DocketNumber: No. 149, 2012
Citation Numbers: 60 A.3d 1100, 2013 Del. LEXIS 53, 2013 WL 427287
Judges: Berger, Holland, Jacobs, Ridgely, Steele
Filed Date: 2/4/2013
Status: Precedential
Modified Date: 10/26/2024
In this appeal, we consider whether a Superior Court judge’s decision to admit a blood analysis report without the testing chemist’s testimony violated Defendant-Appellant’s Sixth Amendment confrontation rights. Here, the testifying laboratory manager who ultimately certified the report testified before the jury, but the manager neither observed nor performed the test. We hold that the absent analyst’s testimonial representations were admitted for their truth on an issue central to the case, which violated the Defendant’s right to confront the witnesses against him. Accordingly, we must reverse.
I. FACTUAL AND PROCEDURAL HISTORY
A. Facts
On January 8, 2011, Delaware State Police Trooper David Diana pulled over Defendant-Appellant Larry Martin for speeding and erratic driving. After administering field sobriety tests, Diana took Martin back to the troop in order to collect a blood sample. The State sent the blood sample to the toxicology lab at the Office of the Chief Medical Examiner (OCME) for drug testing.
Heather Wert, an OCME chemist, analyzed Martin’s blood sample, but did not testify at Martin’s jury trial. Instead, Jessica Smith, OCME’s Chief Forensic Toxicologist and toxicology laboratory’s manager, testified. Smith explained that the laboratory conducted an initial and confirmatory screening on Martin’s blood sample. Wert performed both of those tests; an initial reviewer reviewed the results of both tests, and then Smith received the batch packets including the results from both tests for final certification and review. Smith testified that she did not observe Wert perform the analysis, but instead customarily relied on Wert to follow the standard operating procedure Smith develops and approves as laboratory manager. Smith detailed how Wert would have performed a confirmatory screening via gas chromatograph mass spectrometry.
B. Procedural History
A grand jury indicted Martin on February 14, 2011, charging him (in pertinent part) with Driving a Vehicle While Under the Influence or with a Prohibited Drug Content. On December 8, 2011, Martin moved in limine to exclude the State’s proffered forensic reports in the absence of the testimony of the analyst who performed the tests. The trial judge denied the motion in a December 20, 2011 letter opinion.
II. STANDARD OF REVIEW
We review de novo whether the trial judge’s decision to deny the motion in limine violated Martin’s right to confrontation under the Sixth Amendment of the United States Constitution and Article I, Section 7 of the Delaware Constitution.
III. ANALYSIS
The Sixth Amendment to the United States Constitution, which applies to the states through the Fourteenth Amendment,
We recognize that substantial uncertainty exists about whether a particular statement is “testimonial” or otherwise triggers the Confrontation Clause. In Crawford, the U.S. Supreme Court identified the basic contours of “testimonial” statements:
Various formulations of this core class of “testimonial” statements exist: “ex parte in-court testimony or its functional equivalent — that is, material such as affidavits, custodial examinations, prior testimony that the defendant was unable to cross-examine, or similar pretrial statements that declarants would reasonably expect to be used prosecuto-rially,” “extrajudicial statements ... contained in formalized testimonial materials, such as affidavits, depositions, prior testimony, or confessions,” [and] “statements that were made under circumstances which would lead an objective witness reasonably to believe that the statement would be available for use at a later trial.”8
The U.S. Supreme Court again addressed the meaning of “testimonial” in Melendez-Diaz v. Massachusetts.
The U.S. Supreme Court returned to the subject of the Confrontation Clause once again in Bullcoming v. New Mexico.
As part of its analysis in Bullcoming, the U.S. Supreme Court noted that the operation of a gas chromatograph machine requires “specialized knowledge and training” and that human error can occur at several points during the testing process.
Justice Sotomayor, while joining Bull-coming’s majority opinion, wrote separately for two reasons: (1) to emphasize that she viewed the report as testimonial because its primary purpose was evidentiary, and (2) “to emphasize the limited reach of the Court’s opinion.”
Second, she noted that Bullcoming “is not a case in which an expert witness was asked for his independent opinion about underlying testimonial reports that were not themselves admitted into evidence.”
