¶ 6} Shortly thereafter, a number of Medina County sheriff deputies
arrived and conducted a fuller search of the Iacona residence. During the search, a
second officer noticed the wet spots on the floor and identified them as drops of
blood measuring about four or five inches in diameter. Another officer estimated
that there were as many as nine blood spots on the floor. He also discovered
scissors with a bloodstain on the blades in the basement. The upstairs bathroom
had blood spots on the floor, and there was blood found in the toilet. Eventually,
the officers found bloody clothes and towels, as well as a recently used sanitary
napkin.
{¶ 7} While the search was progressing, officers spoke with Iacona and her
parents. Iacona explained that the spots in the basement were menstrual blood. In
response to direct questions, Iacona denied being or having ever been pregnant.
{¶ 8} In the basement, one of the officers found a pink blanket covering the
top of a white plastic bag. The officer removed the blanket from the bag. He then
opened the bag, which had been “tucked closed.” Inside this bag was a second bag,
also tucked closed. The officer opened the second bag and discovered a
bloodstained blue towel. He opened the towel and discovered that it contained a
newborn child. The baby was dead.
{¶ 9} The state thereafter initiated juvenile proceedings against Iacona,
alleging in a two-count complaint that she was a delinquent child by virtue of
having committed murder, in violation of R.C. 2903.02, or involuntary
manslaughter, in violation of R.C. 2903.04(A). The prosecuting attorney moved
3
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for transfer of jurisdiction over Iacona to the Medina County Court of Common
Pleas pursuant to the mandatory bindover provisions of R.C. 2151.26(B)(3)(a).2
{¶ 10} Approximately four days before the bindover hearing, appellant’s
counsel served the prosecutor with a demand for discovery. The demand
specifically referenced “[t]he report or results of any physical or mental
examination or scientific tests or experiments made in connection with this matter”
as authorized by Juv.R. 24(A)(4).3
{¶ 11} At the bindover hearing in June 1997, the state introduced an autopsy
report prepared by Dr. Chistin Rolf, a pathologist employed by the Cuyahoga
County Coroner’s Office, to whom the Medina County Coroner had sent the body
for autopsy. Dr. Rolf described the child as being a “male fetus of 32 weeks
estimated gestational, postnatal death.” The autopsy report characterized the
baby’s cause of death as “asphyxia by insertion of body into plastic bag.” Dr. Rolf
testified that her conclusion as to the cause of death was based largely on the
2. R.C. 2151.26 provides:
“(A) As used in this section:
“(1) ‘Category one offense’ means any of the following:
“(a) A violation of section 2903.01 or 2903.02 of the Revised Code.
“* * *
“(B) After a complaint has been filed alleging that a child is a delinquent child for committing an
act that would be an offense if committed by an adult, the court at a hearing shall transfer the case for criminal
prosecution to the appropriate court having jurisdiction of the offense if the child was fourteen years of age or
older at the time of the act charged, if there is probable cause to believe that the child committed the act charged,
and if one or more of the following applies to the child or the act charged:
“* * *
“(3) The act charged is a category one offense, and either or both of the following apply to the child:
“(a) The child was sixteen years of age or older at the time of the act charged.”
3. Juv.R. 24 provides:
“(A) Upon written request, each party of whom discovery is requested shall, to the extent not
privileged, produce promptly for inspection, copying, or photographing the following information, documents,
and material in that party’s custody, control, or possession:
“* * *
“(4) Any scientific or other reports that a party intends to introduce at the hearing or that pertain to
physical evidence that a party intends to introduce;
“* * *
“(6) * * * In delinquency and unruly child proceedings the prosecuting attorney shall disclose to
respondent’s counsel all evidence, known or that may become known to the prosecuting attorney, favorable to
the respondent and material either to guilt or punishment.”
4
January Term, 2001
reported circumstances surrounding the discovery of the body, i.e., that the baby
was found wrapped in a towel and inserted into two plastic bags. She indicated that
she had found no purely medical explanation for the child’s death.
{¶ 12} Dr. Neil Grabenstetter, the Medina County Coroner, testified that he
ruled the death a homicide, based on the Cuyahoga County autopsy report and the
results of the police investigation. Dr. Grabenstetter further testified that as far as
he knew, no blood cultures had been conducted in connection with the autopsy of
Baby Boy Iacona.
{¶ 13} In fact, although apparently unknown to Dr. Grabenstetter, Dr. Rolf
had taken a blood sample from the interior of the baby’s heart during autopsy, and
sent it to a laboratory for testing. Within approximately a week after the baby’s
death, and well before the juvenile bindover hearing, the laboratory completed its
report and sent it to the Cuyahoga County Coroner’s Office. The report indicated
that the blood sample, when analyzed, disclosed the presence of a potentially deadly
bacterium, group A streptococcus. The report had not been provided to the defense
prior to the bindover hearing.
{¶ 14} Following the hearing, the juvenile court entered judgment, without
written opinion, that probable cause existed to believe that Iacona had committed
murder and was sixteen years of age or older at the time of the commission of the
act charged. The juvenile court therefore relinquished its jurisdiction over her and
transferred the case to the Medina County Court of Common Pleas.
{¶ 15} The Medina County Grand Jury subsequently indicted Iacona on one
count of murder, in violation of R.C. 2903.02; two counts of involuntary
manslaughter, in violation of R.C. 2903.04(A); and two counts of endangering
children in violation of R.C. 2919.22.4 Iacona was also charged with one count of
abuse of a corpse, a violation of R.C. 2927.01(B).
4. R.C. 2919.22 provides:
5
SUPREME COURT OF OHIO
{¶ 16} After Iacona unsuccessfully moved to suppress evidence obtained
during the search and of any statements made without the benefit of Miranda
warnings, the matter proceeded to a jury trial.
{¶ 17} The jury found Iacona guilty of both involuntary manslaughter
counts, both child-endangering counts, and the abuse-of-a-corpse count. It could
not reach a verdict as to the murder count. The trial court sentenced Iacona to eight
years’ imprisonment on each count of involuntary manslaughter, to three years’
imprisonment on each count of child endangering, and to six months on the abuse-
of-a-corpse count. The court ordered the sentences to run concurrently.5
{¶ 18} Iacona thereafter moved for a new trial pursuant to Crim.R.
33(A)(1), (3), and (6), claiming “irregularities in the proceedings, surprise
production of discoverable exculpatory evidence late in the trial and the
withholding of discoverable evidence material to the defense, which evidence came
to defendant’s knowledge by way of inadvertent exposure by the prosecutor during
the cross-examination of [a] defense medical expert.” Iacona asserted that as a
result of the withholding of evidence she was denied a fair trial and denied the
effective assistance of counsel. The motion was overruled.
“(A) No person, who is the parent * * * of a child under eighteen years of age * * * shall create a
substantial risk to the health or safety of the child, by violating a duty of care, protection, or support. * * *
“(B) No person shall do any of the following to a child under eighteen years of age * * *:
“(1) Abuse the child;
“* * *
“(E)(1) Whoever violates this section is guilty of endangering children.
“(2) If the offender violations division (A) or (B)(1) of this section, endangering children is one of
the following:
“* * *
“(c) If the violation is a violation of division (A) of this section and results in serious physical harm
to the child involved, a felony of the third degree.
“(d) If the violation is a violation of division (B)(1) of this section and results in serious physical
harm to the child involved, a felony of the second degree.”
5. At trial Iacona did not challenge the legitimacy of entry of conviction on all of these counts as violative of
R.C. 2941.25. The courts of appeals in Ohio disagree on the question whether a trial court commits error in
failing to set aside a conviction of a lesser allied offense of similar import when the sentence imposed on the
lesser offense is to be served concurrently with the sentence for the heightened offense. See, generally, State
v. Fenwick (2001), 91 Ohio St.3d 1252, 1254-1255
,745 N.E.2d 1046, 1047-1048
, dismissed as improvidently
allowed (Moyer, C.J., dissenting).
