DocketNumber: No. 84045-8
Citation Numbers: 179 Wash. 2d 457, 315 P.3d 493
Judges: Chambers, Fairhurst, González, Johnson, Madsen, Only, Owens, Stephens, Wiggins
Filed Date: 1/2/2014
Status: Precedential
Modified Date: 10/19/2024
¶1 This case presents the question of when the confrontation clause requires testimony from lab analysts who conduct forensic tests on evidence. While the United States Supreme Court has grappled with this issue on multiple occasions, a majority of the Court has not adopted a single theory or test. Accordingly, our decision follows the results of recent Supreme Court decisions and proposes a test for expert witnesses that does not conflict with Supreme Court precedent.
¶2 We examine the plain language of the confrontation right: an accused person has a right to confront “the witnesses against him.”
FACTS AND PROCEDURAL HISTORY
¶4 Lui and Boussiacos had a turbulent relationship, marked by mistrust and infidelity. Although they were engaged and living together by the summer of 2000, Boussiacos was uncertain about their marriage plans and she alternated between wearing and not wearing her engagement ring. Boussiacos eventually discovered proof of an affair Lui was having with a married woman, and together the two women trapped him in a lie. Lui was aware that his relationship with Boussiacos was in trouble. He feared that Boussiacos would not return from a trip in mid-2000 and called a friend distraught and crying at the prospect of losing her.
¶5 Boussiacos told her mother that she no longer planned to marry Lui, and in early 2001, Boussiacos made plans to fly to her mother’s home in California. On Friday, February 2, 2001, the night before her flight, Boussiacos dropped off her son from a previous marriage with the boy’s father. Lui told police that Boussiacos returned to the couple’s home at roughly 10:00 p.m., and the couple watched television. According to Lui’s account, Boussiacos packed for the trip, changed into her nightgown, and went to bed.
¶6 Boussiacos never arrived in California. Her mother contacted Lui to report her missing the following Monday.
¶7 Boussiacos’s friends and family agreed that she paid close attention to her personal appearance, taking great care with her dress and makeup when she went out. Her ex-husband testified that she routinely spent two hours on makeup, hair, and clothes before leaving the house. But when found, she had little makeup on and she was dressed in black sweatpants, torn underwear, and a white T-shirt. Investigators noted that she was wearing tennis shoes, but the laces were tied oddly, on the far sides of each shoe, suggesting that her killer had dressed her after death. In addition, Boussiacos’s luggage was packed in an unusual manner, containing several empty containers of hair product and makeup, two hair dryers, and a bottle of nail polish remover without any nail polish.
¶8 In 2007, detectives reviewing cold cases contacted and interviewed Lui. The State subsequently charged Lui with second degree murder in the death of Boussiacos. At trial, in addition to the evidence described above, the State presented expert testimony from Chief Medical Examiner Dr. Richard Harruff and DNA expert Gina Pineda. Harruff’s testimony related to Boussiacos’s autopsy. While Harruff personally reviews the reports for each of the 1,300 autopsies that his office processes each year, the actual autopsy had been performed by Associate Medical Examiner Dr. Kathy Raven. Harruff was not present for the autopsy, and while he believed that he saw the body after the procedure, he could not be sure. However, Harruff did
¶9 Harruff testified that the body’s temperature at the scene was measured at 38.4 degrees Fahrenheit and that the ambient temperature was 30.5 degrees Fahrenheit. He did not take these measurements himself. Rather, Raven took the temperature measurements and recorded them in personal notes that were not part of the autopsy report but were later obtained in discovery. Based on these two temperature data points, Harruff testified to his opinion that although it was “extremely difficult” to fix an exact time of death, death was possible at any time between the second and seventh of February. 10 Report of Proceedings (RP) at 1354-56, 1398-99.
¶10 Harruff also testified to the conclusions of a toxicology report prepared by analyst Martin Hughes of the Washington State Toxicology Laboratory. Harruff did not perform this test personally or supervise it, and he did not offer his professional opinion about the testing methodology. Instead, he recited the report’s conclusion that no drugs, alcohol, or nicotine were found in Boussiacos’s system.
¶11 The Washington State Patrol Crime Laboratory sent DNA samples obtained from the crime scene to two outside DNA laboratories: Orchid Cellmark and Reliagene Tech
¶12 Pineda did not personally participate in or observe the tests, noting that since assuming her director role, she had “stepped away from the lab,” although she did use the electronic data produced during the testing process to create a DNA profile that reflected “[her] own interpretation and [her] own conclusions . ...” 12 RP at 1484, 1507. She offered a document summarizing the test results, which the trial court admitted solely for illustrative purposes, ruling that Pineda could refer to it during her presentation but that it would not go back to the jury room. State Ex. 136. Pineda testified that based on the results of these tests, she could not eliminate Lui or Lui’s son as a major donor of the male DNA found on the shoelaces. Nor could Boussiacos’s ex-husband be eliminated as a donor. The lab’s testing was unable to detect a male profile from the vaginal swab extract. However, Lui or Lui’s son could not be eliminated as a donor of the DNA found in the vaginal wash.
¶13 Lui objected to Harruff’s and Pineda’s testimony on hearsay and confrontation grounds. The trial court rejected his hearsay argument because ER 703 allows experts to rely on hearsay in forming their opinions. It concluded that there was no confrontation violation because Harruff and Pineda were available for cross-examination. A jury found Lui guilty as charged, and the trial court imposed a standard-range sentence of 200 months of confinement.
