Lead Opinion
Byron Morales petitions the Court for a writ of habeas corpus pursuant to 28 U.S.C. § 2254 (2000). He challenges his 1997 Iowa state court conviction for first-degree murder, which was upheld by the Iowa Court of Appeals on direct appeal and in post-conviction proceedings. Morales asserts two grounds for habeas relief: (1) he received ineffective assistance of trial counsel in violation of the Sixth Amendment to the United States Constitution and (2) the state failed to disclose potentially exculpatory evidence in violation of Brady v. Maryland,
I.
Shortly after 1:00 p.m. on November 10, 1995, Byron Morales made an emergency call to 911 and reported that his two-year-old son
On November 11, 1995, Dr. Thomas Bennett, then the Iowa State Medical Examiner, performed an autopsy of Kevin’s body. Dr. Bennett concluded that Kevin’s brain injuries were acute, not chronic. He based his opinion in part on an examination of microscopic slides taken during the
Subsequent to Morales’s arrest, his first attorney, James Benzoni, requested that a second autopsy be performed. He hired Dr. Michael Berkland, then the Deputy Medical Examiner in Kansas City, Missouri, to conduct the second autopsy. In conducting his autopsy, Dr. Berkland had access to Dr. Bennett’s autopsy report, the microscopic slides, and Kevin’s body. Because prosecutor Melodee Hanes had given instructions not to release Kevin’s medical records to the defense team, however, Dr. Berkland did not at that time have the medical reports of the emergency-room physicians who diagnosed the hematoma as chronic in nature. Dr. Berkland concurred with Dr. Bennett that the injuries to Kevin’s brain were acute.
In December 1995, the county prosecutor’s office arranged a meeting at Dr. Carl-strom’s office that was attended by four prosecutors and Doctors Bennett, Carl-strom, and Moorman. Morales’s attorneys were not notified about the meeting. During the meeting, Dr. Bennett reported that the microscopic autopsy slides showed that Kevin’s brain hematoma was acute, not chronic. As a result of Dr. Bennett’s conclusions and without examining the slides themselves, Doctors Carlstrom and Moor-man changed their opinions to align with Dr. Bennett’s opinion that the injury was acute.
A jury trial was held in December 1996 in the Iowa District Court for Polk County. Morales was represented by Rodney Ryan and John Spellman. His theory of defense was that Kevin fell down a flight of eight stairs on November 10, 1995, thereby aggravating a preexisting hemato-ma and leading to his death. The jury found Morales guilty of first-degree murder, and the trial court sentenced him to life in prison. The Iowa Court of Appeals affirmed the conviction. Morales then sought post-conviction relief, which the Iowa courts denied. Thereafter, he filed his federal petition for writ of habeas corpus, which the District Court denied. Morales now appeals the denial of the writ.
II.
This is a sad and difficult case. A young boy is dead, while his father’s conviction for the death rests on judicial proceedings that have raised multiple questions of fairness and just prosecution. Every court that has reviewed this case has been struck by certain aspects of the trial and actions of prosecutors that violate the fundamental notions of fair play on which our legal system is based. For example, the Iowa District Court for Polk County, addressing Morales’s application for post-conviction relief, found prosecutor Hanes’s instruction to withhold medical records from the defense team prior to the second autopsy “suspicious at best” and the prosecution-arranged meeting at which Kevin’s treating physicians changed their opinions about the nature of Kevin’s brain injury “questionable.” Morales v. Iowa, No. PCCE 37829, slip op. at 3, 19 (Iowa District Court for Polk County Apr. 30, 2001). The Iowa Court of Appeals, while affirming the denial of post-conviction relief, “agree[d] with Morales that certain questionable activities and practices, which became known after his trial, cast a level of doubt on some evidence used to convict Morales in the death of his son.” Morales
A prosecutor instructed that evidence be withheld. Prosecutors arranged a meeting between the Medical Examiner and treating physicians, arguably to impact them trial testimony to be more consistent with that of the Medical Examiner. Important microscopic slide evidence, relied upon by the Medical Examiner, was not pursued by defense counsel or produced by the prosecution during the trial, and the slides were destroyed while the case was on appeal. Similar opinions by this Medical Examiner, often based upon such slides, have arguably been discredited in other cases. The treating surgeon has now recanted his trial testimony, at least to the extent of placing any reliance on the opinions of the Medical Examiner. Defense counsel failed to pursue the slides, failed to interview treating physicians before their trial testimony, failed to investigate the Medical Examiner even by simply networking with other defense lawyers, failed to pursue the meeting between the Medical Examiner and other physicians in relation to their apparent change in position at trial from their prior reports, failed to make objections necessary to preserving a record for appeal, and failed to make an adequate offer of proof regarding the romantic relationship between a prosecutor and the Medical Examiner.