6
January Term, 2001
{¶ 19} Iacona appealed her convictions to the Ninth District Court of
Appeals, which affirmed all of the convictions, but found sentencing error in that
the trial court had failed to make R.C. 2929.14(B) findings on the record. Such
findings are required if a first-time offender is to receive more than the minimum
term. See State v. Edmonson (1999), 86 Ohio St.3d 324
,715 N.E.2d 131
.
Accordingly, the court of appeals reversed Iacona’s sentence and remanded for
resentencing.
{¶ 20} The cause is now before this court upon our allowance of a
discretionary appeal.
{¶ 21} We address Iacona’s assertions of reversible error in chronological
order.
II
The Search of the Iacona Home
{¶ 22} Iacona challenges the validity of the search of her parents’ home and
the admissibility of statements made during that search.
{¶ 23} As did the court of appeals, we find that the trial court did not err in
refusing to suppress evidence obtained pursuant to this search. The record fully
supports the finding of the trial court that Mr. and Mrs. Iacona voluntarily gave the
investigating officers consent to search their home, and did not thereafter withdraw
that consent. Moreover, “a parent who owns or controls the premises in which a
child resides has the right to consent to a search thereof even though such search
may produce incriminating evidence against the child.” State v. Carder (1966), 9 Ohio St.2d 1, 10
,38 O.O.2d 1, 6
,222 N.E.2d 620, 627
.
III
Alleged Brady v. Maryland Violations in Juvenile Court
{¶ 24} In the landmark case of Brady v. Maryland (1963), 373 U.S. 83
,83 S.Ct. 1194
,10 L.Ed.2d 215
, the United States Supreme Court held that a criminal
defendant may claim denial of due process where the state fails to disclose the
7
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existence of potentially exculpatory evidence. “[T]he suppression by the
prosecution of evidence favorable to an accused upon request violates due process
where the evidence is material either to guilt or to punishment, irrespective of the
good faith or bad faith of the prosecution.” Id. at 86
,83 S.Ct. at 1196-1197
,10 L.Ed.2d at 218
. But, “[i]n determining whether the prosecution improperly suppressed evidence favorable to an accused, such evidence shall be deemed material only if there is a reasonable probability that, had the evidence been disclosed to the defense, the result of the proceeding would have been different. A ‘reasonable probability’ is a probability sufficient to undermine confidence in the outcome. This standard of materiality applies regardless of whether the evidence is specifically, generally or not at all requested by the defense.” State v. Johnston (1988),39 Ohio St.3d 48
,529 N.E.2d 898
, paragraph five of the syllabus, following United States v. Bagley (1985),473 U.S. 667
,105 S.Ct. 3375
,87 L.Ed.2d 481
. See, also, State v. Treesh (2001),90 Ohio St.3d 460, 475
,739 N.E.2d 749, 767
.
{¶ 25} Iacona argues that the doctrine of Brady v. Maryland applies with
full force to juvenile bindover proceedings. The state argues that Brady does not
apply.
{¶ 26} Iacona further contends that the prosecution violated the Brady
doctrine by failing to provide her defense with the blood culture report showing
group A streptococcus prior to the bindover hearing. She asserts that the case
should be remanded to the juvenile court with instructions to conduct new bindover
proceedings.
{¶ 27} We address each of these contentions separately.
A
Applicability of the Doctrine of Brady v. Maryland to Juvenile Court Mandatory
Bindover Hearings
{¶ 28} In Brady, the United States Supreme Court held that “the
suppression by the prosecution of evidence favorable to an accused upon request
8
January Term, 2001
violates due process where the evidence is material either to guilt or to punishment,
irrespective of the good faith or bad faith of the prosecution.” (Emphasis added.)
Brady, 373 U.S. at 87
,83 S.Ct. at 1196-1197
,10 L.Ed.2d at 218
.
{¶ 29} It is axiomatic that the juvenile court has exclusive original
jurisdiction of children alleged to be delinquent based on commission of an act that
would constitute a crime if committed by an adult. R.C. 2151.23(A)(1) and
2151.02(A); State v. Golphin (1998), 81 Ohio St.3d 543, 544-545
,692 N.E.2d 608, 610
. However, the law has long provided that, under circumstances prescribed by the General Assembly, the juvenile court may transfer the case to the common pleas court for prosecution and potential sentencing of the accused juvenile as an adult. R.C. 2151.26(C). See, also, State v. Carmichael (1973),35 Ohio St.2d 1, 4
,64 O.O.2d 1, 2-3
,298 N.E.2d 568, 570-571
, quoting R.C. 2151.26 as in effect in 1971 (133 Ohio Laws, Part II, 2049); State v. Frohner (1948),150 Ohio St. 53
,37 O.O. 406
,80 N.E.2d 868
, paragraph eight of the syllabus, citing G.C. 1639-32.
{¶ 30} In 1996 the General Assembly amended R.C. 2151.26 to provide
that, under certain circumstances, a juvenile court must transfer jurisdiction over
the child to the common pleas court for prosecution as an adult. R.C. 2151.26(B),
146 Ohio Laws, Part I, 1, 18. As amended, R.C. 2151.26(B)(3)(a) requires
mandatory bindover where, as in this case, the child was age sixteen or over at the
time of the offense, and the juvenile judge finds probable cause to believe that the
child committed a “category one” offense, including the crime of murder in
violation of R.C. 2903.02. See R.C. 2151.26(A)(1).
{¶ 31} This court has recently observed that “[s]ince its origin, the juvenile
justice system has emphasized individual assessment, the best interest of the child,
treatment, and rehabilitation, with a goal of reintegrating juveniles back into
society. * * *
{¶ 32} “In the early juvenile justice system, although the child was accused
of a criminal offense, many of the formal criminal procedures in adult court were
9
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omitted. * * * While some of the formal adult court procedures have been adopted
since then, the language of the proceedings today still reflects the rehabilitative
goals of the juvenile justice system.” State v. Hanning (2000), 89 Ohio St.3d 86, 88-89
,728 N.E.2d 1059, 1061
. See, also, In re Anderson (2001),92 Ohio St.3d 63, 65
,748 N.E.2d 67, 69
. Accord R.C. 2151.01(A) and (B), which list among the
purposes of the juvenile justice system the goals of providing for the “care,
protection, and mental and physical development of children subject to Chapter
2151 of the Revised Code,” and ensuring the protection of “the public interest in
removing the consequences of criminal behavior and the taint of criminality from
children committing delinquent acts,” substituting therefor a “program of
supervision, care, and rehabilitation” rather than punishment. This is so even where
the juvenile thereafter is ordered confined in a juvenile facility.
{¶ 33} Moreover, when a juvenile is adjudicated a delinquent, any
institutionalization or confinement which may be ordered may not “exceed the
child’s attainment of twenty-one years of age.” R.C. 2151.355(A)(4). Even for the
most serious crimes of aggravated murder and murder the law limits commitment
of the child to the legal custody of the Department of Youth Services “for
institutionalization in a secure facility until the child’s attainment of twenty-one
years of age.” R.C. 2151.355(A)(6).
{¶ 34} Consequently, where, as in the case at bar, a minor is age seventeen
at the time of the murder, a minor retained in the juvenile system would be subject
to the state’s custody for no longer than four years. The same minor bound over to
the court of common pleas to face trial as an adult on a charge of murder faces a
potential life term of incarceration. R.C. 2929.02(B). Mandatory bindover, and
diversion out of the juvenile justice system, undeniably affects the length of
confinement to which an accused minor is exposed.
{¶ 35} The issues determined at a mandatory bindover hearing are therefore
a “critically important” stage in juvenile proceedings. Therefore, such a hearing
10
January Term, 2001
must “measure up to the essentials of due process and fair treatment.” Kent v.
United States (1966), 383 U.S. 541, 562
,86 S.Ct. 1045, 1057
,16 L.Ed.2d 84, 98
.