¶14 Lui appealed, and the Court of Appeals affirmed in a published opinion. State v. Lui, 153 Wn. App. 304, 325,221
¶15 We accepted review and heard oral argument, but before issuing a decision, we granted the State’s motion to file supplemental briefs addressing Bullcoming v. New Mexico,_U.S._, 131 S. Ct. 2705, 180 L. Ed. 2d 610 (2011). We then stayed our decision pending the United States Supreme Court’s decision in Williams v. Illinois,_ U.S._, 132 S. Ct. 2221, 183 L. Ed. 2d 89 (2012) (plurality opinion). Following the Supreme Court’s decision in Williams, we lifted the stay and heard reargument in Lui’s case.
ANALYSIS
¶16 As an initial matter, we must decide whether to analyze Lui’s claims solely under the Sixth Amendment to the United States Constitution or separately under article I, section 22 of the Washington Constitution.
I. Article I, Section 22
¶17 Article I, section 22 of the Washington Constitution provides that “[i]n criminal prosecutions the accused shall have the right... to meet the witnesses against him face to face . . . . ” While Lui relies primarily on the Sixth Amendment, he raises article I, section 22 as an alternate ground for relief in the event the court concludes his federal confrontation clause rights were not violated.
¶18 We consider six nonexclusive criteria when determining whether a provision of our state constitution should
¶19 This court has concluded that article I, section 22 merits an independent analysis as to both the manner and the scope of the confrontation right. State v. Pugh, 167 Wn.2d 825, 835, 225 P.3d 892 (2009). Therefore, a full Gunwall analysis “is no longer necessary.” Id. Rather, we look to “ ‘ “whether the unique characteristics of the state constitutional provision and its prior interpretations actually compel a particular result.” ’ ” Id. (quoting State v. Chenoweth, 160 Wn.2d 454, 463,158 P.3d 595 (2007) (quoting City of Seattle v. McCready, 123 Wn.2d 260, 267, 868 P.2d 134 (1994))). This entails “an examination of the constitutional text, the historical treatment of the interest at stake as reflected in relevant case law and statutes, and the current implications of recognizing or not recognizing an interest.” Chenoweth, 160 Wn.2d at 463. In this case, none of these factors calls for an independent reading of article I, section 22.
¶20 The text of article I, section 22 does not compel a result different from that under the Sixth Amendment. Both the Sixth Amendment and article I, section 22 protect a variety of criminal procedural rights; the relevant right is phrased in the federal constitution as the right “to be confronted with the witnesses against him,” while the state constitution uses the language “to meet the witnesses against him face to face .... ” U.S. Const, amend. VI; Const. art. I, § 22. On the face of these provisions, article I, section 22 is unique in that it uses the language “face to face” where the Sixth Amendment does not. However, in State v. Foster, 135 Wn.2d 441, 462-63, 957 P.2d 712 (1998), a plurality of this court declined to give literal effect to the “face to face” language. We held that “the meaning of the words used in the parallel clauses is substantially the same.” Id. at 459.
¶22 Our prior interpretations of article I, section 22 similarly do not compel a particular result. We have consistently rejected arguments that the state confrontation clause provides greater protection than the federal confrontation clause. See Pugh, 167 Wn.2d at 840-45 (excited utterance hearsay exception does not violate state confrontation rights); State v. Shafer, 156 Wn.2d 381, 391-92, 128 P.3d 87 (2006) (child hearsay statute does not violate state confrontation rights); Foster, 135 Wn.2d at 470 (testimony by closed-circuit television does not violate state confrontation rights). These decisions are consistent with early decisions by Washington courts admitting documentary evidence in lieu of live testimony, as well as prestatehood statutes allowing depositions to be introduced at trial. See Foster, 135 Wn.2d at 462. Lui has not shown any particular Washington tradition protecting the right to confrontation over and above the federal standard.
¶23 Finally, Lui does not brief the current implications of recognizing or not recognizing an expanded confrontation interest under the Washington Constitution, other than that judges and litigants will benefit from knowing which witnesses will appear at trial. But the interest in knowing which witnesses will appear at trial, as well as the consti
¶24 Neither the constitutional text, the historical treatment of the confrontation right, nor the current implications of adopting a broader confrontation right support an independent reading of article I, section 22 in this case. Accordingly, we analyze Lui’s claim solely under the federal confrontation clause.
II. Confrontation Clause
¶25 United States Supreme Court case law on the confrontation clause is somewhat fragmented and does not provide a controlling rule for cases like Lui’s that involve expert witnesses. As we explain below, in the case of nonexpert witnesses, a majority of the Supreme Court has settled on the primary purpose test as the controlling confrontation clause rule. But in the case of expert witnesses, the members of the Court are divided into two groups of four justices each, with Justice Thomas voting independently based on his unique interpretation of the confrontation clause. In the absence of an authoritative Supreme Court majority rule, we must rely on the plain language of the confrontation clause: an accused person has a right to confront “the witnesses against him.”
