At Ohio Appellate Insights, we are happy to announce that Porter Wright has “acquired” the long-running and well-regarded blog, Legally Speaking Ohio. Legally Speaking Ohio was run by University of Cincinnati Professor Emerita (and former First District Court of Appeals Judge) Marianna Brown Bettman, who is retiring this summer. Professor Bettman announced the transition here.

Continue Reading Appellate mergers and acquisitions (and retirements): The Legally Speaking Ohio legacy

It has been an honor and a joy for me, Professor Emerita Marianna Bettman, to blog about cases in the Supreme Court of Ohio for more than a decade. Yet everything has a season, and the time has come for me to retire Legally Speaking Ohio. I am grateful to my many student contributors from the University of Cincinnati College of Law who have given so much to the blog. I thank all who have read the blog. State law often gets short shrift in law schools even though it significantly affects our lives.

I am pleased that the Appellate Practice Group at Porter Wright Morris & Arthur, LLP, has agreed to preserve access to Legally Speaking Ohio’s years of content about the Supreme Court of Ohio after the retirement of my blog.  Porter Wright’s new blog, Ohio Appellate Insights, which is managed by an OSBA Certified Appellate Specialist (Terry Posey) and the chair of the firm’s Appellate Practice Group (Brad Hughes), includes news, analysis, tips, and resources about Ohio’s courts of appeals – including the Supreme Court of Ohio. I encourage followers of Legally Speaking Ohio to subscribe to Ohio Appellate Insights and to visit that blog for appellate-focused content that Terry & Brad’s team will be posting going forward. All the information that my students and I have collected, analyzed, and summarized over the years will continue to be available here on the blog’s home page at https://legallyspeakingohio.com.

“You are assuming that being under the influence was the cause. What if it wasn’t the cause? What if distracted driving was?”

Justice Kennedy, to counsel for Schubert

“If we affirm the court of appeals does this give license to all enforcement officers anywhere and everywhere to rely on a warrant that doesn’t have probable cause, by using the good faith exception, to always look into a cellphone?”

Justice Stewart to the Assistant County Prosecutor

On April 27, 2022, the Supreme Court of Ohio heard oral argument in State of Ohio v. Alan Schubert, 2021-0761. At issue in this case is whether police officers may reasonably rely on a search warrant issued for a cell phone despite scant factual evidence linking it to a crime. The case was argued at Miami Trace High School in Fayette County as part the Court’s off-site program.

Case Background

In June 2018, Alan Schubert, driving a Jeep in Licking County, allegedly crossed the center line and caused a crash, which killed another driver. Police obtained a search warrant to test Schubert’s blood, which allegedly contained illegal concentrations of amphetamine and methamphetamine.

Police then obtained two additional search warrants, authorizing their search of three cell phones found at the crash scene. The first warrant authorizing a search of the phones was issued November 2018 by Franklin County Municipal Court Judge Amy Salerno; the second March 2019 by Franklin County Municipal Court Judge Paul Herbert. All the phones belonged to Schubert, and he allegedly stored child pornography on one of them. He was charged with six counts of pandering obscenity of a minor. Schubert contested the validity of all three warrants, arguing police lacked the required probable cause to obtain them. Licking County Common Pleas Court Judge Thomas M. Marcelain overruled Schubert’s motion to suppress evidence found on his phones. Schubert entered no-contest pleas to the six pandering charges, as well as to aggravated vehicular homicide. He was convicted and sentenced to twelve years.

The Appeal

Schubert appealed his conviction to the Fifth District. The Fifth District held that the warrant authorizing the collection of Schubert’s blood and the March 2019 search warrant in which the forensic examiner observed photographs of nude juvenile females contained probable cause. But Judges William B. Hoffman, Scott Gwin, and Earle E. Wise all agreed with Schubert’s claim that the November 2018 Salerno search warrant for the three cellphones lacked probable cause. However, Judges Hoffman and Gwin found the good-faith exception applied, and that the trial court properly denied Schubert’s motion to suppress evidence.

The use of the word “may” in the affidavit proved fatal to its validity, according to the Fifth District. It showed the officer “did not have a fair probability to believe evidence [concerning the crash] was in the cell phone data, but rather was merely speculating.” Finding probable cause in this case would allow officers to search phones after any car crash, as they may find evidence therein. The Fifth District declined to establish such a rule.

However, the Fifth District majority found suppressing evidence was not warranted in this case, as the officers reasonably relied on the faulty warrant. The court applied the good-faith exception and affirmed the trial court’s denial of Schubert’s motion to suppress.

Judge Wise dissented on the application of the good faith exception, writing that the good-faith exception should not apply. Judge Wise instead wrote that the data sought in the phone was not linked with any particularity to criminal activity. Police offered “no evidence” that Schubert had been using his phone during or preceding the crash and instead relied on “speculation.” Citing United States v. Leon, the United States Supreme Court case that established the good-faith exception, Judge Wise wrote the exception does not apply when a warrant fails to “particularize the . . . things to be seized.”

Read the oral argument preview of the case here.

Key Statutes and Precedent

U.S. Constitution, Amendment IV (“The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no warrants shall issue, but upon probable cause, supported by oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.”)

Ohio Constitution, Article I, Section 14 (“The right of the people to be secure in their persons … against unreasonable searches and seizures shall not be violated; and no warrant shall issue, but upon probable cause, supported by oath or affirmation, particularly describing … the person … to be seized.”)

Nathanson v. United States, 290 U.S. 41 (1933) (holding “mere suspicion” is insufficient for a finding of probable cause.)

Aguilar v. Texas, 378 U.S. 108 (1964) (The Fourth Amendment’s protection requires that “inferences be drawn by a neutral and detached magistrate instead of being judged by the officer engaged in the often competitive enterprise of ferreting out crime.”)

Spinelli v. United States, 393 U.S. 410 (1969) (A magistrates’ “determination of probable cause should be paid great deference by reviewing courts.”)

Illinois v. Gates, 462 U.S. 213 (1983) (“The task of the issuing magistrate is simply to make a practical, common-sense decision whether, given all the circumstances . . . there is a fair probability that contraband or evidence of a crime will be found in a particular place.”)

*United States v. Leon, 468 U.S. 897 (1984) (“When police act in an objectively reasonable manner in executing a search believed in good faith to be legal, there is no bad conduct to deter” under the exclusionary rule. . . . “[A] warrant may be so facially deficient — i.e., in failing to particularize the place to be searched or the things to be seized — that the executing officers cannot reasonably presume it to be valid.”)

State v. Wilmoth, 22 Ohio St. 3d 251 (1986) (in which the Supreme Court of Ohio adopts the Leon good-faith exception.)

Ornelas v. United States, 517 U.S. 690 (1996) (“[A] reviewing court should take care both to review findings of historical fact only for clear error and to give due weight to inferences drawn from those facts by resident judges and local law enforcement officers.”)

United States v. Laughton, 409 F.3d 744 (6th Cir. 2005) (reversing district court’s validation of warrant under the good-faith exception upon finding no nexus between place to be searched and alleged criminal activity.)

*State v. Hoffman, 2014-Ohio-4795 (“[T]he purpose of the exclusionary rule is to deter unlawful police conduct.”)

*State v. Castagnola2015-Ohio-1565 (in suppressing evidence based on invalid search warrant, Supreme Court of Ohio writes, in part, that “the broad language of this search warrant clearly included items that were not subject to seizure. The search warrant permitted [an officer] to examine every record or document on [appellant’s] computer in order to find any evidence of the alleged crimes.”)

Stevenson v. State, 168 A.3d 967 (2017) (finding officers relied in good faith on warrant backed by affidavit that stated, “It is through my knowledge and experience that suspects in robberies and assaults will sometimes take pictures, videos and send messages about their criminal activities on their cellular phones. I am wishing to search this phone to attempt to recover any evidence of the robbery and assault of [the victim] which may be stored on the phone . . . “)

*cited by counsel at argument

Schubert’s Third Proposition of Law Accepted for Review

An officer cannot reasonably presume a warrant to search a cell phone found at a crash scene is valid, when the affidavit supporting the warrant only states that the police “may” find evidence of how a crash occurred on the phone, without any actual evidence that the driver was using his phone when the crash occurred.

At Oral Argument

Arguing Counsel

April P. Campbell, Campbell Law LLC, Delaware, for Appellant Alan Schubert

Clay Mischka, Assistant Prosecuting Attorney, Licking County, for Appellee State of Ohio

Schubert’s Argument

For the good faith exception to apply it is not enough when asking to search a particular place to say that evidence might be found in that place. Courts have traditionally found that the good faith exception does not apply without specific facts to back up the belief whether it may be a belief that evidence might be found or whether it is a conclusion that evidence will be found.

In this case the trial court was pretty clear that the court believed that any time there’s a car crash, but the reason why is unknown, a search of the phone is permissible to see if there is evidence of distracted driving. That is a mere possibility, and one which is based on a speculation that the phone was used at all. There must be some sort of factual circumstance to support the conclusion that the evidence might be found in a particular place. There are no such facts here. An example would be a witness who saw something in the defendant’s hand or saw a rectangular object fly out of the car. There must be something, some factual support upon which the belief is formed. The fact that there were drugs in Mr. Schubert’s system provides the cause of the accident. He was impaired. He was high. But it does not provide a cause to get into someone’s phone. There is no causal connection.

Distracted driving is only a possibility. It’s just as likely that Mr. Schubert was rummaging around looking for methamphetamines and discovered he had already consumed them. And there are many causes of distracted driving that have nothing to do with a phone. The point is there must be a causal connection between any sort of factual circumstances and the place sought to be searched. The affiant has to provide the circumstances on which his belief is formed in order for the neutral detached magistrate to be able to say, yes, that’s fair. There must be objective reasonableness to presume that the place to be searched is going to be the right place to search. There must be a nexus between the place sought to be searched and any sort of facts to back up that connection.

The Leon court specifically noted that the good faith exception is not intended to create an excuse for magistrates to start rubber stamping everything. The Leon court describes why objective reasonableness is required. Objective reasonableness does deter police misconduct.

Privacy interests also must be discussed in this case. Privacy interests in cell phones are very high. They are too high to say that any time there is a car crash a warrant can be obtained and the phone searched. If a driver tells an officer he just ran a red light, with no reason, that does not allow the officer to get into the driver’s phone without a warrant.

In this case the Fifth District should have found that the good faith exception did not apply.

State’s Argument

If the Court were to adopt the appellant’s proposition of law, every officer, after they have received a signed search or arrest warrant, would now have to doubt the magistrate’s decision going forward. That would be a dangerous situation for pretty much every search warrant.

The state believes there was probable cause in this case, as did the initial magistrate and the trial court. Only the majority in the court of appeals did not. The affidavit set forth that these three phones were found at the collision. There was only the decedent and no recollection from the defendant in this case. There were no witnesses. Based on the accident reconstruction, and the opinions of the initial trooper who got there, it appeared that Mr. Schubert crossed the double yellow lines. Recklessness was involved here, and he was charged with that. The standard of recklessness would take it above a normal accident between two cars and something where distracted driving was the cause versus just simply going over the line for a moment.

It is the state’s position that there was enough here because of where the cell phones were found at the scene. Regardless, there is still a level of privacy here. None of the data pulled from that initial search warrant was ever pulled from the actual device. The data was pulled from the SD cards that were taken out of the device due to the search warrant. The victim is deceased, and the defendant has no memory. There were no witnesses to this accident at any time. At some point it needs to be established how the accident occurred and whether distracted driving was a cause. If there was an error here, it was not on the officer who receives the warrant. Their job is essentially done as they believe the probable cause is there as stated by the judge or the magistrate who issued that warrant. But there will still be cases where the good faith exception does not apply.

If the Court is to state in this case that the good faith exception does not apply, who or what is being deterred? What is the benefit for the courts in this situation? There are two independent officers both going forward with the belief of probable cause in this warrant. The court of appeals should be affirmed in this case.