{¶ 36} The court in Kent recognized that a juvenile’s right to a hearing
includes the right of access to any social records that would be considered by the
court in determining waiver of jurisdiction. We believe that basic principles of
fairness and due process similarly require that counsel for a juvenile be provided
access to information possessed by the state that might tend to disprove probable
cause at the bindover stage. It is clear that the decision made there is material to
punishment, as contemplated by Brady.
{¶ 37} Moreover, irrespective of the mandate of the United States
Constitution as explicated in Brady and its progeny, and Kent, Juv.R. 24(A)(6)
imposes a duty, corresponding to that imposed by Brady, that “[i]n delinquency and
unruly child proceedings, the prosecuting attorney shall disclose to respondent’s
counsel all evidence, known or that may become known to the prosecuting attorney,
favorable to the respondent and material either to guilt or punishment.” We discern
no reason why this rule, in the interest of fairness, should not be applied at the
mandatory bindover hearing stage.
{¶ 38} We therefore hold that a prosecutor is under a duty imposed by the
Due Process Clauses of the Ohio Constitution and the United States Constitution
and Juv.R. 24 to disclose to a juvenile respondent all evidence in the state’s
possession favorable to the juvenile respondent and material either to guilt or
punishment that is known at the time of a mandatory bindover hearing held pursuant
to R.C. 2151.26 and that may become known to the prosecuting attorney after the
bindover.
B
Alleged Violation of Brady Doctrine in Mandatory Bindover Proceedings in the
Case at Bar
11
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{¶ 39} It is undisputed that a laboratory report showing the presence of
group A streptococcus in a sample of Baby Boy Iacona’s blood was received by the
Cuyahoga County Coroner’s Office within days of the child’s death. The state
vigorously asserts that it provided the defense with a copy of that report after
bindover but well before the trial in the court of common pleas, and that it was not
aware of the existence of the report at bindover. It is undisputed, however, that the
defense did not have a copy of the report before or during the bindover proceedings.
{¶ 40} Iacona argues that the state’s failure to disclose the existence of that
blood culture report prior to the bindover hearing is fatal to a valid relinquishment
of juvenile court jurisdiction to the common pleas court. Moreover, she avers that
the state committed prejudicial error in failing to correct the coroner’s testimony
that no blood culture had been performed, even though the prosecution purportedly
was not aware at the time of the testimony that a blood culture had been performed
as part of the autopsy of the baby. Iacona asserts that these alleged errors were
material to the probable cause decision. We address each contention in turn.
1
Nondisclosure of the Blood Culture Report
{¶ 41} Pursuant to our holding that Brady applies in juvenile court
mandatory bindover proceedings, and in satisfaction of the state’s obligations under
Juv.R. 24, we conclude that the prosecution should have provided the blood culture
laboratory report to the defense in time for use at the bindover hearing. The report
was in the possession of the Cuyahoga County Coroner’s Office about six weeks
before the bindover hearing. “The individual prosecutor is presumed to have
knowledge of all information gathered in connection with the government’s
investigation.” United States v. Payne (C.A.2, 1995), 63 F.3d 1200, 1208
. The
question remains whether the state’s failure to comply with this duty requires
reversal of Iacona’s conviction and remand to the juvenile court.
12
January Term, 2001
{¶ 42} In reviewing this issue we remain mindful that it is the burden of the
defense to prove a Brady violation rising to the level of denial of due process. State
v. Jackson (1991), 57 Ohio St.3d 29, 33
,565 N.E.2d 549, 555
, citing Talamante v. Romero (C.A.10, 1980),620 F.2d 784
; Monroe v. Blackburn (C.A.5, 1979),607 F.2d 148
. See, also, State v. Wickline (1990),50 Ohio St.3d 114, 117
,552 N.E.2d 913, 917
. In order to find reversible error based upon a Brady violation, we must
find that the violation was material. We therefore hold that in determining whether
reversible error is committed where the state fails to disclose evidence in its
possession that is favorable to a juvenile respondent for use by the defense at a
mandatory bindover proceeding, the defense has the burden to prove that the
violation was material, i.e., that there is a reasonable probability that, had the
evidence been disclosed to the defense, the result of the mandatory bindover
hearing would have been different. We accordingly review the record to determine
whether there is a reasonable probability that, had the blood culture report been
disclosed to Iacona’s defense prior to the bindover hearing, the result of that hearing
would have been different, i.e., that the juvenile court would not have found
probable cause that Iacona had committed murder.
{¶ 43} As the court of appeals in the instant case correctly observed, a
juvenile court at a bindover hearing need not “ ‘find as a fact that the accused minor
is guilty of the offense charged. It simply finds the existence of probable cause to
so believe,’ “ quoting State v. Whiteside (1982), 6 Ohio App.3d 30, 36
, 6 OBR 140, 146,452 N.E.2d 332, 338
. The juvenile court in the case at bar described its responsibility in considering the issue of probable cause as being an obligation to determine whether there is “some credible evidence as to each and every element of the offense.” The court of appeals, on the other hand, defined “probable cause” as “a flexible concept, grounded in probabilities, requiring more than a mere suspicion of guilt but a degree of proof less than that required to sustain a conviction,” citing Brinegar v. United States (1949),338 U.S. 160, 175
,69 S.Ct. 13
SUPREME COURT OF OHIO 1302, 1310-1311,93 L.Ed. 1879
, 1890. These two standards, while subtly
different, are not irreconcilable.
{¶ 44} We hold that the state must provide credible evidence of every
element of an offense to support a finding that probable cause exists to believe that
the juvenile committed the offense before ordering mandatory waiver of juvenile
court jurisdiction pursuant to R.C. 2151.26(B). See Zarzycki, A Current Look at
Ohio’s Juvenile Justice System on the 100th Anniversary of the Juvenile Court
(1999), 47 Cleve.St.L.Rev. 627, 647. In meeting this standard the state must
produce evidence that raises more than a mere suspicion of guilt, but need not
provide evidence proving guilt beyond a reasonable doubt.
{¶ 45} Accordingly, in determining the existence of probable cause the
juvenile court must evaluate the quality of the evidence presented by the state in
support of probable cause as well as any evidence presented by the respondent that
attacks probable cause. See Kent, 383 U.S. at 563
,86 S.Ct. at 1058
,16 L.Ed.2d at 98
. In the case at bar, the juvenile court acted in compliance with this standard
in examining whether probable cause existed that Iacona was guilty of murder in
violation of R.C. 2903.02.
{¶ 46} The state presented evidence at the bindover hearing that Baby Boy
Iacona was born alive, breathed for a period of time long enough to evenly aerate
the lungs and produce air in the stomach and small bowel. The state established
that the baby was found dead, wrapped inside a towel having been placed within
two white plastic bags, then covered by a blanket. It produced expert testimony
that living babies die of asphyxiation when placed inside plastic bags in this
manner.
{¶ 47} The state further produced evidence that appellant had told her
friends not to worry about her pregnancy, that she would “handle it when it comes”;
that on the day she delivered, she first told a friend she thought she was in labor,
and thereafter in a phone call around 3:00 p.m. told the friend “it was taken care
14
January Term, 2001
of” and that the baby “was dead when it came out.” In addition, the state called the
coroner who had officially ruled the cause of Baby Boy Iacona’s death to be
homicide.
{¶ 48} The crux of Iacona’s argument is that the blood culture report proves
that her son died of natural causes and not from suffocation at her hand. She argues
that Baby Boy Iacona was doomed at the time of birth to die from a devastating
bacterial infection and that her actions after delivery did not cause the baby’s death.
She contends that the trial court would not have found probable cause that she
committed murder had she had possession of the report at the time of the bindover
hearing.
{¶ 49} In so arguing, Iacona necessarily assumes that the juvenile court
would have accepted the conclusion of her experts and rejected those of the state’s
experts. There is no basis for making such an assumption.