A. Supreme Court Confrontation Clause Jurisprudence — A Core Rule, and Uncertainty on the Periphery
¶26 Before 2004, confrontation clause jurisprudence was governed by the indicia of reliability test. See Ohio v. Roberts, 448 U.S. 56, 66, 100 S. Ct. 2531, 65 L. Ed. 2d 597 (1980), abrogated by Crawford v. Washington, 541 U.S. 36, 69, 124 S. Ct. 1354, 158 L. Ed. 2d 177 (2004). In Crawford, the Supreme Court jettisoned the indicia of reliability test. What replaced the indicia of reliability test is less clear: in the years since Crawford, the Court has issued increasingly fractured sets of opinions in five major confrontation clause cases.
¶27 The six cases naturally divide into two sets of three decisions. In Crawford, Davis, and Bryant, the Court dealt with conventional, nonexpert witnesses who had witnessed or had been the victims of the subject crimes. Crawford, 541 U.S. 36; Davis v. Washington, 547 U.S. 813, 126 S. Ct. 2266, 165 L. Ed. 2d 224 (2006); Michigan v. Bryant, 562 U.S. 344, 131 S. Ct. 1143, 179 L. Ed. 2d 93 (2011). The Court was unanimous in Crawford, and a solid majority decided Davis and Bryant. But Justice Thomas articulated the principle that has consistently guided his confrontation clause decisions: “I agree with the Court that the admission of Covington’s out-of-court statements did not violate the confrontation clause, but I reach this conclusion because Covington’s questioning by police lacked sufficient formality and solemnity for his statements to be considered ‘testimonial.’” Bryant, 131 S. Ct. at 1167 (Thomas, J., concurring) (emphasis added).
1. The Core Rule: Conventional Witnesses
¶29 In Crawford, the defendant’s wife told the police that the victim had been unarmed and the prosecution introduced her statements without calling her to the stand. 541 U.S. at 40. The Court noted that the seminal example of an out-of-court testimonial statement is the trial of Sir Walter Raleigh, in which the prosecution read into evidence Lord Cobham’s ex parte statements inculpating Raleigh. Id. at 44. It is this sort of “civil-law mode of criminal procedure, and particularly its use of ex parte examinations as evidence against the accused,” that the confrontation clause is primarily concerned to exclude. Id. at 50. Therefore, Crawford was uncontroversially decided. The Court unanimously held that “Sylvia Crawford’s statement is testimonial under any definition” and thus must be subject to cross-examination notwithstanding reliability. Id. at 61. The Court further held that Sylvia’s statements were not reliable in the first instance because she was “herself a potential suspect” with an incentive to lie because the police asked leading questions and because she did not see the entire altercation. Id. at 66.
¶30 The Court revisited and refined its definition of “testimonial” statements in Davis, 547 U.S. 813. In the first
¶31 In Davis, the Court held that whether a statement was testimonial depended on the declarant’s purpose in making the statement. The Court held that the statements of Davis’s former girlfriend had been made “to enable police assistance to meet an ongoing emergency.” Id. at 822. The Court held that a statement is testimonial when “the primary purpose of the interrogation is to establish or prove past events potentially relevant to later criminal prosecution.” Id. That is, a statement is “testimonial” if it is “solely directed at establishing the facts of a past crime, in order to identify (or provide evidence to convict) the perpetrator.” Id. at 826. Under this analysis, the ex parte statements were properly admitted in Davis’s case and improperly admitted in Hammon’s case. Id. at 834.
¶32 Justice Thomas disagreed, dissenting on the ground that testimony must necessarily bear “some degree of solemnity.” Id. at 836 (Thomas, J., concurring in part and dissenting in part). Therefore, affidavits, depositions, prior testimony, and other statements obtained through a “formalized process” fell within the scope of the confrontation clause, but an informal talk with the police would not. Id. at 836-37. For that reason, Thomas argued, the statements in both Davis’s and Hammon’s cases were admissible. Id. at 834.
¶33 The Crawford consensus began to unravel in Bryant, 131 S. Ct. 1143. There, the trial court admitted into evidence the statement of a gunshot victim who identified
¶34 Justice Scalia dissented, arguing that the primary purpose of the statements was to provide evidence against the defendant. From the declarant’s perspective, the emergency had already ended. Id. at 1171 (Scalia, J., dissenting). Therefore, “his statements had little value except to ensure the arrest and eventual prosecution of Richard Bryant.” Id. at 1170. Justice Ginsburg also dissented, agreeing in full with Justice Scalia’s analysis. Id. at 1176-77 (Ginsburg, J., dissenting).
¶35 Justice Thomas again broke from the primary-purpose test altogether. In concurrence, he argued that the test should be whether the statements were formal and solemn. Id. at 1167 (Thomas, J., concurring).
2. Scientific Evidence: Three Perspectives
¶36 In the next three decisions, the justices divided into three camps as the Court turned from examining statements by conventional witnesses to examining laboratory analysis reports. In Melendez-Diaz, 557 U.S. 305, Justices Scalia, Stevens, Souter, and Ginsburg, joined by Justice Thomas, held that three certificates identifying bags of powder as “cocaine” were testimonial, as the certificates were functionally equivalent to affidavits and were created for the primary purpose of providing evidence for trial. Id. at 310-11. In fact, “the sole purpose of the affidavits was to provide ‘prima facie evidence of the composition, quality, and the net weight’ of the analyzed substance,” necessary
¶37 Justice Thomas wrote separately to reaffirm that his support for the majority was conditioned on the formal nature of the affidavits at issue. Id. at 329-30 (Thomas, J., concurring).