Id. at 2-3.
Like the courts preceding us, we are troubled by these incidents and add our condemnation of such practices. That said, however, we conclude that Morales’s petition for habeas relief must be denied. Quite simply, our decision in this case hinges on the standard of review that Congress has given us to apply.
Pursuant to the Anti-Terrorism and Effective Death Penalty Act of 1996 (AEDPA), when a state prisoner files a petition for writ of habeas corpus in federal court we are directed to undertake only a “limited and deferential review of [the] underlying state court decisions.” Lomholt v. Iowa,
Perhaps we would have reached a result different from the result reached by the Iowa courts, but we cannot deem the state courts’ application of the law unreasonable or its factual findings clearly rebutted. Like the District Court, we find support for the state courts’ determination that the overwhelming evidence of Morales’s guilt overcame the defects in his criminal proceedings. We therefore affirm the District Court’s denial of the habeas petition.
III.
As his first ground for habeas relief, Morales asserts that his Sixth Amendment rights were violated because his trial attorneys were ineffective.
“A criminal defendant is constitutionally entitled to the effective assistance of counsel on direct appeal, as well as at trial.” Bear Stops v. United States,
Morales sets forth a number of errors allegedly committed by his trial counsel. First, he argues that his counsel “breached their duty to investigate” by failing to discover the microscopic autopsy slides of Kevin’s hematoma and by failing to understand the slides’ significance, particularly their influence on the opinions of Doctors Carlstrom and Moorman. Appellant’s Br. at 23. Second, Morales criticizes counsel’s treatment of Dr. Bennett, the Iowa Medical Examiner. Morales asserts that counsel failed to uncover readily available “impeachment material” about Dr. Bennett, id. at 25, and ineffectively used the impeachment material that they did have by making only a professional state
The Iowa Court of Appeals addressed each of these asserted errors and concluded that they did not prejudice the result of Morales’s trial. We cannot say that this conclusion was unreasonable. Although the list of errors is disturbing, when we step back and consider all of the evidence pointing to Morales’s guilt we have little difficulty concluding that the errors had no effect on the outcome of the trial. Morales cannot satisfy Strickland’s prejudice prong. See Reed v. Norris,
First, we note that no less than seven doctors testified that Kevin’s injuries were not consistent with a fall down stairs— Morales’s defense theory. For example, Dr. Christopher Ellerbroek, a pediatric radiologist, testified that Kevin suffered an acute, massive brain injury that could not be caused by a fall down a flight of stairs, even one with a concrete wall at the bottom. Dr. Ellerbroek opined that Kevin’s head was either struck by an object or struck a fixed object while moving rapidly. Dr. Ellerbroek’s conclusions were supported by Dr. Charles Jennissen, the pediatric physician who treated Kevin in the emergency room. Dr. Jennissen testified that Kevin’s CT scan revealed a large scalp hematoma, bleeding in the subarach-noid and subdural spaces of the brain, and an extensive skull fracture. Dr. Jennissen opined that retinal hemorrhages discovered during the autopsy were “nearly pa-thognomonic of a non-accidental injury.” J.A. at 311. Dr. Jennissen further opined that “serious injury from a fall down a stairs is extremely uncommon,” id. at 314, and concluded that Kevin’s injuries were consistent with being shaken and then slammed into an object.
Many of the testifying physicians attempted to quantify the amount of force that was necessary to cause Kevin’s brain injury. Dr. Ellerbroek described the necessary force as “a massive amount of force that we see in very serious motor vehicle accidents ... the kind of force you would expect to see if a child were to fall from a third or fourth story window.” Id. at 423.
The whole of Dr. Bennett’s testimony was cumulative of the testimony of the state’s other experts. Even if Dr. Bennett had been impeached at trial and his testimony completely discredited, therefore, the jury would likely have found Kevin’s injury to be the result of Shaken-Slammed Baby Syndrome, rather than a fall down the stairs.