{¶ 50} Had Iacona had the report at bindover the juvenile court hearing
likely would have resembled the hearing on her motion for a new trial held
following her conviction. At that hearing Iacona presented expert testimony from
a physician, board-certified in both internal medicine and infectious diseases, who
testified that the presence of group A streptococcus in blood drawn from the baby’s
heart caused him to conclude that the baby had become infected and that the baby’s
death “was caused by Group A Strep infection.” A forensic pathologist and clinical
associate professor at the University of Chicago likewise testified for Iacona it was
“[e]xtremely unlikely” that the presence of the group A streptococcus was the result
of contamination. Another physician board-certified in anatomical and forensic
pathology opined that the baby had died from septicemia, which he defined as “the
presence of bacteria or some organisms in the bloodstream,” which led to septic
shock and death. In short, the defense theory argued that the infant died from
septicemia—not asphyxia.
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SUPREME COURT OF OHIO
{¶ 51} At the new trial hearing, the state rebutted Iacona’s experts by
presenting the testimony of its own expert witnesses, who expressly discounted the
defense’s infection theory. Dr. Rolf’s supervisor in the Cuyahoga County
Coroner’s Office testified that he had reviewed the autopsy case file, and that the
blood culture report had been considered in determining the cause of death, but the
group A streptococcus had been rejected as caused by an irrelevant contaminant.
He testified that “[t]he complete information related to this case, including the
findings at the hospital of the mother, the examination of the infant, the examination
of the membranes, and all, show there was no significant inflammation or infection
anywhere, and there was absolutely nothing to indicate that there was an infection
anywhere in either the mother or in the infant.” He remained adamant that the
initial determination of cause of death was correct, i.e., that being asphyxia by
insertion of the baby into a plastic bag.
{¶ 52} Similarly, the Coroner of Cuyahoga County testified at the new trial
hearing that she had reviewed the autopsy procedure, the protocol and the findings,
and that she agreed with the finding of the cause of death of Baby Boy Iacona as
asphyxia by insertion of his body into a plastic bag. She specifically testified that
“[t]he blood culture result does not play any part in the cause of death.”
{¶ 53} Other physicians, including a medical examiner for Summit County,
testified on behalf of the state at the hearing on motion for a new trial that the child
had asphyxiated, and that the positive blood culture had no relationship whatsoever
to the death of the child.
{¶ 54} Further, the Medina County Coroner testified at the bindover hearing
that the police investigation and the autopsy suggested that some person had played
an active role in the death and that, even if another possible cause of death had
existed, such as an Rh factor differential, he would have reached the same
conclusion as to the manner of death, that being homicide.
16
January Term, 2001
{¶ 55} At the close of the bindover hearing the juvenile court explained its
finding of probable cause that Iacona had committed murder:
“[T]he Court’s obligation was to find some credible evidence as to each and
every element of the offense.
“* * *
“* * *[T]he court found significance in [Mrs. Iacona’s] testimony that there
was no other persons in basement [sic]. She was able to identify the age of her
daughter, the venue, and set the time frame within which this alleged incident
occurred.
“Detective Warren Walter testified with regard to blood that was found on
the premises. Detective Davis’s testimony focused on the exhibits, his finding of
the child, and the condition of the child.
“Dr. Rolf testified with regard to her findings in the autopsy report; that she
found air in the lungs and in the stomach; that the baby was, in fact, born alive; that
she could determine no natural cause for the baby’s death; and further, that she
discounted any other rationale for the death or for her physical findings. She drew
her conclusion even despite the fact that there is, in fact, difficulty obtaining
scientific evidence relating to asphyxia in an infant; and after consultation with her
colleagues, she still was able, based on a reasonable medical certainty to make the
causative finding of death by asphyxia.
“Miss Paul testified with regard to the baby being born in the basement, and
Miss Iacona’s knowledge of the pregnancy.
“Again, Dr. Grabenstetter supported the testimony of Dr. Rolf. He
discussed the circumstances of the investigation which gave rise to his ultimate
finding. He discussed the autopsy findings, and did, in fact, make his finding as to
the manner of death as one of homicide.
“He further testified with regard to the issue of the utilization of the blanket
and the impact of the blanket with regard to the asphyxia of the child.
17
SUPREME COURT OF OHIO
“Once again, despite a number of hypotheticals that were presented, based
not only on his investigation but on the evidence produced, he did not waiver from
his decision based on a medical certainty. He did, in fact, take into account these
other possibilities, and still did not deviate from his original ruling or finding.
“Miss Scherma testified with regard to the birth of the child, the location of
the child, and her encouragement to Miss Iacona of obtaining care for the child and
talking to her parents or, in fact, going to the hospital, which the Court finds to be
significant in terms of intent.
“Therefore, it is this Court’s judgment that there is probable cause to believe
that the child committed the acts contained in Revised Code Section 2903.02; that
the act charged is a Category 1 offense, and the child was 16 years of age or older,
and therefore, the Court orders bind over to the Court of Common Pleas in this
matter.”
{¶ 56} As demonstrated by the evidence presented at the hearing on the
motion for new trial, the juvenile court would have considered the same prosecution
theory of the case even if the defense had been provided the report prior to the
bindover hearing. That evidence was credible, even if not unassailable.
{¶ 57} We are confident that the juvenile court would have found probable
cause to believe that Iacona had committed murder irrespective of the state’s failure
to produce the blood culture report prior to the bindover hearing. Even if the blood
culture had been timely disclosed, the juvenile court would have had before it only
dueling experts. Determination of the merits of the competing prosecution and
defense theories, both of which were credible, ultimately was a matter for a
factfinder at trial.
{¶ 58} We therefore find that Iacona has failed to meet her burden of
demonstrating that disclosure of the blood culture report to the defense prior to the
bindover hearing would have caused the trial court to come to a different conclusion
on the determinative issue of probable cause that murder had been committed. That
18
January Term, 2001
being so, nondisclosure of the blood culture report prior to the bindover hearing
was not a material omission on the part of the state or fatal to Iacona’s bindover.
2
Allegedly False Testimony at Bindover
{¶ 59} At the bindover hearing, the Medina County Coroner testified that
“as far as he [knew]” no blood cultures had been conducted. The defense claims
that the state violated appellant’s right to due process by allowing that testimony to
stand uncorrected in light of the fact that the state was then in possession of the
laboratory report showing blood culture results positive for group A streptococcus.
{¶ 60} “The knowing use of false or perjured testimony constitutes a denial
of due process if there is any reasonable likelihood that the false testimony could
have affected the judgment of the jury.” United States v. Lochmondy (C.A.6, 1989),
890 F.2d 817, 822
, citing Bagley,473 U.S. at 678
,105 S.Ct. at 3381
,87 L.Ed.2d at 491
. Such a claim is in the nature of an allegation of prosecutorial misconduct, and the burden is on the defendant to show that “(1) the statement was actually false; (2) the statement was material; and (3) the prosecution knew it was false.”Id.,
citing United States v. O’Dell (C.A.6, 1986),805 F.2d 637, 641
. Applying this
standard to the case at bar, we do not find a due process violation.
{¶ 61} Dr. Grabenstetter’s statement was, by its own terms, limited to his
own personal knowledge. He gave a qualified answer that, as far as he knew, no
culture had been conducted. Iacona simply has not proven that Grabenstetter in
fact knew of the existence of the cultures and knowingly testified to the contrary.
{¶ 62} Moreover, as discussed supra, we are confident that the juvenile
court judge would have found probable cause that Iacona committed murder even
if the blood culture report had been introduced. Since it is unlikely that the actual
results of the report would have changed the probable cause determination, then the
testimony of one witness about his knowledge as to whether the test had even been
conducted would not likely have changed the outcome. We therefore cannot say
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SUPREME COURT OF OHIO
that the state’s failure to correct this witness’s qualified answer would have changed
the juvenile court’s evaluation of probable cause that murder had been committed.