¶38 Justice Kennedy, joined by Chief Justice Roberts and Justices Breyer and Alito, dissented on the ground that laboratory analysts were not “ ‘witnesses against’ ” a defendant, as they did not bear “personal knowledge of some aspect of the defendant’s guilt.” Id. at 343-44 (Kennedy, J., dissenting). Justice Kennedy offered three distinctions between laboratory analysts and conventional witnesses: “a conventional witness recalls events observed in the past, while an analyst’s report contains near-contemporaneous observations of the test”; “an analyst observes neither the crime nor any human action related to it”; and “laboratory tests are conducted according to scientific protocols; they are not dependent upon or controlled by interrogation of any sort.” Id. at 345-46.
¶39 In Bullcoming, 131 S. Ct. 2705, the state introduced a certificate recording the defendant’s blood alcohol level at 0.21 grams per hundred milliliters through a coworker of
¶40 Justice Sotomayor wrote separately to emphasize the limited reach of Bullcoming, articulating the factual limits of the case: the sole purpose of the certificate was to be introduced into evidence; the witness who testified at trial was not a “supervisor, reviewer, or someone else with a personal, albeit limited, connection to the scientific test at issue”; the testifying witness did not give “his independent opinion about underlying testimonial reports that were not themselves admitted into evidence”; and the document introduced by the State was not limited to “only machine-generated results.” Id. at 2722 (Sotomayor, J., concurring). Chief Justice Roberts and Justices Kennedy, Breyer, and Alito again dissented, arguing that the report was “impartial” and “prepared by experienced technicians in laboratories that follow professional norms and scientific protocols.” Id. at 2726 (Kennedy, J., dissenting).
¶42 The four justices who had voted together in Bull-coming — Justices Scalia, Ginsburg, Sotomayor, and Kagan— again voted together in Williams. This time Justice Kagan wrote for the four justices. Justice Kagan saw nothing wrong with the expert witness’s testimony that two DNA profiles matched each other, for this was “a straightforward application” of her expertise. Id. at 2270 (Kagan, J., dissenting). Rather, the Court split on the provenance of the victim’s DNA profile, that is, whether the expert affirmed that one of the profiles she was comparing had actually
¶43 As in Melendez-Diaz and Bullcoming, Justice Thomas provided the decisive fifth vote, but in Williams he concluded that the DNA lab reports lacked sufficient formality or solemnity to be considered testimonial. Id. at 2260-61 (Thomas, J., concurring in judgment). And none of these three cases provide a single clear rule because Justice Thomas provided the fifth critical vote in all three cases based on his individual theory that evidence is testimonial only if it bears indicia of formality and solemnity.
¶44 The dissent accuses us of counting perspectives and camps rather than signatures. Dissent at 500. However, counting signatures ignores the fact that a majority of the Court has never agreed on a test for expert witnesses, making it very difficult for courts to effectively follow. Four justices joined an opinion holding that the confrontation clause does not apply to expert witnesses when expressing their own conclusions, four justices attached no importance to the fact that evidence came in through an expert witness, and one justice focused on the solemnity of the evidence relied on by an expert witness. Williams, 132 S. Ct. at 2228 (plurality opinion), 2260 (Thomas, J., concurring in judgment), 2269-70 (Kagan, J., dissenting). Even if we count signatures, our decision is consistent with the five justices in Williams who agree that experts may rely on and disclose independent DNA laboratory results when testifying about their own conclusions without violating a defendant’s confrontation rights. Id. at 2240 (plurality opinion), 2255 (Thomas, J., concurring in judgment). Our test respects the five justices in Williams while recognizing that in some circumstances an expert witness’s testimony may trigger the confrontation clause. Our opinion also does not disregard the results in Melendez-Diaz and Bullcoming
¶45 In addition to there being no clear reasoning for expert witnesses, no ruling of the Court is directly on point here. In three important ways, this case brings us into uncharted constitutional territory. First, Melendez-Diaz did not reach back to encompass every factual predicate behind an expert witness’s findings. The confrontation clause does not demand the live testimony of “anyone whose testimony may be relevant in establishing the chain of custody, authenticity of the sample, or accuracy of the testing device .... ” Melendez-Diaz, 557 U.S. at 311 n.l. In other words, while a break in the chain of custody might detract from the credibility of an expert analysis of some piece of evidence, this break in the chain does not violate the confrontation clause. Id. Second, Bullcoming expressly did not reach the confrontation clause status of raw data generated by an automated process without human input. Rather, the subject matter of the confrontation clause concerns those “past events and human actions not revealed in raw, machine-produced data . ...” 131 S. Ct. at 2714 (emphasis added); see also id. at 2723 (Sotomayor, J., concurring) (“This is not a case in which the State introduced only machine-generated results, such as a printout from a gas chromatograph. . . . Thus, we do not decide whether ... a State could introduce ... raw data generated by a machine in conjunction with the testimony of an expert witness.”). Finally, Williams did not address how the confrontation clause applies to the “panoply of crime laboratory reports and underlying technical statements written by (or otherwise made by) laboratory technicians.” 132 S. Ct. at 2244-45 (Breyer, J., concurring). The same question Williams did not reach — the confrontation clause status of forensic reports, expert witnesses, and the technical data underlying their conclusions — is now squarely before us.