Morales’s own expert doctor confirmed much of what the state’s doctors found.
The non-medical evidence in the case also supports the Iowa Court of Appeals’s finding of “overwhelming” evidence of Morales’s guilt. Morales v. Iowa, No. 2-520/01-1828,
After examining the record, we conclude that the ruling of the Iowa Court of Appeals did not involve an unreasonable application of federal law. The state court was reasonable in its determination that overwhelming evidence of Morales’s guilt overcame any trial defects affected by Morales’s counsel. The District Court did
IV.
Morales’s second claim is that the state failed to disclose potentially exculpatory evidence in violation of Brady v. Maryland,
Morales contends that the state committed three Brady violations: (1) the state did not release the medical records of Doctors Frecentese, Moorman, and Carlstrom prior to Dr. Berkland’s autopsy of Kevin, (2) the state did not tender the microscopic autopsy slides to Morales’s trial counsel, and (3) the state destroyed the microscopic autopsy slides while Morales’s case was on direct appeal. After considering each of these assertions, the Iowa courts determined that no Brady violation exists to warrant a new trial. We cannot find that determination unreasonable or contrary to federal law.
Morales’s first argument is that the state violated Brady by failing to turn over the medical records of Kevin’s treating physicians on or before the date of the second autopsy. While Morales concedes that the state produced these medical records prior to trial (the record shows that they were produced about a year in advance of trial and were used by the defense at trial), he argues that the records would have been exculpatory if received by Dr. Berkland prior to his autopsy of Kevin because they would have influenced Dr. Berkland “to conclude that Kevin’s hema-toma was an old injury with a ‘rebleed,’ ” rather than an acute injury. Appellant’s Br. at 35. The Iowa post-conviction district court rejected this argument based on Dr. Berkland’s post-conviction testimony that his review of the medical records, albeit after the autopsy, did not change his opinion that Kevin’s injury was acute or hyper-acute. Accordingly, the state court found that Morales could establish no prejudice from this potential Brady violation. We agree. Given Dr. Berkland’s testimony to the contrary, Morales did not show a reasonable probability that the “suppressed”
One of the fundamental tenets of Brady is that exculpatory evidence was actually suppressed. Brady v. Maryland,373 U.S. 85 , 87,83 S.Ct. 1194 ,10 L.Ed.2d 215 (1963). The court notes that the microscopic slides were produced to Petitioner via his hired medical consultant, Dr. BerMand. Testimony of Doctor BerMand, Apr. 16, 2001. Additionally, the court does not find any evidence in the record that the microscopic slides were withheld at any point up to and through the original trial.
Morales v. Iowa, No. PCCE 37829, slip op. at 5 n. 3 (Iowa District Court for Polk County Apr. 30, 2001). The Iowa Court of Appeals similarly found that the “slides were made available to Morales’s original counsel and defense expert.” Morales v. Iowa, No. 2-520/01-1328,
The Iowa courts’ second basis for rejecting this argument was the lack of “direct evidence that the microscopic slides were ‘exculpatory.’ ” Morales v. Iowa, No. PCCE 37829, slip op. at 7 (Iowa District Court for Polk County Apr. 30, 2001). Again we find the state courts’ determination reasonable. Dr. Berkland reviewed the slides and, despite having an incentive as a defense expert to make findings in Morales’s favor, concurred with Dr. Bennett’s autopsy findings. See United States v. Rouse,
Finally, Morales asserts that the state violated Brady by destroying the microscopic autopsy slides while his direct appeal was pending. Because Morales failed to demonstrate that the slides were suppressed and were exculpatory, as discussed above, the Iowa courts rejected this argument. The state courts were reasonable in reaching this conclusion. The Iowa Court of Appeals also held that Morales failed to demonstrate that the state destroyed the slides in bad faith. To establish a due-process violation when a state destroys evidence that is potentially useful to a criminal defendant, the defendant must show that the state acted in bad faith. Illinois v. Fisher
V.
For the reasons discussed, the District Court’s denial of Morales’s petition for writ of habeas corpus is affirmed.
Notes
. The Honorable James E. Gritzner, United States District Judge for the Southern District of Iowa.