{¶ 63} Accordingly, we find that Iacona’s complaints regarding the validity
of Iacona’s bindover from juvenile court are not well taken.
IV
Proceedings at Trial in Common Pleas Court
A
Alleged Deprivation of Due Process at Trial Based on Nondisclosure of the Blood
Culture Report
{¶ 64} Iacona asserts several arguments relative to presentation of alleged
false testimony and the disclosure of the blood culture report during the final stages
of the defense case at trial.
{¶ 65} At trial, Iacona argued that her baby had either been dead at the time
of delivery or had appeared dead and died shortly after birth, and would have died
regardless of her actions after having given birth. In support of her theory, she
called a specialist in neonatology at the University of Chicago as an expert witness.
He testified that about one in one hundred babies born at the University of Chicago
is born moribund, i.e., with no apparent respiratory reflex, and that a vast majority
of them die, even if resuscitated. When asked whether blood cultures are done after
the deaths of these infants, the physician testified that they often are, “because
infection is a fairly common cause of premature delivery, and a fairly common
cause of moribund premature delivery.” He further testified that he had found no
record that any blood cultures of this nature were done in the case of Baby Boy
Iacona.
{¶ 66} During cross-examination of this witness, the state showed the
expert the blood culture report, identified at that point as State’s Exhibit 77, which
indicated that the vial of blood taken from the baby’s heart demonstrated the
20
January Term, 2001
presence of the bacterium group A streptococcus. When the prosecutor presented
the report to the expert, the following exchange took place:
“Q. [Prosecutor] Assuming that page 2 shows cultures were done of Baby
Boy Iacona, at the order of the Cuyahoga County Coroner’s office—
“A. [Expert Witness] Yeah, it looks like they were positive.
“* * *
“What you asked me on [State’s Exhibit] 77, it says group A streptococcus.
“Q. Group A?
“A. Right. * * * It looks like the culture of the blood was positive.
“Q. You have criticized the autopsy of this baby for there being no culture?
“A. I didn’t say anything like that. I said I didn’t see a culture.
Now I see a culture, and it is positive. That is, to me, impressive.
“* * *
“Q. Doctor, that was provided to [defense counsel] in October—
“[Defense Counsel] That is absolutely untrue.”
{¶ 67} As later demonstrated at the hearing on Iacona’s motion for new
trial, the evidence is conflicting as to whether the prosecution had provided the
report to the defense prior to this time. The state produced evidence supporting the
conclusion that the prosecutor had disclosed the blood culture report well before
the trial. An Assistant Medina County Prosecuting Attorney testified that she had
been present when the culture report was faxed from the prosecutor’s office to the
offices of Iacona’s lead defense counsel in November 1997. The Medina County
Prosecuting Attorney testified that he was “100 percent positive” that the report had
been faxed to defense counsel as part of a three-page transmission, because he was
present at the time of faxing. He further testified that he had instructed a former
law clerk to hand-deliver the report. The clerk testified that he had made the
delivery to the offices of Iacona’s lead trial counsel on or about November 17, 1997.
21
SUPREME COURT OF OHIO
{¶ 68} The state also introduced testimony establishing that the Cuyahoga
County Coroner’s Office, which had conducted the autopsy of the child, had made
the blood culture report available to the defense prior to trial. The Cuyahoga
County Coroner testified that the report was in the file made available to defense
experts during those experts’ visits to the coroner’s office, and that the report was
part of “laboratory findings” included in receipts of those items given to the experts
to review. An assistant coroner similarly testified that he was “absolutely sure” that
the information that had been made available to the defense experts included the
blood culture report.
{¶ 69} On the other hand, Iacona presented testimony to prove that the
blood report had never been disclosed to the defense. Her lead defense counsel
testified that he had never received the blood culture report, either via fax or hand
delivery. Further, her experts claimed that they had not been given the report during
their visits to the Cuyahoga County Coroner’s Office.
{¶ 70} In the case at bar, after a recess following the quoted interchange
between the prosecutor and Iacona’s expert, defense counsel represented to the
court that neither he nor his co-counsel had seen the blood culture report before.
He told the court that he had, during the recess, asked his expert witness the
significance of a positive finding for group A streptococcus in the report, and been
informed that the expert considered streptococcus infection to be the presumptive
cause of Baby Boy Iacona’s death.
{¶ 71} The defense moved for a mistrial, which the trial court denied. The
court instead indicated that it intended to give an opportunity to both the
prosecution and the defense “to get the evidence out on this issue.” Accordingly,
the trial court permitted the defense to recall its expert for the purpose of disclosing
to the jury his opinion, based on the newly discovered report, that the presumptive
cause of Baby Boy Iacona’s death was streptococcus infection. The court indicated
that it would also allow the state to recall its own expert witnesses to testify as to
22
January Term, 2001
the significance of the report. The court further indicated that defense counsel
could thereafter renew its motion for mistrial. The defense did not, however, move
for a continuance. It renewed its motion for mistrial after its expert retestified, and
the motion was denied. Ultimately, the defense offered State’s Exhibit 77 into
evidence, but the court refused to allow its admission.
1
Denial of Motions for Mistrial
{¶ 72} Iacona argues that the state violated the responsibilities imposed
upon it not only by Brady, but also by Crim.R. 16. She contends that she was
thereby deprived of a fair trial in the court of common pleas, and that the trial
court’s denial of her motions for mistrial made upon the defense’s discovery of the
possible import of the blood culture report late in the trial constituted reversible
error.
{¶ 73} We note initially that the granting or denial of a motion for mistrial
rests in the sound discretion of the trial court and will not be disturbed on appeal
absent an abuse of discretion. State v. Sage (1987), 31 Ohio St.3d 173, 182
, 31 OBR 375, 382,510 N.E.2d 343, 349-350
. In addition, the trial court ultimately
found that Iacona had not proven that the state failed to provide the blood culture
report to the office of defense counsel prior to trial.
{¶ 74} Assuming, arguendo, that no disclosure of the blood culture report
to the defense occurred prior to trial, it is clear that the defense became aware of its
existence and possible significance during the trial. Strictly speaking, Brady is not
violated when disclosure occurs during trial, even when disclosure surprises the
defendant with previously undisclosed evidence. State v. Wickline (1990), 50 Ohio St.3d 114, 116
,552 N.E.2d 913, 917
. In such a circumstance a trial court has
authority, pursuant to Crim.R. 16(E)(3), to grant a continuance or make other orders
that the court deems just to ensure that the recently disclosed information can be
evaluated, and used at defense counsel’s option, before the trial is concluded.
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SUPREME COURT OF OHIO
{¶ 75} It has, however, been held that the philosophical underpinnings of
Brady support the conclusion that even disclosure of potentially exculpatory
evidence during trial may constitute a due process violation if the late timing of the
disclosure significantly impairs the fairness of the trial. Even where information
may be exculpatory, “[n]o due process violation occurs as long as Brady material
is disclosed to a defendant in time for its effective use at trial.” United States v.
Smith Grading & Paving, Inc. (C.A.4, 1985), 760 F.2d 527, 532
. See, also, United States v. Starusko (C.A.3, 1984),729 F.2d 256, 262
; United States v. O’Keefe (C.A.5, 1997),128 F.3d 885, 898
. We therefore analyze Iacona’s contention of
error in this context.
{¶ 76} Iacona argues that her defense team became aware of the blood
culture report so late in the trial that a declaration of a mistrial was required. She
claimed at the hearing on her motion for a new trial that her experts had already
largely finished testifying by that time, that some of them no longer were available
to be recalled, and that the entire trial strategy would have been different had they
earlier recognized the significance of the report. All of these contentions could
have been presented to the trial court in support of a motion for continuance, but
were not.