What Was On Their Minds

Probable Cause

Doesn’t there have to be some daylight between what is bare bones and what’s probable cause, asked Justice DeWine? What are some facts that would allow an officer to rely on it but wouldn’t amount to probable cause?

What about the fact that the phone was turned on, asked Chief Justice O’Connor?

We have a fatality car crash, noted Justice Kennedy. We have an individual who tests positive for methamphetamines and amphetamines. He has no memory of the crash or how it occurred. Three cellphones are found at the scene of the crash. Law enforcement is investigating how the crash occurred. That’s not sufficient?

Assuming that we agree that there was some probable cause for the warrant but do not recognize the good faith of the officer here wouldn’t we be requiring the officer to have more legal knowledge than the magistrate who issued the warrant, asked Justice Stewart? Is the defense asking us to say the officers in that scenario should technically overrule the magistrate or the judicial officers’ issuance of the warrant and not execute it? Later she noted there’s no indication that these phones could have been a cause. And at the time the warrant was requested the state already had the results and knew this individual was severely intoxicated and had a large amount of drugs in his system which arguably was the main cause of this accident. And the affiant said there “may” be evidence-it’s not a possible cause determination, it’s a probable cause determination.

Does the state concede there was not probable cause here, asked Justice Fischer? (the state did not) Why?

The Affidavit

This affidavit described exactly the circumstances, noted Justice DeWine. If you look at the cases with bare bones affidavits, those are all just officers saying they believe something. Here you have the officer laying out the facts, the accident, you have the 3 cellphones, and then you have the officer who did exactly what he was supposed to do. Instead of going through the phones he went to the magistrate, he got a search warrant. Was the officer really supposed to second guess the judge and say that this doesn’t amount to probable cause?

Justice Kennedy noted that here, as Justice DeWine explained, the officer laid out all the facts of the crash, instead of going through the 3 phones because he doesn’t know who belongs to what, he takes it to the hearing officer who makes a probable cause decision, that that’s sufficient in order to issue a warrant. How can the officer then not rely on that?

Was the affiant and the officer who conducted the search the same officer, asked Justice Stewart?

The Warrant

If there is a problem with the warrant, it doesn’t rest with the officer acting on that warrant, noted Chief Justice O’Connor. Wouldn’t it rest with the decision the magistrate made? And if that’s the case, then the officer was entitled to rely on the magistrate, the validity of the warrant issued by the magistrate. That’s not his concern to second guess or question the magistrate, are you sure what I put in the affidavit is sufficient for you to make this call? That’s not how it works.

If a magistrate issues a warrant, should the officer be required to know more about the law than the magistrate, asked Justice Stewart? If an officer gets this warrant with no probable cause then a cell phone can always be searched for any offense because it may contain evidence?

Good Faith Exception

What are some facts that would allow an officer to rely on it but wouldn’t amount to probable cause, asked Justice DeWine? What are some facts where the good faith exception would apply? Or is it the defense position that probable cause is the only standard? The rule can’t be that unless there’s probable cause the good faith exception doesn’t apply.

The good faith exception wouldn’t apply if the affidavit was deceptive and the officer that was executing it was the one that signed the affidavit and put the facts in that were speculative or deceptive, noted Chief Justice O’Connor. But we don’t have that here.

If we affirm the decision of the court of appeals, which found no probable cause for the warrant, but found that there was a good faith exception which should keep the evidence in because the officer had a good faith exception use, if we affirm the court of appeals does this give license to all enforcement officers anywhere and everywhere to rely on a warrant that doesn’t have probable cause, by using the good faith exception, to always look into a cellphone, asked Justice Stewart?

If we agree with the court of appeals is there going to be any case where the good faith exception does not apply, asked Justice Brunner? In this particular case, the initial judge who issued the warrant and then later the second judge who seemed to believe that whenever there’s a car crash you’re allowed to search cell phones, if they make a mistake, based on the warrant being barebones, then if it is even a more obvious one than that and the officer sees it and questions it, the officer still has the good faith exception just because the judge or the magistrate issued it? What if the officer looked at it and said no police officer in their right mind would think this is a good warrant? How could there be good faith if the warrant is defective on its face and any police officer who has served enough knows it? Would the good faith exception apply? If it’s just a generic without creating the probable cause for the magistrate or the judge to issue the warrant, saying it “may” be related to the crime, but basically doesn’t say how aren’t we pretty much just throwing all these exceptions out the window?

Cause of the Accident

We’re talking about a telephone here, correct, asked Chief Justice O’Connor? And ostensibly the reason for the search of the phone was to determine if either the victim or Mr. Schubert was texting, or were speaking on the phone immediately prior to the accident?

What if being under the influence wasn’t the cause of the accident, asked Justice Kennedy? What if distracted driving was? This is an investigation into a fatality. No one has a memory. The other individuals involved in the crash are dead. The only living individual has no memory of the crash whatsoever.

Would the defense position be different if the defendant was not found with drugs in his system, asked Justice Stewart? Is it the state’s position that an affiant can always say a cell phone may contain evidence of the alleged offense and an affidavit may issue because then everyone who carries cell phones who is arrested for an offense can have their cell phones checked?

Wouldn’t the state always want to get into the phones because it can do so many things, asked Justice Fischer? And there would be no privacy left?

Recklessness

Is it reckless to drive the wrong way on a ramp, asked Justice Stewart? Or crossing the double yellow line?

Search of the Cell Phone

Let me ask about the scope of the search of the cellphone, said Justice Donnelly. The purported reason for searching was to see if the defendant may have been using the phone, was distracted, and that may have contributed to the accident. So presumably, if the state received a warrant you’d want to look at the call log.  If the defendant  was on the phone at the approximate time of the crash, or a text, would that necessarily allow the state  to search photographs contained on the phone? How would that relate to the investigation?

How it Looks from the Bleachers

To Professor Emerita Bettman

This looks like a split decision. Justices DeWine and Kennedy clearly see probable cause here and the Chief seems to see at least a good faith exception. Justice Fischer will probably join them. Justices Donnelly, Stewart and Brunner seemed skeptical about the state’s position.

To Student Contributor Max Londberg

April F. Campbell, representing Schubert, appeared to have few allies on the bench. Justice Kennedy indicated the officer conduct here should be protected by the good-faith exception, by listing the facts that led police to request warrants before asking pointedly, “That’s not sufficient?” Justice DeWine echoed her, distinguishing this case from those involving bare-bones affidavits, in which officers were found to be “just saying that they believe something.” He and Kennedy then defended the officer’s actions in refraining from searching the phones prior to obtaining warrants. Chief Justice O’Connor joined her colleagues’ reasoning, while also defending the officer’s decision not to object to the issuance of the warrants. Justice Stewart continued with that thought: “Wouldn’t we be requiring the officer to have more legal knowledge than the magistrate who issued the warrant?”

But the justices also interrogated the State’s position. Justice Stewart highlighted the absence of evidence pointing to phone use as a cause of the crash. She also asked whether, if the justices affirm the appellate court, it would then “give license to all enforcement officers” to search phones even without probable cause, for any offense. Clay Mischka, representing the State, returned to the idea that officers should not be expected to second-guess magistrates’ decisions to issue warrants, to which Justice Stewart said, “So the answer is yes?” Mischka said that it was, barring officer conduct that removes the good-faith exception. Justice Brunner asked whether the State sought an irrebuttable presumption of good-faith reliance for all warrants, “no matter how facially deficient.”

Given the rationale for the good-faith exception, I predict a majority of justices will affirm the appellate court, citing a lack of deterrent effect in holding otherwise.

My student contributors Brandon Bryer and Liam McMillin graduated May 14, 2022 from the University of Cincinnati College of Law. I want to thank them for their excellent work on the blog and wish them the very best as they embark on their careers. Brandon will be off to Chicago to work at Sidley Austin LLP in real estate law. Liam will be at Graydon, where he has been working as a law clerk. He will join the Labor and Employment Group.

“The record is quite clear that Burns did not control the misappropriated funds: the money was never in his possession, nor did he exert any control over it.”

Justice Donnelly, majority opinion

“The General Assembly could have included a ‘control’ element in R.C. 9.39; however, it did not. Instead, the statute applies to public officials who have ‘received or collected’ funds.”

Justice Fischer, dissenting opinion

On April 26, 2022, the Supreme Court of Ohio handed down a merit decision in  State ex rel. Yost v. Burns,2022-Ohio-1326.  In a 4-3 opinion written by Justice Donnelly, joined by Justices Kennedy, DeWine, and Stewart, the Court held that the Director of a Dayton charter school could not be held strictly liable for funds embezzled by the school treasurer. Justice Fischer dissented, joined by Chief Justice O’Connor. Justice Brunner dissented without opinion. The case was argued June 30, 2021.

Case Background

Robert Burns was chief executive officer of New City Community School (“New City”) a Dayton charter school. His title was “director” and he had a contract from August 1, 2009-June 30, 2010. Burns reported to the school’s governing board which gave him the “general supervision and management authority of the School and all personnel employed by the School.”

Burns had the authority to approve budge expenditures for New City but he had no authority to disburse public money from any of New City’s bank accounts nor did he have supervisory authority over those accounts. Those duties were the responsibility of Carl Shye, the school’s treasurer, who reported directly to the school’s board of directors. Burns had no supervisory authority over Shye.

During an audit while Burns was Director of New City, it was discovered that more than $50,000 had been misappropriated from New City. Ultimately, Shye pleaded guilty to embezzlement in federal court, from New City and other entities.

On July 3, 2018, the Ohio Attorney General filed a complaint against Burns and three other defendants, including Shye, to recover the misappropriated funds, arguing that the defendants were jointly and severally liable as public officials under R.C. 9.39. The trial court granted summary judgment to the Attorney General, finding Burns strictly liable for the funds.

The Second District reversed the trial court’s judgment, holding that Burns had not received or otherwise controlled the funds, and that Shye was not Burns’ subordinate.

Read the oral argument preview of the case here and the analysis here.  

Key Precedent

R.C. 9.39 (Liability for public money received or collected.)(“All public officials are liable for all public money received or collected by them or by their subordinates under color of office.”) 

1993 Ohio Atty.Gen.Ops. No. 93-004 (“The language of R.C. 9.39 with respect to the liability of public officials is plain and unambiguous. Public officials are held liable, pursuant to R.C. 9.39, only for public money that they or their subordinates receive or collect.”)  

1994 Ohio Atty.Gen.Ops. No. 94-048 (“a public official will be held personally liable if public moneys that come into his possession or custody in his official capacity are lost.”)  

State, for use of Wyandot County v. Harper, 6 Ohio St. 607 (1856) (holding public official liable for public money that was received under color of office, but only where the defendant received, collected, and physically controlled the funds that were lost, unlike in this case.)  

Seward v. National Surety Corp., 120 Ohio St. 47 (1929) (Holding that it is a public officer’s obligation to account for and disburse moneys that have come into his hands by virtue of his being such public officer. Strict liability was found when the defendant received, collected, and physically controlled funds.) 

Corday v. Int’l Preparatory School2010-Ohio-6136 (Interpreting R.C. 9.39 to mean that, “an officer, employee, or duly authorized representative or agent of a community school is a public official and may be held strictly liable to the state for the loss of public funds.”) 

Merit Decision

Analysis

The key issue in this case is whether Burns received or collected public money under color of office, and the majority held that he did not-the person who did that was Shye. The majority strongly relied on the published opinions of the Attorney General in the key precedent section. Those hold that public officials will be held liable for public money they or their subordinates receive or collect, and interpret these undefined words to encompass an element of control.

“In short, a person cannot collect or receive public money, let alone be held strictly liable for the misappropriation of that money, within the context of R.C. 9.39 without controlling it,” Donnelly wrote. So that let Burns off the hook because he never had any control over the misappropriated funds, nor did Shye report to him.