¶46 In the absence of binding Supreme Court precedent for a rule, we now turn to the plain language of the confrontation right. By its own terms, the confrontation right applies only to “the witnesses against [the defendant] .”
¶47 The act of imparting factual information to the court is the sine qua non of a witness. Crawford tells us that a “witness” is a person who “ ‘bear[s] testimony’ ” and that “testimony” is “ ‘[a] solemn declaration or affirmation made for the purpose of establishing or proving some fact.’ ” 541 U.S. at 51 (alteration in original) (quoting 2 Noah Webster, An American Dictionary of the English Language (1828)). This definition does not sweep in analysts whose only role is to operate a machine or add a reagent to a mixture.
¶48 Justice Kagan pointed out in her dissent in Williams that cross-examining a witness could be valuable in order to reveal erroneous lab work. 132 S. Ct. at 2264-65 (Kagan, J., dissenting) (“Hence the genius of an 18th-century device as applied to 21st-century evidence: Cross-examination of the analyst is especially likely to reveal whether vials have been switched, samples contaminated, tests incompetently run, or results inaccurately recorded.”). The live testimony of a subordinate analyst may be desirable, but the question is whether it is constitutionally required — and as the Court recognized in Melendez-Diaz, the potential to introduce error does not a “witness” make. In Melendez-Diaz, Justice Kennedy pointed out that many people might be involved in a single drug test and that each of those people had the “power to introduce error,” and he asserted that requiring
¶49 In other words, merely laying hands on evidence, DNA or otherwise, does not a “witness” make — something more is required. In Melendez-Diaz, an analyst became a witness by preparing a statement affirming that a substance was cocaine. Id. at 311. In Bullcoming, an analyst became a witness by giving live testimony that the defendant’s blood alcohol level was 0.21. 131 S. Ct. at 2713. Our analysis here is no different: we are interested in experts who make statements to the court, not people who “la[y] hands on the evidence .... ” Melendez-Diaz, 557 U.S. at 311 n.1.
¶50 Not everyone who makes some affirmation of fact to the tribunal will fall under the confrontation clause. The word “against” implies some adversarial element— some capacity to inculpate the defendant.
¶51 Reading the words “witness” and “against” together, in the context of Supreme Court hints and the reasoned practices of other jurisdictions, gives us a working rule. If the declarant makes a factual statement to the tribunal, then he or she is a witness. If the witness’s statements help to identify or inculpate the defendant, then the witness is a “witness against” the defendant.
¶52 The dissent misunderstands our rule and holding and misstates Supreme Court precedent. This is evident in six ways.
¶53 First, the dissent misstates the effect of this opinion, fretting that we have concluded that “laboratory reports are not testimonial” and that “a supervisor can recite the testimony of a subordinate.” Dissent at 498. On the contrary, our holding reaches only so far as expert witnesses and identifies when the confrontation clause is satisfied by their cross-examination. Today’s opinion does not allow laboratory reports to be admitted into evidence
¶54 Second, the dissent must acknowledge that the United States Supreme Court would reach the same result as this opinion under these facts. The result in Williams was that a forensic specialist was permitted to rely on an outside laboratory’s DNA profile when testifying that it matched a sample of the defendant’s blood without violating the defendant’s confrontation rights. See Williams, 132 S. Ct. at 2228 (plurality opinion), 2255 (Thomas, J., concurring in judgment). Our opinion reaches the same result today: experts may rely on DNA profiles created by other laboratory analysts when concluding there is a DNA match without violating the confrontation clause.
¶55 Third, the dissent misleadingly claims that the United States Supreme Court rejected our test on multiple occasions. Dissent at 502-03. The holdings the dissent relies on do not conflict with, or preclude, our test. In Crawford, the Court held that playing a spouse’s tape-recorded statements during her husband’s criminal trial violated his confrontation rights when he was not given an opportunity to cross-examine her. 541 U.S. at 40, 68-69. Crawford does not preclude our test because it does not address expert witnesses. In Melendez-Diaz, the Court held that there was a violation of a defendant’s confrontation rights when the court admitted affidavits reporting the results of forensic analysis, stating that seized material was cocaine without the witness being subject to cross-examination. 557 U.S. at 307, 329. Melendez-Diaz does not pre
¶56 Fourth, contrary to the claims of the dissent, we agree that if DNA evidence, or other scientific or technical evidence, is used against a defendant in court, the confrontation clause is implicated. The cases cited by the dissent that discuss “neutral” witnesses do so in response to arguments that a witness is exempt from the confrontation clause when the statements are not used against the defendant.
¶57 Fifth, the dissent insists that we are wishing away Melendez-Diaz and Bullcoming. Dissent at 503. In fact, we too recognize the holdings of these cases. However, there are distinctions between the facts and legal holdings in those cases and the case before us today. The dissent fails to grasp these distinctions. The Supreme Court has never clearly set forth the confrontation clause requirements for when an expert witness relies on the work of others to arrive at his' or her own conclusion.