{¶ 77} We do not go so far as to hold, based on the facts of this case, that
failure to ask for a continuance during trial always results in a waiver of the right
to assert an alleged Brady violation on appeal. Cf. Yates v. Texas (Tex.App.1997),
941 S.W.2d 357, 364
. We do, however, reject Iacona’s contention that she could not have made full and effective use of the blood culture report at this late stage of the trial had she sought and obtained a continuance and chosen to modify her defense strategy to emphasize the report. Cf. State v. Wickline,50 Ohio St.3d at 116-117
,552 N.E.2d at 917
. We note that the trial court found, in deciding Iacona’s
motion for new trial, that defense counsel had made a strategic decision not to
pursue the theory that death was caused by bacterial infection.
24
January Term, 2001
{¶ 78} Therefore, even assuming arguendo that Iacona’s defense counsel
was not provided a copy of the blood culture report until it was disclosed by the
prosecutor during the cross-examination of her expert witness, her contention that
the trial court abused its discretion in failing to grant her motions for mistrial is
unfounded.
2
Failure of State to Prove Receipt of Report
{¶ 79} Iacona argues that, even if the prosecutor did fax and hand-deliver
the report in a timely manner, a Brady violation nonetheless exists because the state
failed to ensure actual receipt of the disclosed material.
{¶ 80} Iacona cites only one case, In re Brown (1998), 17 Cal.4th 873
,72 Cal.Rptr.2d 698
,952 P.2d 715
, in support of her contention that “the duty imposed by Brady is not fulfilled if the prosecutor provides a piece of discovery, but it is never actually received.” (Emphasis sic.) This case is factually distinguishable. In Brown the state conceded that it had never delivered a potentially exculpatory piece of evidence to the defense.Id. at 883
,72 Cal.Rptr.2d at 704
,952 P.2d at 721
.
{¶ 81} We reject Iacona’s argument that the state was required not only to
introduce evidence that it provided the blood culture report to the defense, but also
was required to disprove the contention of the defense team that they did not receive
it. We find instead that Iacona’s defense team is charged with constructive receipt
of documents delivered to the office of defense counsel even if those documents
did not reach the lawyers or experts who were best able to make use of them.
{¶ 82} Further, in ruling on Iacona’s motion for new trial, the trial court
ultimately concluded that it was the defense’s burden to show a Brady violation and
that the defense was unable to disprove the prosecution’s evidence that a copy of
the report had been delivered to the defense. It is implicit in that conclusion that
the trial court found it to be fact, for legal purposes, that the defense indeed received
the report, even if the defense did not recognize the report’s significance.
25
SUPREME COURT OF OHIO
{¶ 83} Moreover, it is well established that the state has no duty to explain
the significance of disclosed evidence. In State v. Parker (1990), 53 Ohio St.3d 82
,558 N.E.2d 1164
, paragraph one of the syllabus, this court held:
{¶ 84} “Crim.R. 16(B) does not require the prosecution to disclose to the
defendant the significance to the prosecution of information sought to be discovered
by the defendant. The rule only requires the prosecution to disclose, and to permit
the defendant to obtain, the information sought.”
{¶ 85} Thus, the state is under no obligation to explain the potential
importance of disclosed Brady information. See, also, United States v. Aubin
(C.A.5, 1996), 87 F.3d 141, 148-149
.
3
Alleged Misleading Conduct of the Prosecution Regarding Blood Culture Report
{¶ 86} In this portion of her argument Iacona accepts the proposition,
arguendo, that the prosecution disclosed the blood culture report to the defense, but
contends that it used trickery to induce the defense to ignore it. She directs this
court to a number of cases that stand for the proposition that the state cannot
actively mislead a defendant into thinking that favorable evidence is not favorable.
{¶ 87} In every case cited by Iacona, however, the prosecution, in
disclosing an item of evidence to the defense, either affirmatively told the defense
that the evidence was of no value or actively misled the defense about the nature of
the evidence so as to trick the defense into dismissing it as useless. See, e.g., United
States v. Shaffer (C.A.9, 1986), 789 F.2d 682, 690
; United States v. Anzeulotto (Jan. 19, 1996), E.D.N.Y. No. 93 Cr 1316(FB), unreported,1996 WL 31233
. We do not
find active misdirection of this nature in the case at bar.
{¶ 88} Iacona claims that, even if the state did provide the blood culture
report before trial by fax and hand delivery, the manner of production described by
its witnesses indicates that the state intended to conceal the nature and significance
of the report. She first asserts that the fax copy allegedly sent to her counsel was
26
January Term, 2001
so blurry that it was difficult to read, and that the law clerk who testified that he
had hand-delivered a copy said it wasn’t legible. Iacona further complains that the
cover sheet accompanying the report was incorrect and made no mention of a blood
culture, instead describing it as “supplemental discovery” of the name of an
additional state witness.
{¶ 89} We do not equate production of a less-than-perfect copy of a report
with prejudicial misdirection. Nor do we believe it is unduly burdensome to expect
the recipient of an unclear electronic copy to request a clearer copy.
{¶ 90} Moreover, to accept Iacona’s argument, we would be required to
discount as untruthful the consistent testimony of the state’s witnesses, including
the prosecutor himself and members of his staff, that they believed the blood culture
report to be medically insignificant. Rather, Iacona asks us to believe that the state
knew the blood culture report to be of such overwhelming significance that it
improperly and consciously tried to hide its import while ostensibly disclosing it.
The evidence does not support this conclusion.
{¶ 91} Nor do we believe that the defense is relieved of the duty, in due
diligence, to review evidence disclosed by the state, to determine for itself its
significance. We believe that this duty exists even where the state includes a cover
page describing, in summary manner, one of the items produced and which
expresses no opinion as to the significance of the item or items accompanying the
cover page.
{¶ 92} We do not find the state’s actions in the case at bar analogous to the
affirmatively misleading conduct by the prosecution described in the cases cited by
Iacona, or otherwise find the described conduct to rise to the level of prosecutorial
misconduct or deprivation of due process. We therefore reject this portion of her
argument.
4
Alleged Intentional Use of False or Misleading Testimony
27
SUPREME COURT OF OHIO
{¶ 93} Iacona argues that, irrespective of the timing of disclosure of the
report to the defense, the state knowingly used false and misleading testimony at
trial regarding the existence of the blood culture. In support of her argument,
Iacona directs us to the trial testimony of several witnesses for the state.
{¶ 94} Dr. Rolf, for instance testified that she had found no evidence of
infection in Baby Boy Iacona other than a inflammation of placental membranes
attached to the umbilical cord and that she found no natural cause or disease that
would cause death immediately after delivery. She further testified that there was
some blood in the heart, but not enough to run some tests that were earlier
mentioned in her testimony. She testified that she “didn’t see any evidence of
infection” in the baby.
{¶ 95} Dr. Challener, Dr. Rolf’s supervisor at the Cuyahoga County
Coroner’s Office, testified that “examination of the tissues of the baby, including
the umbilical cord, showed no evidence whatsoever of inflammation or infection.”
{¶ 96} Iacona argues that “even if the state’s witnesses genuinely believed
the positive blood culture should be discounted as the product of contamination,
testimonial candor required them to state that, yes, there was a ‘sign’ or ‘some
evidence’ of infection in the baby, but that this evidence should be discounted for
whatever reason the state wished to advance.” The question we must answer is
whether such a failure of “testimonial candor” rises to the level of a due process
violation when left uncorrected by the state.
{¶ 97} In support of its argument Iacona directs our attention to State v.
Staten (1984), 14 Ohio App.3d 78
, 14 OBR 91,470 N.E.2d 249
, in which the court held that a prosecutor’s duty of assuring that a criminal defendant receives a fair trial includes an obligation to (1) refrain from knowingly using perjured testimony, (2) disclose evidence favorable to the accused, and (3) correct testimony he knows to be false.Id.
at paragraph one of the syllabus. However, Staten further held that,
in such situations, the issue devolves into an inquiry as to whether a failure to
28
January Term, 2001
correct misleading testimony rises to the level of prosecutorial misconduct so as to
deprive a defendant of due process. “The appropriate standard of review therefore
is to determine * * * whether the prosecutor’s misconduct may have been so
egregious so as to deny [the defendant] the fundamental right to a fair trial.” Id. at 85
, 14 OBR at 98,470 N.E.2d at 256-257
.