Bottom Line, Majority Opinion

Burns could not be held strictly liable for the misappropriation of public money from New City because he did not collect or receive those funds.

Justice Fischer’s Dissent

Justice Fischer would find Burns strictly liable for the misappropriation of the funds in this case. He notes that among Burns’ duties was approving a final expenditure report detailing the distribution of the funds of New City, and that Burns had to approve those reports in order to release public funds into the school’s bank accounts from three separate grant sources. If Burns did not do this, the schools could not collect its finances. And, Fischer notes, the statute says nothing about the official controlling the funds. He accuses the majority of writing a control requirement into the statute that isn’t there. Rather, a public official in this context should be viewed as a trustee of the funds and should be responsible for the funds to the same extent as the trustee of a private trust fund.

Fischer would find that case law has established that while control of public funds is sufficient for liability to attach under R.C 9.39, control of public funds is not a floor which must be met in order to establish liability.

Quite simply, if the General Assembly meant to require that the funds be “controlled,” it would have used that term instead of “collected or received,” wrote Fischer.

Fischer would also find that the trial court was correct that “collected” had a plain and ordinary meaning and that because Burns’ role in getting the federal funds for the school was absolutely necessary, Burns “collected” those funds.

Chief Justice O’Connor joined Justice Fischer’s dissent. Justice Brunner also dissented, but did not join Justice Fischer’s dissent.

Case Disposition

The trial court erred in finding Burns strictly liable for the misappropriated funds because he did not collect or receive those funds.

Trial Court Judge (reversed)

Montgomery County Court of Common Pleas Judge Mary Wiseman

Second District Court of Appeals panel (Majority Affirmed)

Opinion author Judge Michael Tucker, joined by Judge Jeffrey Welbaum

Dissent : Judge Michael Hall

Concluding Observations

Here’s what student contributor Brandon Bryer and I wrote after argument:

Professor Emerita Bettman

I’m going to call this one for Burns, although this looks like a split decision. Justices Stewart and DeWine seemed most sympathetic to Burns’ position that in order to be held liable, he had to exert some kind of control over the funds, and given the way this was set up, he did not. Seemingly significant to Justices Stewart and DeWine were the same things that the court of appeals majority seemed swayed by- that Burns never received the funds, nor were they subject to his control. Rather, the funds were directed to and controlled by Shye, New City’s CFO. Burns was not Shye’s supervisor, but rather Shye acted independently from Burns and Burns reported to New City’s Board of Directors.  

The Chief, on the other hand, seemed sympathetic to the Attorney General’s argument that Burns “collected” public money because he took the actions necessary for the charter school to receive the public money (even if it just was a mouse click) and the school did in fact receive the money. Things came to a head toward the end of Burns’ argument when the Chief asked Ms. Cooper if she was saying that if you are collecting something in order to be liable you also have to receive it, and Ms. Cooper said that was exactly what she was saying.  

The Chief and Justice DeWine and to a lesser extent Justice Stewart dominated the questioning, so it’s hard to know exactly who shakes out on which side here, but I’m still calling a win for Burns.

Student Contributor Brandon Bryer

Justice DeWine’s questions spoke directly to the heart of this case. Justice DeWine asked the State, point blank, whether a lawyer in the Attorney General’s office who at one point in time collects funds for the State, would be strictly liable if some unrelated staff member misused those funds in the future. Deputy Solicitor General Carney stood by the State’s position and conceded yes, he even faces strict liability under the State’s reading of the statute. This concession was so shocking that Justice Stewart asked Carney to repeat his “yes” answer. Justices Stewart and DeWine are clearly of the belief that the State’s rule sweeps too broadly and is at odds with the common law understanding of “collect or receive” as codified in R.C. 9.39. Although neither Justices Fischer nor Kennedy spoke at oral argument, I imagine they will both agree. That’s at least four votes against the State’s argument, so ultimately, I believe Burns will prevail.   

This case is a close call, and I gathered that Chief Justice O’Connor agreed with the State’s arguments. If the Chief can persuade some of her colleagues in conference, the State might win. My sense, however, is that Burns has the better of the argument and will prevail.  

On May 17, 2022, the Supreme Court of Ohio, by a vote of 6-1, dismissed this case as improvidently accepted. Justice DeWine dissented and would affirm the judgment of the court of appeals.

“Are you wanting us to find that the rules of evidence apply in transfer hearings or just the right of confrontation, or both?”

Justice Brunner, to counsel for Fuell

“Is the court to believe everything that is said?”

Chief Justice O’Connor to the assistant county prosecutor

On April 26, 2022, the Supreme Court of Ohio heard oral argument in State of Ohio v. Austin M. Fuell, 2021-0794.  At issue in this case is whether a mandatory life sentence with parole eligibility is unconstitutional as applied to young defendants, and whether juveniles have a right to cross-examine and confront witnesses at bindover hearings.

Case Background

In 2019, police accused Austin M. Fuell of murder. Police alleged that Fuell, then 17 years old, had taken part in a home robbery with another person. The incident culminated in the fatal shooting of Jordan Ketring.

The juvenile court held a probable cause hearing to decide whether to bind Fuell over to the Clermont County Court of Common Pleas. The State attempted to show Fuell’s participation in the robbery, either as the shooter or as an accomplice. One witness, Ketring’s girlfriend, said she recognized Fuell despite the perpetrator wearing a mask, based on his eyes and demand for money from Ketring in the exact amount the witness knew Ketring had stolen from Fuell. The State presented evidence that a cell phone it said belonged to Fuell pinged a tower near the scene. But the detective who presented the cell phone evidence at the juvenile hearing admitted that the cell provider, Sprint, could not identify the owner of the phone number. The detective said he concluded the phone belonged to Fuell based on interviews and his discovery of the cell number written on a receipt and attributed to Fuell. The receipt was not submitted as evidence.

The State also presented text exchanges allegedly between Fuell and a friend, Kevin Baird. The exchanges revealed Baird shared an address adjacent to the crime scene, which was located where Ketring was staying that night: his girlfriend’s grandparents’ home. The State did not call the following people as witnesses, preventing defense counsel from cross-examining them at the juvenile hearing: Baird, a records custodian with Sprint, nor the analyst who obtained cell tower data. However, Fuell had an opportunity to call his own witnesses but declined.

The State did call an analyst who relied on toolmark identification — a field whose unreliability and subjectivity has been shown by the President’s Counsel of Advisors on Science and Technology, among other entities, and addressed by the United State Supreme Court. The analyst concluded that a gun confiscated from Fuell’s home had not fired the bullets recovered from the scene. However, months later, police say they discovered a detached 9mm barrel, whose origin was contested. The analyst attached the barrel to Fuell’s gun and concluded, based on questionable methods, that it fired the bullets.

The juvenile court found probable cause for Fuell’s involvement in the robbery, and it bound him over to adult court. Fuell later pleaded guilty to murder under R.C. 2929.02(B)(1). The statute calls for a mandatory sentence of life in prison with the possibility of parole after 15 years.

Fuell appealed to the Twelfth District on several grounds.

The Appeal

The relevant issues before the Twelfth District were twofold: First, Fuell argued that in transferring his case to adult court the juvenile court violated his constitutional rights under the Confrontation and Due Process clauses to cross-examine witnesses. And second, in requiring a mandatory fifteen-years-to-life sentence, Ohio law violated the Eighth Amendment because it does not allow judges to consider youth in sentencing decisions.

In a unanimous decision, the Twelfth District affirmed Fuell’s transfer to adult court and his sentence.  

The Twelfth District held that the confrontation right is a trial right and does not extend to juvenile transfer hearings.

The Twelfth District also found that all due process requirements were met at Fuell’s transfer hearing. Admitting hearsay and other evidence that could raise Confrontation Clause issues, the court held, “is not inconsistent with fundamental fairness and due process of law described in Kent.”

In addition, the Twelfth District held that the state showed probable cause even without the unconfronted evidence, citing the eyewitness testimony and toolmark analysis of the firearm. Thus, any finding of a violation of due process would have been harmless error.

Finally, the Twelfth District upheld Fuell’s sentence, rejecting his argument that R.C. 2929.02(B)(1)’s mandatory life sentence with the possibility of parole after 15 years qualifies as cruel and unusual punishment because a mandatory sentence does not allow a court to consider a juvenile defendant’s youth. However, Fuell failed to object to his sentence on this constitutional ground at the trial level, so the Twelfth District considered whether the claimed constitutional violation by the trial court qualified as plain error and held that it did not.

Read the oral argument preview of the case here.

Key Statutes and Precedent

U.S. Const. Amend. V (“No person shall . . . be deprived of life, liberty, or property, without due process of law.”)

U.S. Const. Amend. VI (“In all criminal prosecutions, the accused shall enjoy the right to . . . be confronted with the witnesses against him . . .”)

U.S. Const. Amend. VIII (“Excessive bail shall not be required, . . . nor cruel and unusual punishments inflicted.”)

U.S. Const. Amend. XIV (“No state shall . . . deprive any person of life, liberty, or property, without due process of law. . .”)

R.C. 2152.12(A)(1)(a) (if a delinquency complaint is filed for an act that would be murder or aggravated murder if committed by an adult, the court shall transfer the case to adult court if the juvenile is 16 or 17 and there is probable cause to believe the juvenile committed the offense.)

R.C. 2903.02 (Ohio statute criminalizing homicide)

R.C. 2929.02(B)(1) (“. . .[W]hoever is convicted of or pleads guilty to murder in violation of section 2903.02 of the Revised Code shall be imprisoned for an indefinite term of fifteen years to life.”)

R.C. 2929.03 (“(1) Except as provided in division (A)(2) or (H) of this section, the trial court shall impose one of the following sentences on the offender: (a) Life imprisonment without parole; (b) Subject to division (A)(1)(e) of this section, life imprisonment with parole eligibility after serving twenty years of imprisonment; (c) Subject to division (A)(1)(e) of this section, life imprisonment with parole eligibility after serving twenty-five full years of imprisonment; (d) Subject to division (A)(1)(e) of this section, life imprisonment with parole eligibility after serving thirty full years of imprisonment. . .”)

Henderson v. Maxwell, 176 Ohio St. 187 (1964) (confrontation right “relates to the actual trial for the commission of the offense and not to the preliminary examination where it is determined whether the accused is to be bound over to the Grand Jury.”)

Pointer v. Texas380 U.S. 400 (1965) (“[T]o deprive an accused of the right to cross-examine the witnesses against him is a denial of the Fourteenth Amendment’s guarantee of due process of law.”)

Kent v. United States, 383 U.S. 541 (1966) (asserting that “there is no place in our system of law for reaching a [juvenile transfer] result of such tremendous consequences without ceremony—without hearing, without effective assistance of counsel, without a statement of reasons” and that transfer hearings in juvenile court are “critically important.” Also stating that while “the Juvenile Court judge may, of course, receive ex parte analyses and recommendations from his staff, he may not, for purposes of a decision on waiver, receive and rely upon secret information, whether emanating from his staff or otherwise.”)

Chapman v. California, 386 US 18 (1967) (holding that, where it’s impossible to say evidence violating defendant’s constitutional rights did not contribute to convictions, violation was not harmless.)

Barber v. Page, 390 U.S. 719 (1968) (“The right to confrontation is basically a trial right.”)

Goldberg v. Kelly, 397 U.S. 254 (1970) (“In almost every setting where important decisions turn on questions of fact, due process requires an opportunity to confront and cross-examine adverse witnesses.”)

State v. Carmichael, 35 Ohio St. 2d 1 (1973) (holding use of hearsay evidence without cross-examination of declarant did not violate juvenile’s rights at bindover hearing.)

Gerstein v. Pugh, 420 US 103 (1975) (holding the “full panoply of adversary safeguards,” including confrontation right, are not essential for a probable cause determination for detention purposes.)