The U.S. Supreme Court attempted to further illuminate the contours of the Confrontation Clause in Williams v. Illinois, where the defendant was charged with, among other things, aggravated criminal sexual assault.
The precise holding of Williams is less than clear (and not only to us).
Justice Thomas did not join the Williams plurality, but rather wrote separately to concur only in the judgment, “solely because Cellmark’s statements lacked the requisite formality and solemnity to be considered testimonial for purposes of the Confrontation Clause.”
Justice Kagan, joined by Justices Scalia, Ginsburg, and Sotomayor, dissented, concluding that admission of the substance of the Cellmark report violated the defendant’s confrontation rights.
Like the surrogate witness in Bullcom-ing, [the testifying analyst] could not convey what [the testing analyst] knew or observed about the events ..., i.e., the particular test and testing process*1106 he employed. Nor could such surrogate testimony expose any lapses or lies on the testing analyst’s part. Like the lawyers in Melendez-Diaz and Bullcoming, Williams’s attorney could not ask questions about that analyst’s proficiency, the care he took in performing his work, and his veracity. He could not probe whether the analyst had tested the wrong vial, inverted the labels on the samples, committed some more technical error, or simply made up the results.47
The dissent also notes that “five Justices agree, in two opinions reciting the same reasons, that ... [the] statements about Cellmark’s report went to its truth.”
Justice Breyer, although he joined in the plurality opinion, concurred separately to note that neither the plurality, nor the dissent, nor any of the Court’s earlier opinions squarely addressed the question of how the Confrontation Clause applies “to the panoply of crime laboratory reports and underlying technical statements written by (or otherwise made by) laboratory technicians.”
We believe the facts in the instant case fall most closely under Bullcoming. However, as Justice Breyer noted, Bullcoming does not precisely answer the question in our case. In this case, unlike in Bullcom-ing, the certifying analyst testified. However, she neither participated in nor observed the test on Martin’s blood sample. She only reviewed the data and conclusions of the chemist who actually performed the test.
As Justice Breyer also noted, Williams does not directly address the multitechni-cian scenario either. Williams is distinguishable because it was a bench trial, unlike Martin’s jury trial (a fact the plurality found critical). Although no one connected with the report at issue in Williams testified, in Martin’s jury trial the testifying witness supervised the lab in question, reviewed earlier work, and signed the certifying report.
We hold that Wert’s test results contained in the batch report are testimonial. The U.S. Supreme Court in Bullcoming rejected the proposition that conclusions drawn from a gas chromatograph machine are mere transcriptions requiring no interpretation and no independent judgment.
Bullcoming declares that the certifying witness must testify, but Bullcoming also seems to contemplate that the certifying witness must either observe or perform the test.
In Williams, the Cellmark report “was neither admitted into evidence nor shown to the factfinder.”
Wert’s batch reports were not submitted into evidence. However, Smith relied on Wert’s reports, conclusions, and notes in order to certify that Martin’s blood contained PCP.
Turning to whether the statements were testimonial, we rely on Bullcoming to reach the conclusion that Wert’s underlying statements and representations in the batch report are testimonial.
Because we hold that Wert’s statements were both testimonial and admitted for the truth of the matter, this is one of the
The U.S. Supreme Court very clearly held in Bullcoming that the defendant must be able to confront the certifying analyst when her report is submitted into evidence.
The judgment of the Superior Court is REVERSED and the action is REMANDED for proceedings consistent with this opinion.
. According to Smith, if Wert properly follows the established protocol, she first notes the samples that are flagged in the laboratory’s spreadsheet for confirmatory testing for phencyclidine (PCP). Wert then generates a chain of custody worksheet, retrieves the batch of samples, performs the extractions, places the final products into the machine, allows the machine to run, and processes the data. Finally, Wert prints out the data for all of the samples into a batch report.
. State v. Martin, 2011 WL 7062499 (Del.Super.Dec. 20, 2011).
. Hall v. State, 788 A.2d 118, 123 (Del.2001) (citing Warren v. State, 774 A.2d 246, 251 (Del.2001)). Martin does not argue that the Delaware Constitution affords greater protection than the Sixth Amendment to the U.S. Constitution. Therefore, we limit our analysis to the U.S. Constitution. See Stafford v. State, 59 A.3d 1223, 1231 (Del.2012) (citations omitted).