{¶ 98} Here the record supports the prosecutor’s protestations that he
believed both that the defense was in possession of the blood culture report and that
it was scientifically insignificant. Indeed, at least two doctors specifically told the
prosecutor or his staff prior to trial that the blood culture report was not significant
and that the positive finding of streptococcus almost certainly resulted from
contamination of the blood sample during the autopsy. Based on the information
the prosecutor had at the time of trial, whether accurate or inaccurate, the prosecutor
was entitled to expect that any deficiencies in his experts’ reasoning would be raised
by the defense during cross-examination. His silence in the face of the expert
testimony cited by Iacona simply does not rise to a level of egregious misconduct
sufficient to support a finding of a deprivation of due process.
{¶ 99} We therefore reject Iacona’s argument concerning presentation of
allegedly false testimony.
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SUPREME COURT OF OHIO
B
Ineffective Assistance of Counsel
{¶ 100} Iacona argues that even if the blood culture report had been
produced prior to trial, her trial counsel were ineffective because they failed to
provide the report to her experts and pursue a defense based on the presence of
group A streptococcus.
{¶ 101} We explained the test for ineffective assistance of counsel in State
v. Bradley (1989), 42 Ohio St.3d 136, 142
,538 N.E.2d 373, 379-380
. Referring to the seminal case of Strickland v. Washington (1984),466 U.S. 668
,104 S.Ct. 2052
,80 L.Ed.2d 674
, we stated:
“[T]he Strickland court set forth the standards to be used in determining
whether counsel has been ineffective and whether a criminal defendant has been
prejudiced thereby. As for ineffectiveness, ‘[w]hen a convicted defendant
complains of the ineffectiveness of counsel’s assistance, the defendant must show
that counsel’s representation fell below an objective standard of reasonableness.’
Strickland, supra, at 687-688
[104 S.Ct. at 2064
,80 L.Ed.2d at 693
]. The court recognized that there are ‘* * * countless ways to provide effective assistance in any given case. * * *’Id. at 689
[104 S.Ct. at 2065
,80 L.Ed.2d at 695
]. Therefore, the court stated that ‘[j]udicial scrutiny of counsel’s performance must be highly deferential. * * *’Id.
[at 688-690,104 S.Ct. at 2065
,80 L.Ed.2d at 694
]. In addition, ‘[b]ecause of the difficulties inherent in making the evaluation, a court must indulge a strong presumption that counsel’s conduct falls within the wide range of reasonable professional assistance * * *.’Id.
[at 688-690,104 S.Ct. at 2065
,80 L.Ed.2d at 694
]. Counsel’s performance will not be deemed ineffective
unless and until counsel’s performance is proved to have fallen below an objective
standard of reasonable representation and, in addition, prejudice arises from
counsel’s performance.”
30
January Term, 2001
{¶ 102} Iacona argues that, assuming the report was timely disclosed, she
was deprived of effective assistance of counsel because both her lawyers, and the
experts procured by her lawyers, missed the reference to group A streptococcus, or
missed its significance, in the blood culture report. We find that these assertions,
even if true, do not demonstrate ineffective assistance of trial counsel.
{¶ 103} Iacona has failed to meet her burden in proving that trial counsel
fell below the wide range of what constitutes reasonable professional assistance.
Her narrow focus ignores the fuller context of her counsel’s performance. To prove
ineffective assistance, Iacona must prove that counsel’s performance does not fall
within one of the “ ‘countless ways to provide effective assistance.’ ” Bradley, 42 Ohio St.3d at 142
,538 N.E.2d at 379
, quoting Strickland,466 U.S. at 689
,104 S.Ct. at 2065
,80 L.Ed.2d at 695
. While defense counsel’s failure to deliver the culture
report to the defense experts, standing alone, may have constituted deficient
performance, that is not the only relevant conduct here. Rather, the dispositive
conduct in regard to Iacona’s ineffective assistance claim is that Iacona’s trial
counsel caused her experts to review the coroner’s original autopsy files. Defense
counsel not only arranged for Iacona’s experts to review the coroner’s autopsy
materials, but even transported the experts to the coroner’s office.
{¶ 104} As noted, the parties dispute whether the blood culture report was
part of the coroner’s file; each side presented contrary testimony. If the coroner’s
files indeed included the report, any deficiency on the part of Iacona’s counsel in
delivering a copy of that report to its experts was remedied. In such a factual
circumstance, defense counsel were not ineffective because Iacona’s experts failed
to review the report or recognize its potential import.
{¶ 105} Further, for the limited purpose of addressing appellant’s claim of
ineffective assistance of counsel, it does not matter whether the blood culture report
was, in fact, contained within the coroner’s files. In assuring that its experts
reviewed the original files at the coroner’s office, defense counsel acted reasonably
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to assure that all relevant medical and scientific information within the possession
of the state was available to defense experts. If the report was not actually in the
file at the coroner’s office, the error of the state can hardly be attributed to defense
counsel.
{¶ 106} We find counsel’s conduct to be within the wide range of
reasonable professional assistance. Because Iacona has failed to satisfy the first
prong of Strickland, her ineffective assistance of counsel claim fails.
C
Due Process—Presentation of Witness Out of Order
{¶ 107} Iacona argues that she was deprived of due process when the trial
court permitted the prosecution to recall an expert out of order during the defense
case-in-chief.
{¶ 108} The record reflects that after its expert first disclosed that the
laboratory blood culture report might have significant evidentiary value, it was the
defense that sought to alter the general order of presentation of evidence by asking
the court for permission to recall that expert after his earlier dismissal. The court
indicated that it would allow state’s expert Dr. Challener to testify, and be cross-
examined, regarding the significance, or lack of significance, of the report. If the
defense then wished to recall their expert, the court stated that it would permit it.
The trial, in fact, proceeded accordingly.
{¶ 109} We find no abuse of the court’s wide discretion in exercising
control over the order of the presentation of witnesses.
D
Due Process—Alleged Impropriety Regarding Probable Evidentiary Rulings
{¶ 110} Iacona further claims that the trial court abused its discretion and
deprived her of due process by threatening her counsel into forgoing a natural-
cause-of-death defense. She contends that the trial court informed her counsel, off
the record, that if the defense were to pursue a sepsis theory of cause of death based
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on the blood culture report, the court would allow the prosecution to present
evidence that Baby Boy Iacona’s premature birth was caused by defendant’s use of
cocaine during her pregnancy.
{¶ 111} The visiting judge assigned to hear the motion for a new trial
referred to this discussion in concluding that Iacona’s “[t]rial counsel made a
reasoned decision to forego [sic] evidence of sepsis being the cause of death given
the trial court’s caution that, in such an event, the prosecution would be permitted
to introduce evidence of defendant’s behavior during pregnancy (i.e., use of
alcohol, cocaine, tanning, etc.).”
{¶ 112} But, as recognized by the court of appeals, which found itself
unable to address the merits of the alleged error in the absence of an App.R. 9(C)
statement, we do not have the actual discussion between the court and counsel
before us in the transcribed proceedings. This court declines to find an abuse of
trial court discretion based on undeveloped accounts of its actions as filtered
through parties’ perceptions.
{¶ 113} Moreover, we take issue with Iacona’s characterization of the facts
it proffers as demonstrating a trial court “threat.” We do not believe it to be
uncommon for a trial court to informally advise counsel as to probable rulings in
the event of hypothetical motions. Such predictions are not improper where, as
here, those evidentiary rulings appear to fall within the range of a sound exercise
of discretion as to the admissibility of evidence.