Breed v. Jones, 421 U.S. 519 (1975) (holding that prosecution of juvenile in adult court, following juvenile court adjudicatory proceeding, violated the Double Jeopardy Clause of the Fifth Amendment and reasoning that the juvenile “was subjected to the burden of two trials for the same offense; he was twice put to the task of marshaling his resources against those of the State, twice subjected to the ‘heavy personal strain’ which such an experience represents.”)

Mathews v. Eldridge, 424 U.S. 319 (1976) (“. . .identification of the specific dictates of due process generally requires consideration of three distinct factors: First, the private interest that will be affected by the official action; second, the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and finally, the Government’s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.”)

Schall v. Martin, 467 U.S. 253 (1984) (not mentioning confrontation right in discussion of due process rights afforded accused in juvenile proceedings.)

State v. Self, 56 Ohio St.3d 73 (1990) (“Section 10, Article I [of the Ohio Constitution] provides no greater right of confrontation than the Sixth Amendment.”)

State v. Iacona, 93 Ohio St.3d 83 (2001) (bindover hearing in juvenile court need not find whether the accused is guilty but “basic principles of fairness and due process . . . 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.”)

Melendez-Diaz v. Massachusetts, 557 U.S. 305 (2009) (“Like expert witnesses generally, an analyst’s lack of proper training or deficiency in judgment may be disclosed in cross-examination.”)

Miller v. Alabama, 567 U.S. 460 (2012) (“By requiring that all children convicted of homicide receive lifetime incarceration without possibility of parole, regardless of their age and age-related characteristics and the nature of their crimes, the mandatory-sentencing schemes before us violate this principle of proportionality, and so the Eighth Amendment’s ban on cruel and unusual punishment.”)

State v. Hood, 2012-Ohio-6208 (admission of phone records that had not been authenticated as business records was constitutional error under the Confrontation Clause.)

State v. Ricks, 2013-Ohio-3712 (“Whether a Sixth Amendment error was harmless beyond a reasonable doubt is not simply an inquiry into the sufficiency of the remaining evidence. Instead, the question is whether there is a reasonable possibility that the evidence complained of might have contributed to the conviction.”)

State v. Long, 2014-Ohio-849 (failing to consider youth’s age in sentencing for aggravated murder under R.C. 2929.03(A) constituted violation of Eighth Amendment.)

In re B.W., 2017-Ohio-9220 (7th Dist.) (holding Confrontation Clause does not apply to admissibility of evidence issues at juvenile transfer hearings.)

State v. Anderson, 2017-Ohio-5656 (“A hard 20 year life sentence does not irrevocably adjudge a juvenile offender unfit for society. Rather, in line with the concerns expressed in Graham, it gives the offender a ‘meaningful opportunity to obtain release based on demonstrated maturity and rehabilitation’ by permitting parole after the mandatory 20-year minimum prison term is served.)

State of Ohio v. E.T., Jr., 2019-Ohio-1204 (affirming finding of probable cause by juvenile court based on single eyewitness only “50 percent” certain of the identification. Eyewitness was subject to cross-examination.)

State v. Garner, 2020-Ohio-4939 (holding defendant did not have confrontation right during juvenile bindover hearing because it was not a trial and defendant’s liberty interest was not yet at stake.)

State v. Patrick, 2020-Ohio-6803 (holding that “a trial court must separately consider the youth of a juvenile offender as a mitigating factor before imposing a life sentence under R.C. 2929.03, even if that sentence includes eligibility for parole” and “we conclude that the difference between a sentence of life in prison with parole eligibility after a term of years and a sentence of life without the possibility of parole is not material for purposes of an Eighth Amendment challenge by an offender who was a juvenile when he or she committed the offense.”)

Fuell’s Propositions of Law Accepted for Review

First Proposition of Law

Juvenile offenders have a state and federal due process right to cross-examine witnesses whose hearsay statements are presented to provide probable cause for mandatory transfer to adult court.

Second Proposition of Law

Under Miller v. AlabamaState v. Long, and State v. Patrick, R.C. 2929.02(B)’s mandatory fifteen-years-to-life sentence for murder is unconstitutional as applied to juvenile offenders because it does not permit judicial consideration of youth at sentencing.

At Oral Argument

Arguing Counsel

Timothy B. Hackett, Assistant State Public Defender, Columbus, for Appellant Austin M. Fuell

Nick Horton, Assistant Prosecuting Attorney, Clermont County, for Appellee State of Ohio

Fuell’s Argument

The law is clear that juvenile transfer proceedings are critically important due process hearings that separate a juvenile rehabilitative sentence on the one hand from a lifetime in adult prison on the other hand. What should be equally clear are the dangers of hearsay information and the offsetting values of questioning those people whose statements supposedly put a client at the scene of a crime. Given the important interests involved in a transfer hearing, this Court should make it abundantly clear that transfer is not the one way hearing the state continues to insist that it is. The Court should hold that due process requires a flexible conditional right to confront and cross examine witnesses at these critically important transfer hearings. Under the due process clause, which is intentionally flexible because of the unique position of the juvenile court, this Court should hold that prosecutors cannot rely on the statements of nontestifying witnesses in support of transfer, at least absent a showing of good cause as to why those witnesses should not be brought in. The standard of proof at the transfer hearing is probable cause.

This Court has not ruled on this due process question and throughout the state courts apply these rules differently.  In this case the juvenile court judge said on the record that hearsay was not allowed. But there was hearsay such as the BCI report that was introduced and  text message photographs from a man named Kevin Baird, that were introduced and formed the core of the state’s case as to where Mr. Fuell was on the night in question. It was introduced as surrogate testimony of a detective witness. Although such witnesses can be cross examined at trial, that’s too late. By the time of trial, the liberty deprivation has already occurred. So, the due process protection must apply at this transfer hearing.

A grand jury proceeding is not analogous here. A better analogy is to a preliminary hearing in adult court which is a judicial hearing, not a unilateral cursory proceeding where defendants do not have a right to counsel to be present to contest the state’s evidence. A grand jury proceeding is not a judge hearing whereas in a transfer hearing it is the duty of a judge to assess the credibility of the witnesses, and to ensure that the state has presented sufficient credible evidence to raise proof beyond a mere suspicion. This is an adversarial proceeding under this Court’s precedent. The juvenile was represented by counsel, but the attorney only had the opportunity to cross examine the surrogate witness who was presenting the hearsay statements of other witnesses. Defense counsel could only cross examine those witnesses presented by the state.

The question of whether the cross examination of a state’s witness during a mandatory bindover hearing is a constitutional right is an issue of first impression for this Court. That issue must be decided in three parts. The first is what these transfer hearings look like. The second is to be able to get to the source of statements that place a client at the scene of a crime. The third is how little this rule will actually impact county prosecutors. This will in no way grind the system to a halt. And for constitutional violations, the question is not the sufficiency of the remaining evidence, but rather whether the offending evidence contributed to the court’s decision. There’s no question that in this case it did. Also, in this case the parties were operating under the assumption that the rules of evidence applied. While the Court does not need to say this is necessarily so across the boards, what is crucial is that children have a constitutional right, as a matter of procedural due process, to cross examine witnesses whose statements are used.  

The defendant respectfully disagrees that its position would cause bindovers to become mini trials at the juvenile court level. This would impose little more than what is already required. Because this is not proof beyond a reasonable doubt, and instead, is probable cause, the government does not have to fully try their case, they don’t have to preview their case or bring in every one of their witnesses to meet the less demanding standard. But if they do present statements from witnesses, then due process does require those witnesses to be present so that information can be tested and at the very least, verified. With respect to the BCI analyst, the defense would want to know why it was that the BCI analyst assigned this cellphone number to Austin Fuell despite the fact that the cell carrier itself could not identify the owner of the phone. So, circumstances under which these statements are made needed to be probed for credibility if the juvenile court’s duty is to ensure that the evidence presented is in fact credible. If the state wants to rely on statements made by witnesses, those witnesses must be present.

As far as the sentencing issue goes, even though the statute has been amended, while the amendments are favorable to juveniles the amendments are still insufficient to address the constitutional deficiency here because even under the amended statute there is only one sentence for this offense. The remedy is trickier. The answer is the same as any other time this Court finds that a statute is unconstitutional as applied, and that is to declare the statute unconstitutional and for the legislature to fix it. In the interim, the most workable solution in this case is a downward departure to the next available range which is the F1 range of 3-11 with this 15-life remaining the possibility of a maximum sentence. This would not inhibit courts from imposing severe sentences where necessary which was clearly the legislature’s intent. The defendant concedes that the constitutionality of the sentence was not raised at trial, but the decision in Patrick was not out at the time of sentencing. It was released while the direct appeal was pending, before Fuell’s  conviction became final. And review of the as-applied constitutional issue should be de novo.

State’s Argument

This case is about applying longstanding interpretations of the 8th and 14th amendments.  The Defendant was bound over to adult court where he pled guilty to murder and was sentenced to 15 years to life in prison. This Court should affirm because the juvenile defendant was not due full confrontation rights in the mandatory bindover hearing and the 15-life sentence did not violate the 8th amendment.

Kent v. United States talks about due process and fair treatment but then says it is not necessary to apply all the processes that are due in a criminal trial to a criminal defendant or even in an administrative hearing. At the time what was due for an administrative hearing depended on the type of hearing it was. Looking at additional case law, where there is an adjudicatory type of hearing, where there is some finality to the right deprived, then there is a right to confrontation, and cross examination, but when dealing with a general fact-finding investigation, then there is not that right to confrontation and cross examination. Kent whittles this down even further and says in that case what was used was ex parte analyses and staff recommendations, and the Court said those can be used but must be provided to counsel. Ex parte analyses and staff recommendations are really the antithesis of cross examination and confrontation, so all indications from Kent are that there are not confrontation rights. We’re not talking about cross examination because the defendant had the opportunity to cross examine the witnesses at the hearing, and we’re not talking about a portion of confrontation where the defendant can meet the accusers face to face because again, he did have the opportunity to cross examine the state’s witnesses. What we are talking about is this limited right to be free from otherwise testimonial evidence where the witness does not testify. So, there are a couple of ways of looking at this hearing. But no matter how you look at it, there is no reason to believe that there is a full right to confrontation.

If we look at this as a probable cause hearing, which it is, or as a typical preliminary hearing, this Court and the U.S. Supreme Court have routinely held that the full rights of confrontation and cross examination are not required in these types of hearings. Even if we give this special consideration as a juvenile hearing, we need look no further than Schall v. Martin which dealt with juvenile pretrial detention, and says that while the state has to put on evidence, the defendant is allowed to cross examine those witnesses. But it says absolutely nothing about confrontation. When the U.S. Supreme Court wants to talk about confrontation, it speaks about confrontation, but it does not in Schall. But even if we look at this more as a bindover hearing in general, and we say the same rights apply in the probable cause hearing as they do in the amenability hearing, we still don’t necessarily have the right to full confrontation.

In Goldberg v. Kelley there was finality to the rights deprived. In this mandatory bindover case, there is no scenario where the juvenile –unless they ultimately plead guilty—will be sentenced to adult court punishment without a finding of probable cause. Whether it is at the initial mandatory bindover hearing, or later in trial, they will have the right to confront those witnesses-and this is why under the second prong of the Mathews test, there is almost a zero risk of erroneous deprivation because they get the second bite at that apple. That may be a little bit different with regard to the amenability hearing because the juvenile court is in the unique position to determine that.

Credibility generally plays little part in a probable cause determination. It is very difficult to undermine the probable cause finding. If the defendant’s cross examination is strong enough to undermine probable cause, then there is no doubt it would be strong enough to undermine beyond a reasonable doubt. The closer we get to these adjudicatory type hearings, the closer we get to potential double jeopardy problems. There is plenty of opportunity to confront this evidence when it comes to trial because this issue of probable cause is simply a gatekeeping function to determine where the juvenile will be either adjudicated or prosecuted.