. Melendez-Diaz v. Massachusetts, 557 U.S. 305, 309, 129 S.Ct. 2527, 174 L.Ed.2d 314 (2009) (citing Pointer v. Texas, 380 U.S. 400, 403, 85 S.Ct. 1065, 13 L.Ed.2d 923 (1965)).
. U.S. Const, amend. VI.
. Crawford v. Washington, 541 U.S. 36, 51, 124 S.Ct. 1354, 158 L.Ed.2d 177 (2004) (citation omitted).
. Melendez-Diaz, 557 U.S. at 309, 129 S.Ct. 2527 (citing Crawford, 541 U.S. at 54, 124 S.Ct. 1354).
. Crawford, 541 U.S. at 51-52, 124 S.Ct. 1354 (citations omitted).
. 557 U.S. 305, 129 S.Ct. 2527, 174 L.Ed.2d 314 (2009).
. Id. at 308-09, 129 S.Ct. 2527.
. Id. at 310-11, 129 S.Ct. 2527 (quoting Davis v. Washington, 547 U.S. 813, 830, 126 S.Ct. 2266, 165 L.Ed.2d 224 (2006) (emphasis omitted)).
. Id. at 311, 129 S.Ct. 2527.
. Bullcoming v. New Mexico, - U.S. -, 131 S.Ct. 2705, 180 L.Ed.2d 610 (2011).
. Id. at 2709.
. Id. at 2712.
. Id. at 2709.
. Id. at 2710, 2712.
. Id. at 2710.
. Id. at 2717.
. Id. at 2711.
. Id. at 2715 (footnote omitted).
. Id. at 2715 n. 7.
. Id. at 2719 (Sotomayor, J., concurring).
. Id. at 2722.
. Id. (emphasis added).
. Id.
. Id.
. Williams v. Illinois, - U.S. -, 132 S.Ct. 2221, 2229, 183 L.Ed.2d 89 (2012) (plurality opinion).
. Id. at 2227, 2229.
. Id. at 2227, 2229-30.
. Id. at 2227, 2229.
. Id. at 2227.
. Id. at 2230.
. Id.
. See, e.g., People v. Lopez, 55 Cal.4th 569, 147 Cal.Rptr.3d 559, 286 P.3d 469, 483 (2012) (Liu, J., dissenting) (citing Williams, - U.S. -, 132 S.Ct. 2221, 183 L.Ed.2d 89) ("The nine separate opinions offered by this court in the three confrontation clause cases decided today reflect the muddled state of current doctrine concerning the Sixth Amendment right of criminal defendants to confront the state’s witnesses against them. The United States Supreme Court’s most recent decision in this area produced no authoritative guidance beyond the result reached on the particular facts of that case.”).
. Williams, 132 S.Ct. at 2228 (plurality opinion).
. Id.
. Id. at 2236.
. Id. at 2255 (Thomas, J., concurring) (emphasis added) (citation omitted) (internal quotation marks omitted).
. Id.
. Id. at 2262, 2261-64.
. Id. at 2255.
. Id. at 2265 (Kagan, J., dissenting).
. Id. at 2273.
. Id.
. Id. at 2268 (quoting Bullcoming v. New Mexico, -U.S. -, 131 S.Ct. 2705, 2716, 180 L.Ed.2d 610 (2011)) (internal quotation marks omitted).
. Id. at 2267. The dissent later identified some of the most important questions a defendant would want to ask an analyst: "How much experience do you have? Have you ever made mistakes in the past? Did you test the right sample? Use the right procedures? Contaminate the sample in any way?” Id. at 2275.
. Id. at 2268 (citation omitted).
. Id. at 2244, 2244-45 (Breyer, J., concurring).
. Id. at 2247.
. Id.
. Bullcoming v. New Mexico, - U.S. -, 131 S.Ct. 2705, 2714-15, 180 L.Ed.2d 610 (2011).
. Id. at 2715.
. Id. at 2715-16.
. Id. at 2715 (citations omitted).
. Williams, 132 S.Ct at 2230.
. Id.
. Id. at 2256 (Thomas, J., concurring); id. at 2268 (Kagan, J., dissenting).
. Id. at 2268 (Kagan, J., dissenting) (quoting Bullcoming, 131 S.Ct. at 2716) (internal quotation marks omitted).