E
Sentencing
{¶ 114} The court of appeals found that the trial court erred in sentencing
Iacona, a first offender, to more than the shortest prison term authorized by law
without stating on the record that “the shortest prison term will demean the
seriousness of the offender’s conduct or will not adequately protect the public from
future crime by the offender or others.” See R.C. 2929.14(B) and State v.
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Edmonson (1999), 86 Ohio St.3d 324
,715 N.E.2d 131
. Iacona claims that the trial
court evinced bias against her in comments made during sentencing and that the
court of appeals was required to itself impose a minimum term of imprisonment,
rather than remanding the cause to the trial court. Alternatively, she contends that
the court of appeals, if not required to impose the minimum sentence, should have
either elected to do so or directed the trial court to do so on remand.
{¶ 115} We reject this argument. A court of appeals hearing an appeal of
sentencing “may increase, reduce, or otherwise modify a sentence that is appealed
under this section or may vacate the sentence and remand the matter to the
sentencing court for resentencing” if the court clearly and convincingly finds that
the sentence is contrary to law. R.C. 2953.08(G)(2)(b). This statutory language
clearly vests the court of appeals with discretion in determining whether to
resentence the defendant or remand to the trial court for resentencing. Iacona has
failed to demonstrate that the court of appeals abused its discretion by remanding
to the trial court for sentencing, an action we approved in Edmonson.
V
{¶ 116} For the foregoing reasons, the judgment of the court of appeals is
affirmed. Upon remand, the trial court shall resentence Iacona in accordance with
the mandate of the court of appeals.
Judgment affirmed.
RESNICK and F.E. SWEENEY, JJ., concur.
DOUGLAS, PFEIFER and LUNDBERG STRATTON, JJ., concur in part and
dissent in part.
COOK, J., concurs in judgment only.
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January Term, 2001
DOUGLAS, J., concurring in part and dissenting in part.
{¶ 117} I agree and concur with Justice Lundberg Stratton in her discussion
and conclusions with regard to the charges of involuntary manslaughter and abuse
of a corpse. I do not agree that the charge and resulting conviction for child
endangering should stand. If, in fact, there was a streptococcus infection in the
baby at birth, then the evidence tends to show that such deadly bacterium could
bring about death within a few minutes of birth. If this is so then it is difficult for
me to see how the defendant can be charged with “child endangering” as we today
understand that charge.
__________________
LUNDBERG STRATTON, J., concurring in part and dissenting in part.
{¶ 118} I concur with the syllabus paragraphs of the majority opinion, and
I would affirm the convictions for endangering a child and abuse of a corpse.
However, for the reasons set forth below, I would reverse the convictions for
involuntary manslaughter and grant a new trial.
{¶ 119} This case presents difficult issues of who sent, received and/or used
an important blood culture report. I concur with the majority that the blood culture
report would not have affected the outcome of the juvenile bindover proceedings
because there was sufficient other evidence to establish probable cause.
{¶ 120} However, I believe that Exhibit 77, the blood culture report, was
material evidence that the defense should have been able to present to the jury. The
report showed certain streptococcus bacteria in the baby’s blood that would indicate
the presence of infection. This was crucial evidence for the defense. Had it been
presented to the jury and had the jury believed the testimony of the defense experts,
the report could have altered the outcome of the trial and the verdict on involuntary
manslaughter by introducing reasonable doubt. Consequently, I would reverse and
remand this case for a new trial on the charge of involuntary manslaughter.
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{¶ 121} Both sides presented conflicting evidence at the hearing on the
defense motion for new trial. Expert witnesses on behalf of the defense testified
that the positive blood culture reflected a streptococcus infection present in the baby
that was not the result of a contaminated culture. Defense experts testified that
streptococcus is a deadly bacterium that can cause death within minutes after
entering the bloodstream and a premature baby with such an infection in the blood
at birth likely would not have survived without immediate medical attention.
{¶ 122} On the other hand, the state’s experts testified that the blood was
contaminated postmortem and that the culture was not true evidence of an infection
in the baby. There was evidence that the baby was born alive and was able to
breathe for a few minutes. Autopsy results indicated the presence of air in the
baby’s lungs, stomach and small intestines. In addition, there was no evidence of
infection in the baby’s tissue.
{¶ 123} The expert witnesses were divided and there was evidence to
support both sides of the issue. Therefore, I believe that this should have been a
question for the jury to decide. I believe that this testimony establishes a reasonable
probability that the outcome of the trial regarding the convictions for involuntary
manslaughter could have been different had the jury been permitted to hear such
evidence and believed the defense experts. On that basis, I would reverse the
convictions for involuntary manslaughter and grant a new trial.
{¶ 124} Regarding the dispute over whether defense counsel received a
copy of the blood culture report, defense counsel and defense expert witnesses
testified that they had no knowledge of the blood culture report until late in the trial
during Dr. Meadow’s cross-examination. Witnesses for the prosecution testified
that the report had been provided to the defense and was also available for review
at the Cuyahoga County Coroner’s Office. The trial court determined that both
sides presented evidence of “equal weight” concerning the disclosure or
nondisclosure of the report. There is no indication whether the court believed one
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January Term, 2001
side over the other. Yet the court placed the burden upon the defense to prove that
it did not receive a copy of the report. Other than of the testimony of original trial
counsel, I fail to see how the defense could meet such a burden of proving a
negative, that it did not receive a copy of the report. Crim.R. 16 places the duty
upon the state to disclose exculpatory evidence. The report was clearly Brady
material. I believe that the trial court improperly placed the burden upon the
defense in this instance to prove that it did not receive the report instead of requiring
the state to prove that it produced the report.
{¶ 125} Finally, if one assumes that defense counsel did receive a copy of
the blood culture report, then I would find that counsel failed to effectively utilize
it. Defense counsel failed to glean its significance and develop a defense theory
based upon a cause of death that was not homicide. There was testimony at the
hearing on the motion for a new trial that this evidence could have been the basis
for a crucial defense, and at a minimum it was a question for the jury. Had counsel
developed a theory based upon an alternate cause of death, I believe that there was
a reasonable probability that the outcome of the proceedings could have been
different.
{¶ 126} However, defense counsel did not even discuss the report with
defense experts. Counsel claim that this is because they were unaware of the report.
But if one were to believe that the failure to use the report was a deliberate choice,
this decision cannot be swept aside merely as a strategic decision. The existence
of a positive blood culture was material and defense counsel’s failure to use this
evidence, if actually received, undermined confidence in the trial’s outcome and
prejudiced the defendant. I disagree with the majority that, upon discovering the
blood culture report midtrial, defense counsel could have sought a continuance. To
create an effective defense based upon the report, reference to the report would
have permeated the entire aspect of the defense case beginning with voir dire. I do
not believe that a continuance upon late discovery would have been sufficient to
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cure the defect. Consequently, I would reverse the convictions for involuntary
manslaughter and grant a new trial.
{¶ 127} As for the convictions for child endangering and abuse of a corpse,
I would affirm the judgment of the court of appeals. Had the defendant notified
someone once she went into labor and had gone to a hospital, the outcome may
have been different even if the streptococcus infection was present. By choosing
to deliver the baby alone in a basement, the defendant sealed the child’s fate at that
time. The acts of covering the baby with a towel, wrapping it in plastic bags, then
hiding it in the basement certainly constitute sufficient evidence of abuse of a
corpse.
{¶ 128} Therefore, I concur with the judgment of the court of appeals in
affirming the convictions for endangering a child and abuse of a corpse. However,
I would reverse the convictions for involuntary manslaughter and remand for
retrial.
DOUGLAS and PFEIFER, JJ., concur in the foregoing opinion.
__________________
Dean Holman, Medina County Prosecuting Attorney, and Joseph F.
Salzgeber, Assistant Prosecuting Attorney, for appellee.
Gold & Schwartz Co., L.P.A., Niki Z. Schwartz and Orville E. Stifel II, for
appellant.
__________________
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