In this case the only person where there was a real credibility issue was Lacey, one of the victims in the case. There was no issue raised about the credibility of the BCI agent. On the one issue with credibility in this case there was a full right to cross examine and that was the eyewitness. The defendant could have brought in an expert, as he alleged in his ineffective assistance claim, to counter the state’s evidence but in the probable cause hearing it is not a comparison of the defense theory and the prosecution theory.  It is whether or not the state has presented enough credible evidence to support a probable cause finding.

The standard of review here should be plain error because the defendant had the ability to raise the constitutional question in the first instance in the trial court even though the defendant didn’t have the benefit of Patrick.  Patrick was based on prior decisions from the U.S. Supreme Court.  But the constitutional issue was never raised. Because the sentence provides the juvenile with a meaningful opportunity for release, we ask this court to affirm.

What Was On Their Minds

Analogy to Other Types of Hearings

Aren’t grand jury proceedings analogous, asked Justice DeWine? The standard of proof is probable cause. Someone is deprived of liberty once they are indicted, right? So, what’s the difference?

Bindover Hearing

What is a flexible conditional right, asked Chief Justice O’Connor? The juvenile is represented, correct? And the attorney can cross examine the state’s hearsay witnesses? There’s caselaw from Ohio that says that the hearing must “measure up to the essentials of due process and fair treatment.” What does that mean? If the cross examination demonstrates the total lack of credibility as to what the state is relying on, how else would the state get a bindover? Is the state almost saying that truth doesn’t matter at a bindover, as long as there is sufficient voicing of facts, whether they are true or not, the court can consider them and bind over a child? Or credibility does matter, so credibility can be tested on cross examination? Is the court to believe everything that is said?

Is the standard probable cause, asked Justice Fischer? Not good cause? Probable cause? During probable cause hearings don’t we allow hearsay? If there is no hearsay, what is the defendant’s complaint? Is there any U.S. Supreme Court decision or decision from our Court saying cross examination of a state’s witness during a mandatory bindover hearing is a constitutional right?

Even if we agree with the defense, how is this not harmless error asked Justice DeWine? There is plenty of evidence of probable cause—there is Lacey saying she witnessed the shooting, she recognized the shooter’s eyes and voice, she noted he demanded the same dollar amount as had been stolen. That by itself would be enough to establish probable cause. So why does this even matter? If it’s clear the court would have made the same decision because there was evidence of probable cause without it, then it didn’t contribute to its decision, he added.

Confrontation and Cross Examination Rights

Does the defendant want the Court to find that the rules of evidence apply in transfer hearings or just the right of confrontation, or both, asked Justice Brunner?

Couldn’t the detective witnesses be cross examined at trial, asked Justice Fischer? Is the right to cross examine witnesses whose statements are used a constitutional right?

Would allowing these rights cause these to become mini trials at the juvenile court level, asked Justice Donnelly?

Wouldn’t the U.S. Supreme Court case in Goldberg v. Kelly be instructive here where the Court said there is a right to confrontation and cross examination found outside the criminal context in a non- adjudicatory hearing, asked Justice Stewart? She added that if the evidence presented during the probable cause determination is made less credible or shaky by cross examination or confrontation, then the juvenile never has to go through the rest of the proceedings.

The Evidence

If the other evidence was sufficient to find probable cause by itself, then how is it not harmless error, asked Justice DeWine? The standard is whether or not if you exclude that evidence the trier of fact would have found the same thing. If the court would have made the same evidence decision without it—it didn’t contribute to its decision by definition.

The testimony of Mr. White who was from BCI, essentially was that the barrel of this 9mm lugar could be placed on a different frame and if it was placed on a different frame with a different slide, the markings would come out the same, noted Justice Brunner. Was that enough that other evidence based on hearsay didn’t matter because this was sufficient and reliable enough for the court to reach its determination that resulted in a mandatory bindover? She noted that the validation of the testing was done not by an external agency proficiency test but by someone else in the agency. Do we need to be concerned about that? Should the trial court have been concerned about that? She also noted that Mr. Fuell did not have access to the records from the cell tower.

The Sentence

As far as consideration of the youth of the offender at the time of sentencing, the statue has been amended since the defendant was convicted and sentenced, noted Justice Brunner. Is consideration of youth now appropriate in the statute as amended?  If the Court agrees with the as applied constitutional challenge, how should the defendant be sentenced if we were to remand?

Was the constitutionality of the sentence raised at trial, asked Justice Fischer? Or are we at plain error?

How it Looks from the Bleachers

To Professor Emerita Bettman

The Chief and Justices Brunner and Stewart have been very protective of the rights of juveniles, and probably consider the bindover hearing far more consequential than the state suggested. If they can pick up Justice Donnelly’s vote that majority will probably find a right of confrontation at bindover hearings.

To Student Contributor Max Londberg

Justices DeWine and Fischer indicated their support for the State, while Chief Justice O’Connor and Justices Brunner and Stewart indicated support for Fuell. I predict Fuell succeeds on both issues raised.

Justice DeWine signaled he believes that, even if evidence presented at Fuell’s transfer hearing violated his constitutional rights, that harmless error would result, as enough proper evidence existed. Timothy B. Hackett, representing Fuell, stated Justice DeWine’s interpretation of harmless error doctrine for constitutional violations was erroneous. Hackett cited Chapman and Ricks. Justice DeWine also implied that because transfer hearings are analogous to grand jury proceedings, in that they both involve the probable cause standard, the former does not deserve protections against hearsay, as is true for the latter. Hackett argued the two proceedings are not analogous, as only transfer hearings are adversarial, with a judge weighing witness credibility, and with Brady discovery rights inhering in the accused.

Chief Justice O’Connor indicated support for Fuell’s position in an exchange with Nick Horton, the State’s attorney. The Chief asked if a decision to bind a juvenile to adult court could occur when the state’s case completely lacks credibility. When Horton answered that it could not, O’Connor stated that “what I heard you say is that, almost, truth doesn’t matter at a bindover. . .?” Justice Brunner also indicated her support by asking Hackett what the proper remedy should be. She also challenged Horton’s contention that only the eyewitness evidence in the case was questionable, pointing out the cell-tower evidence that Fuell claimed was hearsay. Finally, Justice Stewart asked Horton about language from the United States Supreme Court asserting that there is a right to confrontation in non-adjudicatory hearings.

On May 11, 2022, the Supreme Court of Ohio will hear oral argument in State of Ohio v. Davis Anthony Hill, 2021-0913. At issue in this case is whether a trial court abuses its discretion by preventing a criminal defendant from pleading no contest.

Case Background

On August 26, 2019, Hill was indicted on seven counts of various drug trafficking charges, including trafficking and possession of heroin and fentanyl. Hill initially pled not guilty, but following the court denying multiple motions to suppress, Hill expressed interest in pleading no contest to Judge Taryn Heath in the Stark County Common Pleas Court. The State objected, and Judge Heath indicated that she rarely granted pleas of no contest. Hill eventually entered a plea of guilty, and was sentenced to 16-21.5 years in prison. Hill appealed to the Fifth District.

The Appeal

In the issue pertinent to his Supreme Court appeal, Hill argued it was an abuse of discretion for the trial judge not to allow him to enter a plea of no contest.

In a unanimous decision authored by Judge John W. Wise, and joined by Judges William B. Hoffman and Judge Earle E. Wise, the Fifth District affirmed the trial court, finding that the trial court had discretion under the criminal rules to refuse a plea of no contest. Although it could be an abuse of discretion for a court to adopt a blanket policy rejecting all no contest pleas (as in Beasley), the trial court in this case made it clear that there are instances where it would accept a no contest plea. As such, the trial court did not abuse its discretion by preventing Hill from pleading no contest. Hill appealed again.

Votes to Accept the Case

Yes: Justices DeWine, Fischer*, Donnelly*, Stewart*

No: Chief Justice O’Connor, Justices Kennedy and Brunner.

*would have accepted both propositions of law.

Key Statutes and Precedent

Crim.R. 11(C)(2) (“In felony cases the court may refuse to accept a plea of guilty or a plea of no contest . . .”)

Blakemore v. Blakemore, 5 Ohio St.3d 217 (1983) (“The term ‘abuse of discretion’ connotates more than an error of law or judgment; it implies that the court’s attitude is unreasonable, arbitrary, or unconscionable.”)

Elevators Mut. Ins. Co. v. J. Patrick O’Flaherty’s, Inc., 2010-Ohio-1043 (“The purpose behind the inadmissibility of no-contest pleas in subsequent proceedings is to encourage plea bargaining as a means of resolving criminal cases by removing any civil consequences of the plea” and “avoid the admission of guilt.”)

State v. Beasley, 2018-Ohio-16 (A court that rejects any and all no contest pleas, without considering the facts or circumstances of the case, constitutes a blanket policy, and is thus arbitrary and constitutes an abuse of discretion.)

State v. Carter, 124 Ohio App.3d 423 (2nd Dist. 1997) (A court’s blanket policy of not accepting no contest pleas forces the defendant to plead guilty or risk a more severe sentence and constitutes an abuse of discretion.)

State v. Graves, 1998 WL 808356 (unreported) (10th Dist. 1998) (A blanket policy of not accepting no contest pleas constitutes an abuse of discretion.)

Hill’s Proposition of Law Accepted for Review

If the Trial Court abused its discretion in not allowing a Defendant to enter a plea of no contest, then reversal is appropriate. Here, where the Trial Court refused to allow Defendant to enter a plea of no contest, arbitrarily, reversal is appropriate.

Hill’s Argument

This case is similar to Beasley, where the Court found the trial court had abused its discretion when rejecting a no contest plea without considering the facts and circumstances of the case. Blanket policies of rejecting no contest pleas are always arbitrary and constitute abuse of discretion. The trial court’s statement that it “rarely” accepts no contest pleas was meant solely to avoid the impression that there was a blanket policy. But, the trial court has adopted a blanket policy, as evidenced by the court’s statement “that’s the way we do things,” and if it allowed Hill to plead no content, the court would never get any work done. The case should be remanded to the trial court with instructions to take a no-contest plea.

State’s Argument

A trial court has discretion to accept or reject a no contest plea under Ohio’s criminal rules. The trial court in this case exercised its discretion, and there is no evidence that the court has a blanket policy of rejecting no contest pleas. Just because a court states that it grants no contest pleas sparingly does not indicate that it does not do so when appropriate.

All of the cases Hill cites involve actual fixed policies established by the court and stated on the record. There is no evidence of that kind here in this case, and no indication that the court acted arbitrarily. Additionally, Hill’s argument contradicts itself by claiming that the court both abused its discretion and failed to exercise its discretion.

Amicus in Support of Hill

VanHo Law

VanHo Law, a law firm that represents individuals charged with misdemeanor and felony offenses (among a broader practice) writes in support of Hill. Permitting the no contest standard to continue will cause confusion and inconsistent application for VanHo Law’s current and future clients.

A criminal defendant is coerced into pleading guilty when denied the right to plead no contest, or to take the matter to trial. There are a number of collateral consequences as well, including “potential immigration issues,” and opening criminal defendants up to civil recovery for criminal conduct under Ohio law.

The Court should modify its standards and presume the right of criminal defendants to plead no contest. Or, alternatively, the Court should adopt the approach of the federal standard, which requires the court to consider the parties’ views and “public interest in the effective administration of justice.” In this case, the Court should reverse the Fifth District’s decision and vacate the conviction and remand the case to the trial court for further proceedings.

Student Contributor: Liam H. McMillin

On May 11, 2022, the Supreme Court of Ohio will hear oral argument in In Re J.H., et al. A Minor Child (Appeal by A.H., Mother), 2021-0533. At issue in this case is whether a juvenile court improperly denied a pro se, indigent mother instituting child reunification proceedings her right to appointed counsel and whether the court failed to properly inquire into her waiver of that right.