. Smith testified that Wert makes notations on checklists about the procedures she followed, processes the data the machine generates, tells the machine to print, and generates a batch packet with the results. State v. Martin, Cr. ID No. 1101005435, at 101-03, 115-16 (Del.Super. Jan. 12, 2012) (TRANSCRIPT).
. See supra notes 38, 58 and accompanying text.
. While we rely primarily on Bullcoming, it seems that a majority of the U.S. Supreme Court would come to that conclusion as well under Williams, albeit through different rationales. Williams does not clearly address the
. Bullcoming v. New Mexico, - U.S. -, 131 S.Ct. 2705, 2716, 180 L.Ed.2d 610 (2011) (citing Melendez-Diaz v. Massachusetts, 557 U.S. 305, 311, 129 S.Ct. 2527, 174 L.Ed.2d 314 (2009)).
. Id. at 2710-11, 2715. For example, as indicated by Smith’s testimony, absence of a notation in the batch report indicates the testing analyst observed nothing abnormal about the test, assuming the analyst followed the laboratory’s operating protocols about notations. State v. Martin, Cr. ID No. 1101005435, at 101-03 (Del.Super. Jan. 12, 2012) (TRANSCRIPT).
. Bullcoming, 131 S.Ct. at 2714 (addressing similar silence in a "remarks” section of a forensic report).
. Melendez-Diaz v. Massachusetts, 557 U.S. 305, 310-11, 129 S.Ct. 2527, 174 L.Ed.2d 314 (2009) (quoting Davis v. Washington, 547 U.S. 813, 830, 126 S.Ct. 2266, 165 L.Ed.2d 224 (2006) (emphasis omitted)).
. Bullcoming, 131 S.Ct. at 2715 n. 7, 2715.
. Davis v. Washington, 547 U.S. 813, 826, 126 S.Ct. 2266, 165 L.Ed.2d 224 (2006) ("In any event, we do not think it conceivable that the protections of the Confrontation Clause can readily be evaded by having a note-taking policeman recite the unsworn hearsay testimony of the declarant, instead of having the declarant sign a deposition.”); see also Bullcoming, 131 S.Ct. at 2715 (citing Melendez-Diaz, 557 U.S. at 334, 129 S.Ct. 2527 (Kennedy, J., dissenting) ("The Court made clear in Davis that it will not permit the testimonial statement of one witness to enter into evidence through the in-court testimony of a second.’’)).
. Bullcoming, 131 S.Ct. at 2722 (Sotomayor, J., concurring).
. Id.
. See id. at 2715 n. 7 (majority opinion).
. Id. at 2715 (citation omitted).
. The Court of Appeals of Maryland, in a 2011 opinion that the U.S. Supreme Court vacated and remanded for consideration in light of Williams, came to a similar conclusion that the testifying analyst must at least observe the test underlying his report. See Derr v. State, 422 Md. 211, 29 A.3d 533, 559 (2011), vacated, — U.S. -, 133 S.Ct. 63, 183 L.Ed.2d 700 (2012), remanded to No. 6 (2010 Term) (oral argument held on January 4, 2013). We have considered Williams and reach a similar conclusion to the Court of Appeals of Maryland.
. One solution to the inconvenience of having two state chemists testify would be to have the testing analyst prepare and certify her own report. It is also possible that defendants may stipulate to the contents of a report or the testimony of the chemist, thus negating the need for the chemist to be cross examined. See Brief of Law Professors as Amici Curiae in Support of Petitioner at 10-13, Melendez-Diaz v. Massachusetts, 557 U.S. 305, 129 S.Ct. 2527, 174 L.Ed.2d 314 (2009) (No. 07-591). While the constitutionality of the statute is not at issue in this case, we note the General Assembly may have in place a notice- and-demand statute that might permit defendants to waive their confrontation rights if they do not object to notice that the prosecution intends to enter a forensic report in a timely fashion. See 10 Del. C. §§ 4330-4332; see also Brief of Law Professors, supra, at 13-15. U.S. Supreme Court Justices have mentioned these types of statutes approvingly. See Bullcoming, 131 S.Ct. at 2718 (Part IV of the Court’s opinion, in which Justices Soto-mayor, Kagan, and Thomas did not join).
. Sanabria v. State, 974 A.2d 107, 120 (Del.2009).