. Kevin was born to Morales's wife and adopted by Morales.
. We review the District Court's factual findings for clear error and its legal conclusions de novo. See Johnston v. Luebbers,
. The Iowa Court of Appeals also rejected the notion that the performance of attorneys Spellman and Ryan fell outside the wide range of professional assistance deemed constitutionally acceptable. Because we conclude that the state courts' application of Strickland’s prejudice prong was not unreasonable, however, we need not address its application of Strickland's performance prong. See Blankenship v. United States,
. We agree with the District Court that evidence of Dr. Bennett's marriage to prosecutor Hanes should have been permitted at trial to imply bias. As the District Court recognized, however,
such an attack on Dr. Bennett’s potential bias pales in comparison to the other evidence in the case that is consistent with Dr. Bennett's opinion. It would have been preferable for counsel to have made a detailed offer of proof to demonstrate to the trial court and reviewing courts the nature of the relationship and its potential impact on Dr. Bennett's testimony, but the issue was minimally preserved for appellate review. The Iowa courts found that the other evidence of guilt was so overwhelming that any error as to this evidence was not prejudicial, and that finding cannot be found unreasonable.
Morales v. Ault, No. 4:03-cv-40347,
. We do not mean to exculpate the inappropriate meeting arranged by prosecutors presumably for the purpose of influencing the opinions of Kevin's treating physicians based on Dr. Bennett’s interpretation of the microscopic slides. Rather, we are simply concluding that the state courts were not unreasonable in finding that this meeting, unrevealed to Morales’s trial counsel, did not prejudice Morales.
We also note that the jury was made aware that Dr. Frecentese changed his medical opinion about the nature of Kevin’s injuries (though it does not appear that Dr. Frecentese was at the secret meeting). Dr. Frecentese testified that while his initial interpretation of the x-rays was that Kevin suffered a chronic hematoma with an acute rebleed, after reviewing the medical literature he opined that the injury was acute, inflicted very close in time to the CT scan.
. Having assumed that there was no procedural obstacle to Morales's claim of ineffective assistance of trial counsel, we have concluded that this claim was appropriately rejected. It is therefore not necessary for us to address the merits of whether Morales was procedurally barred from raising the claim. See Odem v. Hopkins,
. We question whether the medical records were truly suppressed under Brady’s second prong given that the state produced them a year before trial. See United States v. Almendares,
. We reject Appellee's argument that this Brady claim was not preserved.
Dissenting Opinion
dissenting.
I respectfully dissent.
There is no overwhelming evidence of guilt in this case. The jury never heard the complete medical facts because counsel failed to interview the most important witnesses, Kevin’s treating physicians.
As of the trial, Morales’s counsel knew or should have known the following: (1) Doctors Carlstrom and Moorman treated Kevin on the night he died; (2) Doctors Carlstrom and Moorman concluded, at the time he was admitted to the hospital, that Kevin died as a result of a rebleed of a chronic subdural hematoma; (3) Kevin’s medical records, the CT Scan, and Doctor Carlstrom’s observations of Kevin’s skull during surgery showed that the blood in Kevin’s head displayed characteristics consistent with a rebleed of a chronic subdural hematoma; (4) Doctors Carlstrom and Moorman attended a meeting (along with another one of Kevin’s treating physicians) orchestrated and attended by at least four county prosecutors and medical examiner Doctor Bennett, all of whom maintained that Kevin died from shaken-slammed baby syndrome; (5) one of the county prosecutors who attended the meeting assisted in a child death review team and was romantically involved with medical examiner Doctor Bennett; (6) after the meeting, Doctors Carlstrom and Moorman changed their opinions to be consistent with those of Doctor Bennett and the government that Kevin died from shaken-slammed baby syndrome; and (7) Doctors Carlstrom and Moorman would testify for the government at trial.