Case Background

Mother has two children: K.M. and J.H. Although K.M. previously lived with Mother, J.H. has never lived with her, nor have the brothers ever lived together. Both children have lived with other relatives for most of their lives. In 2015, Mother filed a motion requesting the juvenile court to place the children in her custody or, alternatively, be granted additional visitation rights. Mother requested an attorney but was instead appointed a guardian ad litem (“GAL”). That initial GAL withdrew citing conflicts of interest, and a new GAL was appointed. The court again did not appoint independent counsel, either for Mother or the children. For four years, Mother’s claims were heard before a magistrate of the juvenile court. Throughout this process, Mother’s rights as to her children were continuously litigated, denied, and/or modified.

Relevant to this appeal is an October 2019 hearing before the magistrate. In her pro se request for the October 2019 hearing, Mother did not request an attorney as she had on other occasions. Mother and her GAL were both present at the hearing, and the magistrate did not appoint her counsel. After this hearing, the magistrate further amended Mother’s visitation rights and obligations as to child J.H. Mother filed objections to the magistrate’s decision but the juvenile court overruled the objections and affirmed the decision. Mother then appealed the juvenile court’s decision to the Eighth District arguing that it was plain error to fail to secure a waiver of the right to counsel and to fail to ensure Mother received due process and a fair hearing. Mother did not file the transcript of the October 2019 proceedings on appeal.

The Appeal

In a 2-1 decision, the Eighth District Court of Appeals affirmed the lower courts’ decisions. The majority opinion was authored by Larry A. Jones, Sr. and joined by Judge Lisa B. Forbes. Judge Mary Eileen Kilbane dissented.

Although Mother raises issues with the entire juvenile proceedings, this appeal is narrowly concerned with the failure to appoint counsel argument. Yet, Mother did not raise that issue with the trial court and thus, she is subject to a plain error standard of review. Appellate review is further constrained because Mother did not provide the transcript from the October 2019 hearing. Therefore, the court cannot assess the accuracy of Mother’s claims that she requested counsel at the hearing, that she thought her GAL was operating as her attorney, or that the magistrate failed to inquire into her competency. When no transcript is provided, appellate courts presume regularity of the proceedings.

In dissent, Judge Kilbane argued that the record reflected Mother’s request for trial counsel and she would reverse and remand for the appointment of counsel. Mother appealed.

Key Statutes and Precedent

Ohio Constitution, Article I, Section 16 (“All courts shall be open, and every person, for an injury done him in his land, goods, person, or reputation, shall have remedy by due course of law, and shall have justice administered without denial or delay.”)

Ohio Juvenile Rule 4 (“Every party shall have the right to be represented by counsel and every child, parent, custodian, or other person in loco parentis the right to appointed counsel if indigent. These rights shall arise when a person becomes a party to a juvenile court proceeding. This rule shall not be construed to provide for a right to appointed counsel in cases in which that right is not otherwise provided for by constitution or statute.”)

R.C. 2151.352 (A child or the child’s parents [. . .] is entitled to representation by legal counsel at all stages of the proceedings [. . .] and if, as an indigent person, any such person is unable to employ counsel, to have counsel provided for the person pursuant to Chapter 120 of the Revised Code. If a party appears without counsel, the court shall ascertain whether the party knows of the party’s right to counsel and of the party’s right to be provided with counsel if the party is an indigent person. The court may continue the case to enable a party to obtain counsel or to be represented by the county public defender or the joint county public defender and shall provide counsel upon request pursuant to Chapter 120. of the Revised Code.)

Mathews v. Eldridge, 424 U.S. 319 (1976) (procedural due process is satisfied when: (1) the private interest that will be affected by the official action; (2) the risk of an erroneous deprivation of such interest through the procedures used, and the probable value, if any, of additional or substitute procedural safeguards; and (3) the Government’s interest, including the function involved and the fiscal and administrative burdens that the additional or substitute procedural requirement would entail.)

State ex rel. Heller v. Miller, 61 Ohio St.2d 6 (1980) (“In actions instituted by the state to force the permanent, involuntary termination of parental rights, the United States and Ohio Constitutions’ guarantees of due process and equal protection of the law require that indigent parents be provided with counsel and a transcript at public expense for appeals as of right.”)

Tibbitts v. Tibbitts, 2011-Ohio-5280 (8th Dist.) (“It is the appellant’s duty to file a transcript for appellate review. In the absence of a transcript, we must presume regularity at the trial court proceedings.”)

In re M. Children, 2019-Ohio-484 (1st Dist.) (reversing juvenile court decision because magistrate failed to adequately determine if mother was competent to waive right to counsel.)

Votes to Accept the Case

Yes: Chief Justice O’Connor, Justices Brunner, Donnelly, Fischer, and Stewart

No: Justices DeWine and Kennedy

Mother’s First Proposition of Law Accepted for Review

Hearings where a change of custody and visitation are at issue a parent does not need to show prejudice by pointing to the transcript of the proceedings to support a reversal on appeal when the juvenile court fails to appoint legal counsel when required by law that very fact itself demonstrates plain error on the record.

Mother’s Second Proposition of Law Accepted for Review

An Appellate Court errs when it fails to find the trial court committed plain errors, and omissions in failing to secure a waiver in open court showing that the parent’s right to counsel was knowingly, voluntarily and intelligently entered, as well as ensuring the parent received due process of law and a fair and adequate hearing.

Mother’s Argument

Pro se litigants pose serious efficiency, effectiveness, and logistical concerns for Ohio’s judicial system. The impacts of these concerns are borne by judges, court personnel, attorneys, opposing parties, and have a disproportionate impact on poor and minority Ohioans. Failure to appoint counsel, especially for an indigent parent such as Mother, not only deprives her of statutory and constitutional due process protections, but also further exacerbates these issues. For two reasons, this Court should reverse the Eighth District’s opinion.

First, although Mother was appointed a GAL, simply appointing a GAL is not enough. What is even more concerning is that Mother’s repeated requests for appointed counsel were ignored. Instead, the juvenile court required her to proceed pro se and assumed she had waived her right to counsel. However, there is a high bar to waiving counsel, it needs to be done knowingly and intelligently. The juvenile court never made that inquiry in this case. Thus, the juvenile court failed to fulfil its mandatory duties under Ohio law. Moreover, this Court has long noted that the Ohio and Federal Constitutions require that indigent parents be provided counsel and a transcript at public expense. This right attaches in the initial proceedings and continues on appeal. And the record is clear that Mother was not afforded this right either. In sum, the juvenile court improperly assumed that Mother knew of her rights and never engaged in the required discussion with her about whether her waiver was done knowingly and voluntarily.

Second, because the magistrate failed to engage Mother in these crucial processes, her due process rights were violated. At a minimum, due process requires procedural safeguards to ensure the proceeding is fundamentally fair. And Mother has a significant private interest at stake in this case—the care and control of her children. In fact, this is one of the most fundamental liberty interests. If Mother would have had the representation of effective counsel that she requested, many, if not all, of the procedural errors made in this case would not have occurred. The plain error standard is satisfied because Mother was not engaged about her right to counsel, it is unclear that she understood she was waiving that right and was deprived due process and a fair hearing.

Mother has come a long way in improving herself and is ready to be more involved with her children’s lives. Had Mother been appointed counsel, she would have been much further along in the reunification process. To remedy these errors, this Court should reverse and remand the case.

Student Contributor: Brandon Bryer

“What statements were made that would contradict the warranty?”

Justice Brunner, to Counsel for Navistar

“So why should the Court change the bargain that you made into something else?”

Justice DeWine, to Counsel for Dutchmaid

On April 13, 2022, the Supreme Court of Ohio heard oral argument in Navistar Inc. v. Dutchmaid Logistics, Inc., 2021-0719.  At issue in this case is whether a contractual disclaimer can thwart a tort claim that is based on the same set of facts and the same amount of damages.

Case Background

Dutchmaid Logistics (“Dutchmaid”) is the owner and operator of a commercial trucking fleet in the business of hauling dry and refrigerated commodities.  Navistar manufactures heavy-duty commercial trucks and diesel engines. From 2008-2009, Dutchmaid purchased nine trucks from Navistar equipped with Navistar’s MaxxForce 1 engine.  After about 100,000 miles, the trucks experienced significant mechanical problems due to a failure of the Exhaust Gas Recirculation (EGR) system.  An EGR cooler is the part of the EGR system that pumps engine exhaust back into the engine in order to lower emissions.  All of Dutchmaid’s MaxxForce 1 trucks lost their EGR coolers.

In 2010, Dutchmaid began the process of purchasing new trucks, and met with Navistar to discuss trucks with the MaxxForce 2 engine.  Dutchmaid stressed to Navistar that they would need assurances as to the quality of the trucks before agreeing to buy from them again.  After visiting Navistar’s plant and receiving multiple assurances as to the reliability of the trucks, Dutchmaid purchased twenty trucks with MaxxForce 2 engines from Navistar.  In the subsequent 3 years, these trucks were in the shop for repairs over 100 times.  In 2015 Dutchmaid filed a lawsuit against Navistar for breach of express warranty and fraudulent nondisclosure, seeking the same damages for each claim.  Dutchmaid asserted that the trucks violated disputed oral promises allegedly made by Navistar about their performance. 

At trial, a Dutchmaid representative testified that he repeatedly inquired about issues with the EGR system, which remained as a major concern for Dutchmaid.  Each time Navistar assured him that the MaxxForce 2 was a quality engine with an EGR system that would last the life of the engine, which was one million miles. These repeated assurances were the main factors in Dutchmaid’s decision to buy the MaxxForce 2 trucks.  But these trucks were regularly down for repairs, resulting in significant lost profits for Dutchmaid

During this time, Navistar executives were aware that the MaxxForce 2 engines had issues and that they hadn’t adequately tested the truck before its launch as evidenced by internal company emails.  One Navistar employee testified that when the MaxxForce 2 trucks launched, the EGR had a life of 225,000 miles, not one million miles. He further stated that this wasn’t disclosed to Dutchmaid or other customers because the engines were still meeting reliability goals and many changes and improvements were made to the system between the trucks launched in 2010 and Dutchmaid’s first order in July 2011. 

After hearing all the evidence in the case, the jury found in favor of Dutchmaid on the fraudulent nondisclosure claim and in favor of Navistar on the breach of warranty claim.  The jury awarded Dutchmaid compensatory damages in the amount of $75,000 for lost profits, $200,000 for diminished value, and $1,025,000 in punitive damages.  The trial court journalized the jury’s verdict.  Navistar appealed.

The Appeal

On appeal, in a unanimous decision, the Fifth District affirmed the trial court’s judgment. 

The opinion held that the economic loss rule does not bar Dutchmaid’s fraud claim because Navistar breached duties independent of those that arose under warranty.  Additionally, the parole evidence rule doesn’t prohibit evidence about Navistar’s nondisclosure because there’s a difference between agreements that vary the terms of a contract and statements that induce a party into entering into that contract.  Finally, a party can’t disclaim its fraudulent concealment of material information merely by using boilerplate warranty language. The appeals court also determined that since a jury found that Navistar did not breach the warranty, the damages the jury awarded to Dutchmaid for its fraud claim were not duplicative of the damages sought for breach of warranty.  

Read the oral argument preview here.

Key Statutes and Precedents

*J.A. Industries, Inc. v. All American Plastics, Inc., 133 Ohio App.3d 76 (1999) (3rd Dist.) (“noting that parole evidence rule can ‘exclude evidence of fraudulent inducement.’”)

*Paragon Networks International v. Macola, Case No. 9-99-2 (1999)(3rd Dist.) (“there is an ‘exception to the parole evidence rule’ for certain claims of ‘fraud in the execution or inducement of the agreement.’”)