¶58 Sixth, the dissent attaches great importance to Melendez-Diaz and the fact that Justice Thomas signed the majority opinion. But the dissent ignores the fact that Justice Thomas also concurred, spelling out his reason for concurring — the documents admitted in Melendez-Diaz possessed the requisite indicia of formality. In any event, the holding in the Melendez-Diaz opinion was narrower than the dissent would have us believe. After discussing various forms of “ ‘core class’ ” testimony, the Melendez-Diaz majority concluded that there was “little doubt that the documents at issue [fell] within the ‘core class of testimonial statements’ thus described.” 557 U.S. at 310 (quoting Crawford, 541 U.S. at 51). The statements were the equivalent of affidavits, which fit Justice Thomas’s view of the confrontation clause applying only to formalized testimony. See id. at 329 (Thomas, J., concurring). The Melendez-Diaz holding does not extend beyond the equivalent of affidavits or other formalized testimony.
C. DNA Evidence
¶60 Lui argues that the State violated the confrontation clause when it introduced DNA evidence through a supervisor, Pineda, rather than the analysts who physically conducted the DNA testing. If Pineda had relayed the observations or memory of conventional witnesses, then Lui would be correct. But DNA evidence differs in several important ways from the testimony of conventional witnesses. As we explain below, the DNA testing process does not become inculpatory and invoke the confrontation clause until the final step, where a human analyst must use his or her expertise to interpret the machine readings and create a profile. Pineda used her expertise to create a factual profile that incriminated Lui, and therefore Pineda was the appropriate witness to introduce the DNA evidence.
1. Background — The DNA Testing Process
¶61 For the first step in DNA analysis, the analyst takes a sample from the evidence recovered from the crime scene. For example, here, an analyst took a clipping from Boussiacos’s shoelaces for further analysis. In no sense does an analyst become a “witness” by extracting a sample for testing; the act is not testimonial because no statement has been made yet. This preliminary step in the analysis is essentially part of the chain of custody: an error at this stage goes to its weight and not its admissibility. See Melendez-Diaz, 557 U.S. at 311 n.1 (citing Lott, 854 F.2d at 250).
¶63 Third, the analyst measures the amount of DNA recovered in the second step and replicates the DNA through a process called polymerase chain reaction, which a witness in this case described as “chemically photocopying the 13 different areas of DNA . ...” 9 RP at 1155. This is done in order to amplify a small amount of DNA to a level more amenable to testing. The process does not create new information, but only replicates already-existing DNA information. See State v. Parker, 350 S.W.3d 883, 894 (Tenn. 2011). During this step, particular areas of DNA are also marked with fluorescent dyes in an automated process. Williams, 132 S. Ct. at 2253-54 (Breyer, J., concurring). Once more, the analyst’s role is to facilitate the operation of a machine, not to make any factual affirmation and not to serve as a “witness against” anyone.
¶64 Fourth, once the DNA has been replicated and amplified, it is processed by a capillary electrophoresis instrument. The machine passes the DNA through a gel matrix that filters particles by size, slowing down larger particles more than smaller ones. With the particles filtered by the gel matrix, a light beam can capture the fluorescent markings on the DNA and identify peaks and repeats in the makeup of the DNA. This step is fully automated; like the gas chromatograph that Justice Sotomayor discussed in the concurrence in Bullcoming, it is not testimonial and does not invoke the confrontation clause. 131 S. Ct. at 2723.
¶65 Finally, the machine outputs an electropherogram, or a plot of the peaks and valleys in the DNA. Only here
2. Application of Confrontation Clause Test
¶66 The necessary inculpatory element enters the equation once an expert compares the DNA profiles. Done on the stand in open court, this comparison is permissible as a “straightforward application of [the analyst]’s expertise.” Williams, 132 S. Ct. at 2270 (Kagan, J., dissenting). The confrontation clause is implicated only at the comparison stage because an allele table does not itself identify (let alone inculpate) anyone, nor would it have any particular meaning to a nonexpert. As the State described the allele table, it appears as “a whole bunch of numbers that kind of look like gobbledygook.” 12 RP at 1538. Pineda’s expertise was necessary to explain what the numbers represented (the number of times each of 16 specified gene sequences repeated) and why they were significant (the DNA of James Anthony Negron, an alternate suspect, failed to match DNA recovered from the crime scene). In other words, the allele table lacked the inculpatory character of the certificate
¶67 Accordingly, the only “witness against” the defendant in the course of the DNA testing process is the final analyst who examines the machine-generated data, creates a DNA profile, and makes a determination that the defendant’s profile matches some other profile. Absent that expert analysis, we are left with an abstract graph or set of numbers that has no bearing on the trial. Pineda was not a surrogate witness whose only purpose was to act as a channel for the DNA profile to enter into evidence. If she was, then the prosecution would hardly be served, or the defendant identified, by a page of meaningless “gobbledygook.” 12 RP at 1538. Rather, Pineda examined the electropherogram and made the determination that Lui could not be excluded as a possible DNA donor.
¶68 The dissent argues that the jury saw reports prepared by other case analysts who were never subject to cross-examination. Dissent at 512-13. It relies on Pineda’s testimony that Hunan Nasir interpreted the results of samples and wrote the reports. 12 RP at 1552. The dissent ignores Pineda’s testimony that she prepared the exhibit to use with her testimony. Id. at 1497-98; see State Ex. 136 (admitted for illustrative purposes only and did not go to the jury room). Pineda also testified that she came to her own results. 12 RP at 1507. She did not simply rely on the conclusions made by Nasir. Id. She looked at the electronic
¶69 In looking to the ultimate expert analysis, and not the lab work that leads into that analysis, we follow the Court in distinguishing between a person who attests to some fact and a person who aids an expert witness in reaching an attestation of fact: Melendez-Diaz stressed that live testimony is not required if it merely helps to establish “the chain of custody, authenticity of the sample, or accuracy of the testing device.” 557 U.S. at 311 n.l. This category of evidence encompasses taking the clippings, adding the chemicals, and running the machines. It was Pineda who took the results from the capillary electrophoresis machine and reached a conclusion of fact from them (thus becoming a witness) and who testified that the conclusion of fact weighed on an issue in Lui’s case (thus becoming a witness against Lui).