Yet, despite this knowledge, the record shows that trial counsel did not personally interview Doctor Carlstrom or Doctor Moorman. It is clearly established that “[defense] counsel has a duty to make reasonable investigations or to make a reasonable decision that makes particular investigations unnecessary.” Strickland v. Washington,
This deficient representation undoubtedly undermines any confidence in the verdict against Morales, see Strickland,
Armed with the information counsel would have obtained by interviewing the physicians, Morales’s trial would have been quite different. First, Doctor Carl-strom’s testimony would have been less persuasive, if not entirely different. Judge Sackett of the Iowa Court of Appeals, writing separately in this case on direct appeal, explained that in determining that Kevin suffered from shaken-slammed baby syndrome he “look[ed] particularly to the testimony of Dr. Thomas Carlstrom, the neurosurgeon who operated on the victim[J” If counsel had interviewed Doctor Carlstrom, a jury would have heard his original (and current) opinions as to the cause of Kevin’s death: the blood in Kevin’s skull was liquid, consistent with a rebleed of a chronic hematoma; the CT scan and other treating physicians confirmed this observation and diagnosis; the injury Doctor Carlstrom had observed was the type of injury that very little trauma could cause to rebleed; a fall down a flight of stairs, hitting a concrete wall at the bottom, could cause a linear fracture and, because of the presence of the chronic hematoma, could cause a rebleed and ultimately death.
By way of example, of the information described above, the jury heard Doctor Carlstrom state, on direct examination, that the blood in Kevin’s skull was liquid and that was “a bit unusual.” On cross examination, Doctor Carlstrom surmised that Kevin’s blood was probably unable to clot. Had counsel interviewed or made a complete investigation of Doctor Carlstrom prior to trial, counsel could have confidently inquired further and a jury would have heard Doctor Carlstrom state, as he did in his post-conviction testimony:
Well, I think that the blood clot itself, when I saw it, what I saw at the time of surgery and on the CT scan, everything that I saw pointed to this blood clot being an old blood clot. I was quite certain it was. I have never seen a brand-new blood clot liquid like this one was. This would be the only case I have ever seen like that, and the only explanation for it could be that undeniable pathological identification would indicate that there was no — that this was not achronic subdural hematoma. I still can’t explain how one can have a blood clot hours old that was all liquid. That’s a very difficult — a very difficult pathological — very difficult to occur.
App. at 660.
In addition, if counsel had investigated the cause of the doctors’ changed opinions, they could have presented that information in court, discrediting not only Doctor Bennett, the state medical examiner,
Both the district court and my colleagues on this court have noted that every court that has reviewed this case has been troubled by issues of fairness it presents. Those issues represent substantial flaws in Morales’s conviction. Those flaws should have bothered Morales’s trial counsel enough to prompt them to fully prepare and investigate a case calling for a possible life sentence.
Accordingly, I dissent. Morales is entitled to relief and the writ of habeas corpus should have been ordered by the district court.
. As part of the record before us, I have examined two pages (which was all that was provided to this court) of deposition testimony of Doctor Carlstrom, apparently taken by Morales's former counsel prior to trial and which were available to Morales’s trial counsel. Counsel’s reliance on this deposition alone serves as inadequate investigation of the doctors' change in testimony. The deposition reveals that Doctor Carlstrom changed his original medical opinion, which he had based on his own personal observations, upon inducement by the medical examiner and not based on any objective medical evidence that Doctor Carlstrom had observed. The information gleaned from the deposition, at a minimum, required further investigation by competent counsel in preparation for trial.
Indeed, a number of the other bases on which Morales argues ineffective assistance of counsel, such as failure to investigate and impeach Doctor Bennett and failure to pursue the slides, are derivative of counsel's failure to interview Doctors Carlstrom and Moorman. These two interviews would have resulted in counsel’s appreciation of the significance of the slides and Doctor Bennett's improper influence as avenues for Morales's defense. The slides, unfortunately, are no longer available as they have been destroyed by the State of Iowa.
. See App. at 660-663 (from Doctor Carl-strom's post-conviction testimony).
. Characterization of Doctor Bennett’s testimony by the state courts as "cumulative” belittles the weight a jury would give a state medical examiner's testimony. See Iowa v. Morales, No. 8-074/97-152, slip op. at 6 (April 24, 1998) (enbanc).
. Doctor Carlstrom has stated now that he no longer considers Doctor Bennett trustworthy, explaining: "I think that Dr. Bennett’s testimony in other child abuse cases has come into question because I think he's just a bit overzealous in his opinion giving. I have disagreed with his opinions on a number of occasions.” App. at 661.
If only Morales’s counsel had fully investigated this case, Doctor Carlstrom's skepticism of Doctor Bennett would not have come so late.