*Galmish v. Cicchini, 90 Ohio St. 3d 22 (2000) (“Absent fraud, mistake or other invalidating cause, the parties’ final written integration of their agreement may not be varied, contradicted or supplemented by evidence of prior or contemporaneous oral agreements, or prior written agreements.”)

Regal Cinemas, Inc. v. W&M Properties, 90 Fed. App’x 824 (6th Cir. 2004) (Because the jury did not find a breach of contract, “there is no concern that the fraud damages duplicate the damages resulting from the breach.”)

Burns v. Prudential Securities, Inc., 2006-Ohio-3550 (3rd Dist.) (A tort claim can proceed where ‘the facts of the case show an intentional tort committed independently but in connection with a breach of contract.’”)

Northpoint Properties v. Charter One Bank,  2011-Ohio-2512 (8th Dist.) (the presence of a disclaimer doesn’t necessarily shield a defendant from liability and doesn’t preclude a plaintiff from showing justifiable reliance.)

Lucarrell v. Nationwide Mutual Insurance Co., 2018-Ohio-15 (punitive damages available for fraud but not breach of contract.) 

*cited by counsel at argument

Navistar’s Propositions of Law Accepted for Review

Proposition of Law 1

A fraudulent nondisclosure claim is barred as a matter of law when it contradicts an express disclaimer in the parties’ agreement. 

Proposition of Law 2

A fraud claim is barred as a matter of law when it doesn’t seek damages in addition to those sought under a concurrently brought contract claim.

At Oral Argument

Arguing Counsel

Kevin M. Jakopchek, Latham & Watkins, LLP, Chicago, for Appellant Navistar, Inc.

Mark Kitrick, Kitrick, Lewis & Harris Co., L.P.A, Columbus, for Appellee Dutchmaid Logistics, Inc.

Navistar’s Argument

The decision below would radically alter Ohio law and undermine decades of precedent that have provided Ohio businesses with the stability and predictability that comes with their fundamental right to have the terms of their written contracts enforced. As part of their purchase of the Navistar trucks at issue in this litigation, Dutchmaid entered into written warranty agreements that outlined the obligations Navistar made and didn’t make regarding those trucks. Those agreements are exceptionally clear that Navistar made no representations or warranties, express or implied, except those in writing in the parties’ agreement.

Dutchmaid read and accepted the warranty and for years sought and received the full benefit of it. Dutchmaid’s representative admitted that its fraud claim is inconsistent with the warranty terms because the warranty terms and its disclaimer contradict Dutchmaid’s fraud claim. That claim fails as a matter of law under existing precedent. Ohio law mandates that result for good reason. When courts enforce the written terms of parties’ bargains, they force them to get on the same page about the bargained for exchange, and price their transactions accordingly. They prevent the fate of multimillion dollar commercial transactions from turning on self-interested testimony regarding shifting memories of years-old oral conversations, as it did in this case. And Dutchmaid’s fraud claim also fails because Dutchmaid failed to identify any damages attributable to the alleged fraud that were separate from and additional to the ones Dutchmaid alleged stemmed from the breach of contract.

The negotiations occurred with the dealer and with Navistar. The warranty discussions were part of those negotiations and there is no separate consideration for the limited warranty. It was part and parcel of the purchase itself. And Dutchmaid alleged in its own complaint that it relied on the warranty when making its purchase.

The rule in Galmish that fraud claims are barred when they are contradicted by the terms of the parties’ agreements is very easy to apply here. It’s clear that was the only warranty given by Navistar, that it was given in lieu of all other warranties express or implied.

The only basis to impose a duty to disclose and the only basis that was alleged and tried by Dutchmaid, was that there were representations that were made that were not literally false but that created a false impression that Navistar had a duty to correct. Even though the claim is styled as nondisclosure, it is still premised and depends upon allegations of affirmative representation.

In this case, the warranty itself disclaims all representations and all other warranties express or implied. The trial record is not all that clear what Dutchmaid is alleging is the exact partial representation, but the warranty itself disclaims all other representations and all other warranties , so that’s the contradiction. And while it is true that the warranty was preprinted, Ohio law says that just because a contract is preprinted does not mean it is not enforceable if the other party can read and understand it. Dutchmaid understood the warranty. Dutchmaid’s own representative testified that it was clear that it meant that Navistar was making no other promises other than what was in writing. Dutchmaid alleged that it relied on the warranty and alleges that it is an enforceable contract .

There’s no dispute that Dutchmaid understood and agreed to the warranty. There are two very important policy points about why this rule makes sense. The first is related to the integrity of contracts. When manufacturers or sellers disclaim warranties or promises, the price of the transaction goes down. Conversely when they make additional promises, the price goes up. Transactions are based on all the terms in the agreement. When a plaintiff tries to circumvent the terms by claiming reliance on a promise or warranty that was not made, then it is trying to get a benefit that it did not bargain for.

The key here is that Dutchmaid agreed and for years reaped the benefits of its agreement that there were no other representations and warranties consistently getting repairs that Navistar paid for. The warranty agreement is clear that the only agreement that was made was to provide repairs when they were necessary.

Dutchmaid could have asked for a warranty that there would be no EGR cooler repairs. It did not do that. Instead, it agreed to a transaction in which it disclaimed all other representations and warranties. This wasn’t a transaction where they purchased testing services. They were purchasing a vehicle. Any representation or issue related to the testing is still attempting to enforce these expectations regarding quality which were specifically disclaimed in the agreement. 

There’s no question there was an agreement in this case between the parties. There’s no question about what the terms were. There’s no question that Navistar honored every word that was written down in the agreement. The question here is whether Dutchmaid must do the same and honor its commitment that there were no other representations or warranties. Ohio law says that they do.

Dutchmaid’s Argument

This whole case stems on fraud by nondisclosure, as found by the jury. The jury rejected misrepresentation. They rejected breach of contract. Navistar never would have bought these trucks if they had been told the truth. This wasn’t misrepresentation. This is different because this is fraud by not telling, by lying, by covering up. That’s what this jury found after listening to the evidence, listening to the experts, listening to the representatives of each company. They purposely withheld information on the valve having numerous problems and they didn’t have the test time on the road. Trucks are supposed to run about a million miles. They were having problems after about 100,000 miles. They were losing value. There’s not one single reference in this warranty for nondisclosures, or reliance. Material points were purposefully withheld here.

The fraud was the lack of the statements, and that is the key. The jury rejected misrepresentation. They found fraud by nondisclosure. That’s a critical distinction.  Misrepresentations and nondisclosures should not be lumped together.  They are different claims. One’s a tort. One could be a potential contract breach.

Because Navistar had problems with the Maxx1 trucks, they pushed their new Maxx2 trucks. Navistar specifically did not disclose the problems they were having. The jury found there weren’t misrepresentation but there were nondisclosures. There is separate law for nondisclosure and fraud, –this is fraud by the inducement. That is separate from misrepresentations. This contract was born out of the fraud in the inducement to begin with.  

Navistar made the warranty here. There’s no discussion in that warranty saying they disclaimed any and all reliances. There’s not one word of reliance in that express warranty. If Navistar had said any reliances ever made are disclaimed, that’s a different story and we probably wouldn’t be here. It’s one thing to say we’ll fix your trucks. It’s another basically to mislead by inducement and have you make the deal to begin with. If you don’t have the knowledge or are being misled by concealment, how can you really make an informed decision at that point on a material decision making situation? If you don’t tell somebody the truth and you lie about it, how can you say that’s a good, informed decision when you sign something?

The jury did not find this was a breach of a misrepresentation, a breach of warranty.  The jury didn’t say that the warranty was breached. They found the whole warranty occurred because of the fraud in the inducement to begin with. The two can’t be mixed. This court has continuously upheld special separate tort actions compared to contract actions. The jury didn’t find there was a breach of contract here. Navistar did try to fix those trucks numerous times. But Dutchmaid found they were lied to not by misrepresentations, but by omissions. Fraud by nondisclosure was enough to cause Dutchmaid to buy these trucks. Had they known the truth, they wouldn’t have bought these trucks or made this deal to begin with.  

This whole thing started with the fraud. That’s where this is. Navistar wants to reap the benefits of deception that led to the purchase of these trucks and pay nothing.  That’s an unreasonable, unfair, unconscionable result. We want to deter fraud. We want to discourage it. We want to uphold proper contracts. This court has the power to stop such conduct. The jury’s finding should be upheld.

What Was On Their Minds

Representations and Warranties

Does it make a difference in applying Galmish, that the purchase was from a dealership and not directly from Navistar, asked Justice Brunner? What about the difference between a misrepresentation and a concealment? What statements were made that would contradict the warranty?

Wasn’t it just a general boilerplate disclaimer, asked Justice Stewart? There were no discussions or negotiations on what would be included overall, right? I don’t mean to say it has no validity, she added. But when you are talking about express warranties or representations, and you’re saying there’s a meeting of the minds where this standard form says everything means everything -are you saying that is adequate enough for alleged fraudulent misrepresentation?

The fraud was what, the statements, asked Justice DeWine? If we adopt Dutchmaid’s view, what is the point of a warranty? Aren’t what Dutchmaid is calling disclosures actually representations? Doesn’t the warranty clearly disclaim any representations? He added that when one party doesn’t tell the other party something, to him that was a representation. If someone asks you, are there any problems and you say no there’s no problems, that’s a representation, he added. Why isn’t this just a contract claim? Someone buys a truck and the truck doesn’t perform the way it is supposed to—that sounds to me like a contract, he added. Don’t we have the rule about fraud in the inducement when it’s within the scope of the written contract? When there are two sophisticated parties, since when can one say well this was boilerplate we  didn’t actually read it, our attorneys said it didn’t matter? Couldn’t Dutchmaid have negotiated for whatever kind of warranty it wanted? Dutchmaid had a warranty that covered repairs and it didn’t cover time for its losses for not having the vehicles. If Dutchmaid wanted to negotiate for that, it could have negotiated for that, it would have had to pay more, I’m sure, but Dutchmaid didn’t negotiate for that. So why should the Court change the bargain that Dutchmaid made into something else?

Is the warranty irrelevant at this point, asked Chief Justice O’Connor? The way this warranty is written, is it irrelevant to the fraud that preceded the execution of the contract with this warranty in it? So, is focusing on the warranty really misfocusing?

 Disclosures

What gave rise to the obligation to disclose and what was it that Navistar should have disclosed, asked Chief Justice O’Connor? 

Court of Appeals Decision

Didn’t the Court of Appeals say that the language in this contract, standard agreement, can’t vitiate fraud, asked Justice Stewart?  That you can’t escape liability from deliberate misrepresentations under a standard contract?

Did the court of appeals get it right that just because this was some kind of boilerplate it wasn’t important, asked Justice DeWine?

Precedent

Does the Court need to overrule Lucarell v. Nationwide  to go with Navistar’sargument, asked Justice Fischer? There’s a discreet preexisting duty in tort even if there is a contract?

The Trucks

Is it accurate that there were over 100 instances of repair needs over this couple years, asked Chief Justice O’Connor? Were the majority of the repairs having to do with the EGR cooler? Was the representation by the representative that this particular problem had been fixed?

Were these new trucks, asked Justice Brunner? Was the question of adequate stress testing of the Maxx 2 trucks of significance to Dutchmaid? Would it have made a difference if they would have known that they weren’t tested to the point where they could be released?

How it Looks From the Bleachers

To Professor Emerita Bettman

The Chief and Justices Stewart and Brunner seemed to buy Dutchmaid’s argument that their claim was a tort claim for fraudulent nondisclosure, and not a breach of contract claim for misrepresentation or breach of warranty. Justice DeWine, on the other hand, seemed adamant that everything Dutchmaid was claiming as fraud were representations disclaimed by the warranty in the contract, and which the jury found in Navistar’s favor.  

To Student Contributor James Gravely

Navistar’s counsel, Kevin Jakopchek, stuck to what I believed to be his most compelling argument: the written warranty itself disclaims all other warranties, express or implied.  Jakopchek went on to say that while the trial record isn’t clear as to what Dutchmaid is alleging is the partial representation, whatever it may be, the warranty certainly disclaims it.   