¶70 While Pineda did not personally observe the lab tests that underlaid her analysis — that is, the first four steps of the DNA testing process— Bullcoming guarantees the accused the right “to be confronted with the analyst who made the certification,” 131 S. Ct. at 2710, and not the analysts whose work might have contributed to that certification. Even if Bullcoming required the testifying witness to have personal knowledge of the forensic testing, Pineda had such knowledge. Pineda cannot be analogized to the surrogate analyst in Bullcoming, or even to the expert in Williams, who did not work for Cellmark, had no knowledge of Cellmark’s operations, and “for all the record discloses ... may never have set foot in Cellmark’s laboratory.” 132 S. Ct. at 2268 (Kagan, J., dissenting). Rather, Pineda was an experienced supervisor with Orchid and was well informed about the procedures used and observations made. She reviewed the results of the control samples, she
¶71 The problem in Melendez-Diaz and Bullcoming was that the defendant was denied effective cross-examination — in Melendez-Diaz because the witness was absent, 557 U.S. at 308, and in Bullcoming because the witness lacked the relevant knowledge, 131 S. Ct. at 2707. But here, Lui had the opportunity to cross-examine Pineda on how she arrived at her interpretation and conclusion from the electropherogram. He did not do so, instead focusing his cross-examination on the imprecision inherent to the procedure Orchid used: “Y-STR” testing focuses on the Y chromosome, which is the same in every person in the same paternal lineage, meaning that a DNA match for Lui is also a DNA match for Lui’s son, father, grandfather, and so on. Lui was given a meaningful opportunity to impugn Orchid’s DNA evidence, and he in fact did so to the best of his ability.
¶72 It is unclear how Lui’s confrontation clause rights would be further vindicated by requiring the State to call “anyone whose testimony may be relevant in establishing the chain of custody, authenticity of the sample, or accuracy of the testing device ..., ” and the Supreme Court has never imposed such a requirement. Melendez-Diaz, 557 U.S. at 311 n.l. Indeed, such an onerous requirement would, “for all practical purposes, forbid [ ] the use of scientific tests in criminal trials.” Id. at 332-33 (Kennedy, J., dissenting). Empirical data show that defendants frequently demand to confront scientific witnesses: since Melendez-Diaz was decided, some state laboratories have estimated that their backlog of drug tests has risen by 40 percent and their backlog of alcohol and toxicology tests has risen by 15 percent, resulting in delays or dismissals when lab technicians are unable to attend trials. Hon. G. Ross Anderson Jr.,
¶73 The rule we adopt today avoids the risk of unduly burdening the use of scientific evidence, while preserving the benefits of using a multiplicity of analysts. In the context of DNA testing, as many as 12 different analysts may be involved in a single case. Id. at 2252 (Breyer, J., concurring). Spreading out the testing procedure among different analysts not only promotes “efficiency in the laboratory,” 12 RP at 1572, it also is an important safeguard against fabrication. A laboratory that uses multiple analysts can segregate the analysts working on the suspect’s sample from the analysts working on the crime-scene sample. Williams, 132 S. Ct. at 2252 (Breyer, J., concurring). Screening off the analysts from each other frustrates the potential fabricator, who will have access to only one of the two DNA profiles needed for a match to exist. Furthermore, the use of multiple analysts is also a useful safeguard against error because multiple analysts can review each other’s work in a way that a single analyst cannot.
¶74 In short, we decline to adopt a rule that encourages laboratories to entrust cases to lone analysts, thereby giving the hypothetical rogue analyst more opportunities to fabricate results. More generally, we decline to adopt a rule that makes DNA evidence unduly burdensome to introduce because the use of less reliable eyewitness evidence may increase the risk of erroneous convictions. Id. at 2251 (Breyer, J., concurring). Neither result is helpful to defendants or to the State, and neither result furthers the confrontation clause’s goals of checking potential error or
D. Temperature Readings
¶75 Lui also asserts that the State was required to introduce the temperature readings of Boussiacos’s body and the ambient temperature through the live testimony of Dr. Kathy Raven, who took those readings. But like the Orchid DNA analysts, Raven did not become a “witness against” Lui by merely taking temperature readings. She may have been a “witness” by virtue of recording the temperatures, thus creating factual information for later use by the court. But she did not do so “against” Lui. Like the raw DNA profile, Raven’s temperature data had no relevance to Lui’s case until Harruff used that data to estimate a range for the time of death. In fact, until Harruff determined that the time of death was consistent with the prosecution’s theory, the temperature readings could well have benefited Lui. In other words, the first prong of our test was met — Raven created a factual statement of the temperature of Boussiacos’s body and of the ambient environment. But the second prong was not met because these points of data could not inculpate Lui without the intervening analysis of an expert. Because Harruff used his expertise to turn raw data into a conclusion that inculpated Lui, it is Harruff and not Raven with whom the confrontation clause is concerned.