Jakopchek makes a policy argument that when manufacturers disclaim warranties the price of the transaction goes down, but when they make additional promises the price of the transaction increases.  So, when a plaintiff tries to circumvent the terms of a contract by claiming reliance on a promise that was made, they’re trying to get a benefit that they didn’t bargain for.  Importantly, Justice Stewart appears to disagree with this notion, especially when faced with a fraud claim.  Navistar responds that this is inconsistent with Ohio law, as there are cases where disclaimers are applied to certain fraud claims such as those that would contradict the unambiguous terms of an agreement.   

Justice Brunner had many questions for Jakopchek but did not seem completely convinced by his argument.  She focused on the representation made by Navistar’s employees and the number and type of repairs made to the trucks.  She seemed at least amenable to Dutchmaid’s argument by inquiring into what Dutchmaid would’ve done if they had been given all the information- a question easily answered by Dutchmaid’s counsel, Mark Kitrick. 

Chief Justice O’Connor summarized Kitrick’s argument succinctly by questioning the relevance of the warranty at all, especially considering the fraud that preceded it’s execution.  Kitrick agrees that focusing on the warranty results in a misfocusing on the case as a whole.   She also seemed less than convinced by Jakopchek’s argument as she focused on the failure of the EGR system as well as on the representations made by the Navistar sales representative. 

Justice DeWine appears to be more unreceptiveto Dutchmaid’s argument about the subject of the case being a fraudulent nondisclosure, not a misrepresentation.  He pressed Kitrick by arguing that his examples of nondisclosure’s were actually just misrepresentations by saying, “you’re trying to slice a pretty thin apple here.”  Kitrick admitted that the distinction was thin but disagreed with Justice DeWine’s definition of a misrepresentation.  This is likely the biggest flaw in Dutchmaid’s argument.

Read the analysis of the oral argument here.

On April 27, 2022, the Supreme Court of Ohio will hear oral argument in State of Ohio v. Alan Schubert, 2021-0761. At issue in this case is whether police officers may reasonably rely on a search warrant issued for a cell phone despite scant factual evidence linking it to a crime.. The case will be argued at Miami Trace High School in Fayette County as part the Court’s off-site program.

Case Background

In June 2018, Alan Schubert, driving a Jeep in Licking County, allegedly crossed the center line and caused a crash, which killed another driver. Police obtained a search warrant to test Schubert’s blood, which allegedly contained illegal concentrations of amphetamine and methamphetamine.

Police then obtained two additional search warrants, authorizing their search of three cell phones found at the crash scene. The first warrant authorizing search of the phones was issued November 2018 by Franklin County Municipal Court Judge Amy Salerno; the second March 2019 by Franklin County Municipal Court Judge Paul Herbert. All the phones belonged to Schubert, and he allegedly stored child pornography on one of them. He was charged with six counts of pandering obscenity of a minor. Schubert contested the validity of all three warrants, arguing police lacked the required probable cause to obtain them. Licking County Common Pleas Court Judge Thomas M. Marcelain overruled Schubert’s motion to suppress evidence found on his phones.

Schubert entered no-contest pleas to the six pandering charges, as well as to aggravated vehicular homicide. He was convicted and sentenced to twelve years.

The Appeal

Schubert appealed his conviction to the Fifth District. The Fifth District held that the warrant authorizing the collection of Schubert’s blood and the March 2019 search warrant in which the forensic examiner observed photographs of nude juvenile females contained probable cause. But Judges William B. Hoffman, Scott Gwin, and Earle E. Wise all agreed with Schubert’s claim that the November 2018 Salerno search warrant for the three cellphones lacked probable cause. However, Judges Hoffman and Gwin found the good-faith exception applied, and that the trial court properly denied Schubert’s motion to suppress evidence.

The Fifth District quoted the affidavit used to obtain the November 2018 search warrant for the discovered phones: “[T]he digital devices in question may contain additional evidence into the criminal investigation.” Though no one witnessed the crash, officers wrote in the affidavit that evidence may include call, texting, or internet activity performed on the phone at the time of the crash.

The use of the word “may” in the affidavit proved fatal to its validity, according to the Fifth District. It showed the officer “did not have a fair probability to believe evidence [concerning the crash] was in the cell phone data, but rather was merely speculating.” Finding probable cause in this case would allow officers to search phones after any car crash, as they may find evidence therein. The Fifth District declined to establish such a rule.

However, the Fifth District majority found suppressing evidence was not warranted in this case, as the officers reasonably relied on the faulty warrant. The court applied the good-faith exception and affirmed the trial court’s denial of Schubert’s motion to suppress.

Judge Wise dissented on the application of the good faith exception, writing that the good-faith exception should not apply. Judge Wise instead wrote that the data sought in the phone was not linked with any particularity to criminal activity. Police offered “no evidence” that Schubert had been using his phone during or preceding the crash and instead relied on “speculation.” Citing United States v. Leon, the United States Supreme Court case that established the good-faith exception, Judge Wise wrote the exception does not apply when a warrant fails to “particularize the . . . things to be seized.”

 Key Statutes and Precedent

U.S. Constitution, Amendment IV (“The right of the people to be secure in their persons, houses, papers, and effects, against unreasonable searches and seizures, shall not be violated, and no warrants shall issue, but upon probable cause, supported by oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.”)

Ohio Constitution, Article I, Section 14 (“The right of the people to be secure in their persons … against unreasonable searches and seizures shall not be violated; and no warrant shall issue, but upon probable cause, supported by oath or affirmation, particularly describing … the person … to be seized.”)

Nathanson v. United States, 290 U.S. 41 (1933) (holding “mere suspicion” is insufficient for a finding of probable cause.)

Aguilar v. Texas, 378 U.S. 108 (1964) (The Fourth Amendment’s protection requires that “inferences be drawn by a neutral and detached magistrate instead of being judged by the officer engaged in the often competitive enterprise of ferreting out crime.”)

Spinelli v. United States, 393 U.S. 410 (1969) (A magistrates’ “determination of probable cause should be paid great deference by reviewing courts.”)

Illinois v. Gates, 462 U.S. 213 (1983) (“The task of the issuing magistrate is simply to make a practical, common-sense decision whether, given all the circumstances . . . there is a fair probability that contraband or evidence of a crime will be found in a particular place.”)

United States v. Leon, 468 U.S. 897 (1984) (“When police act in an objectively reasonable manner in executing a search believed in good faith to be legal, there is no bad conduct to deter” under the exclusionary rule. . . . “[A] warrant may be so facially deficient — i.e., in failing to particularize the place to be searched or the things to be seized — that the executing officers cannot reasonably presume it to be valid.”)

State v. Wilmoth, 22 Ohio St. 3d 251 (1986) (in which the Supreme Court of Ohio adopts the Leon good-faith exception.)

Ornelas v. United States, 517 U.S. 690 (1996) (“[A] reviewing court should take care both to review findings of historical fact only for clear error and to give due weight to inferences drawn from those facts by resident judges and local law enforcement officers.”)

United States v. Laughton, 409 F.3d 744 (6th Cir. 2005) (reversing district court’s validation of warrant under the good-faith exception upon finding no nexus between place to be searched and alleged criminal activity.)

State v. Hoffman, 2014-Ohio-4795 (“[T]he purpose of the exclusionary rule is to deter unlawful police conduct.”)

State v. Castagnola, 2015-Ohio-1565 (in suppressing evidence based on invalid search warrant, Supreme Court of Ohio writes, in part, that “the broad language of this search warrant clearly included items that were not subject to seizure. The search warrant permitted [an officer] to examine every record or document on [appellant’s] computer in order to find any evidence of the alleged crimes.”)

Stevenson v. State, 168 A.3d 967 (2017) (finding officers relied in good faith on warrant backed by affidavit that stated, “It is through my knowledge and experience that suspects in robberies and assaults will sometimes take pictures, videos and send messages about their criminal activities on their cellular phones. I am wishing to search this phone to attempt to recover any evidence of the robbery and assault of [the victim] which may be stored on the phone . . . “)

Votes to Accept the Case

Yes: Justices Donnelly, Stewart, Brunner, and Kennedy*

No: Chief Justice O’Connor and Justices DeWine and Fischer

*Justice Kennedy would accept the appeal on all propositions of law.

Schubert’s Third Proposition of Law Accepted for Review

An officer cannot reasonably presume a warrant to search a cell phone found at a crash scene is valid, when the affidavit supporting the warrant only states that the police “may” find evidence of how a crash occurred on the phone, without any actual evidence that the driver was using his phone when the crash occurred.

Schubert’s Argument

The November 2018 warrant in question lacked probable cause, and the affidavit supporting the warrant was so facially deficient and “bare bones” that an officer could not reasonably presume its validity.

Leon held that, when affidavits lack sufficient factual support to allow a magistrate to determine the existence of probable cause, suppression is justified. Under Aguilar, inference-making, in determining probable cause, must be performed by a magistrate, not by officers.

The need for a factual basis in warrant applications manifests in most of the Leon scenarios calling for suppression: the issuing judge abandoned her role, the officer’s reliance on the warrant was unreasonable, or the warrant was facially deficient.

Police in this case provided just one fact in the affidavit: that the phones were discovered at the crash scene.

Second, Laughton held that in determining if an affidavit is bare bones, courts should gauge whether there existed a connection between criminal activity and the place to be searched. The absence of such a nexus precludes reasonable belief in probable cause.

Mere suspicion is an insufficient basis for probable cause. As this Court held in Castagnola, a warrant based on conjecture is insufficient.

Here, there was no factual nexus between the phones and the crash. No witnesses saw Schubert operating a phone while driving, nor even did saw a phone in his hand. The officer merely speculated that evidence of a crime existed on the discovered phones.

The State’s reliance on Stevenson is not persuasive, as the officer there identified specific evidence commonly found on phones for the type of crime being investigated. Here, the officer did not do so.

In addition, the State cites Leon for the proposition that disagreement as to the existence of probable cause among judges supports that an officer reasonably relied on a warrant. However, all three appellate judges in this case found the November 2018 warrant lacked probable cause.

This Court should reverse the Fifth District’s holding that the good-faith exception precludes suppression of the evidence.

State’s Argument

The trial court found that none of the four Leon possibilities — that the issuing judge was misled or abandoned her role, that the officer’s reliance on the warrant was unreasonable, or that the warrant was facially deficient — apply here, so the case should not be removed from the reach of the good-faith exception.

Two Ohio appellate judges affirmed that the warrant was not facially deficient, and thus an officer could reasonably presume its validity.

Leon stands for the proposition that disagreement among judges regarding probable cause supports an argument for the good-faith exception. Here, both Judge Marcelain, reviewing at the trial level, and Judge Salerno, who issued the search warrant, agreed that probable cause existed.

Judge Marcelain also wrote that the warrant called for a search of phones that may contain evidence of distracted driving. The Fifth District agreed that the phones could contain such evidence.

A valid affidavit for a search warrant must only provide a “fair probability . . . that evidence of a crime will be found in a particular place.” Probable cause may be based on “common-sense conclusions about human behavior.”

In Stevenson, a Maryland court held the good-faith exception applied when an officer requesting a warrant to search a phone stated perpetrators “sometimes” recorded illegal activity on their phones.

In Spinelli, the United States Supreme Court held that reviewing courts should pay “great deference” to magistrates who make probable cause determinations. In addition, police may make inferences based on their experience when determining if probable cause exists.

The inferences made by police in this case were supported by both Judge Salerno’s issuance of the warrant and the trial court’s upholding the probable-cause determination.

The exclusionary rule is meant to deter police misconduct. When officers rely in good faith on a warrant, suppressing evidence serves no useful purpose.

Schubert’s appeal should be denied.

Student Contributor: Max Londberg