E. Toxicology and Autopsy Reports
¶76 Lui objects to the admission of evidence that Boussiacos had no drugs in her system at the time of death. He asserts that Dr. Richard Harruff had no personal
¶77 Lui is correct. Like the temperature readings, the information taken from the toxicology report and autopsy report were statements of fact. But unlike the temperature readings, these statements had an inculpatory effect: the toxicology report was prepared to identify the cause and manner of Boussiacos’s death and was relied on at trial to rebut Lui’s testimony that Boussiacos might have been smoking prior to her death. The statements from the autopsy report were also for the purpose of identifying the manner of death and were used to prove that Boussiacos was dressed postmortem. All of the statements were used by the prosecution to convict Lui. Furthermore, unlike Harruff’s testimony based on the autopsy photographs or temperature readings, Harruff did not bring his expertise to bear on the statements or add original analysis — he merely recited a conclusion prepared by nontestifying experts.
¶78 However, these erroneous admissions do not warrant a new trial. A constitutional error is harmless if the appellate court is assured beyond a reasonable doubt that the jury verdict cannot be attributed to the error. State v. Watt, 160 Wn.2d 626, 635, 160 P.3d 640 (2007). Under our “ ‘overwhelming untainted evidence’ ” test, we look to the untainted evidence to determine if it was so overwhelming that it necessarily leads to a finding of guilt. State v. Guloy, 104 Wn.2d 412, 426, 705 P.2d 1182 (1985).
¶79 We applied the “overwhelming untainted evidence” test in State v. Anderson, 171 Wn.2d 764, 254 P.3d 815 (2011). There, the defendant was charged with first degree child molestation for allegedly abusing a child referred to as M.A.E. Id. at 766. The State introduced the testimony of another alleged victim of Anderson’s, C.C.S., through a nurse practitioner who had examined him. The State also introduced Anderson’s confession to molesting a third child, K.R.P.; the live testimony of the detective who had investigated KR.P.’s case; and the testimony of M.A.E. himself. Id. Anderson appealed, arguing that the trial court had erred by permitting the nurse to testify to C.C.S.’s statements. We held that even if the introduction of C.C.S.’s statements violated the confrontation clause, any error was harmless. Id. at 770. We noted that aside from C.C.S.’s statements, there was also unchallenged testimony by M.A.E. and evidence of Anderson’s prior abuse of K.R.P. In comparison, we described the nurse’s testimony as “cursory” and pointed out that it occupied less than one page of the trial transcript. Id. For those reasons, we held that “[g]iven the amount of evidence presented and the fact that nurse Young’s testimony added little, if any, evidence to prove the elements of the current charge against Anderson, we find that the trial court’s error in admitting nurse Young’s testimonial statements was harmless.” Id.
¶81 The statements taken from the autopsy report about Boussiacos’s injuries were minor compared to the properly admitted evidence. Harruff, trained in forensic pathology, examined photographs taken both at the crime scene and during the autopsy. Harruff describes the injuries in the photographs in over 20 pages of direct examination. Harruff testified that the photographs showed a number of prominent abrasions on Boussiacos’s neck and petechiae
¶82 The other statements taken from the autopsy report were minor. Harruff was asked by the State if page 3 of the autopsy report indicated how Boussiacos’s hair was styled.
¶83 Significant other untainted evidence supported a finding of guilt. The State produced evidence showing Lui was angry that Boussiacos was going to “leave him and reclaim her own life,” 14 RP at 1805; evidence suggesting that Boussiacos had died before she could dress or put on her customary makeup; evidence suggesting that Boussiacos had been dressed and her bags packed by “somebody who doesn’t know anything about women,” 14 RP at 1838; testimony that a police bloodhound led investigators directly to Lui; evidence of Lui’s familiarity with the area where Boussiacos was found; and evidence of Lui’s unusual conduct during the investigation. The weight of this evidence makes it implausible that the jury’s verdict could be attributed to the toxicology and autopsy reports — evidence that was discussed in 2 pages of a nearly 2,000 page record. 10 RP at 1397-98. The cumulative, untainted evidence necessarily led to a finding of guilt, and thus the Court of Appeals correctly rejected Lui’s confrontation clause challenge to the admission of the toxicology and autopsy reports.
CONCLUSION
¶84 The State satisfied the confrontation clause when it produced the “witnesses against” the defendant — that is, analysts who use their expertise to reach a factual conclusion bearing on an issue in Lui’s case. Lui’s claim to the contrary overlooks the plain language of the confrontation
¶85 Here, Pineda was Lord Cobham to Lui’s Raleigh: by taking the output of a laboratory process and using her expertise to construct an incriminating DNA profile from the data, she became Lui’s accuser. The confrontation clause required Pineda’s testimony, which the State produced. Therefore, there was no error. Neither was there error in the court’s admission of temperature or reversible error in the admission of the toxicology or autopsy evidence. We affirm the Court of Appeals.
U.S. Const, amend. VI; Const, art. I, § 22.
For the sake of simplicity, we analyze Reliagene’s tests and Orchid’s tests together and refer only to Orchid in the following analysis.
U.S. Const, amend. VI.
The dissent suggests that our analysis is precluded by Melendez-Diaz because Justice Thomas signed the majority. Dissent at 500 n.13. That would be true only if formalized evidence, signed by the author, was admitted into evidence. Instead, we have an expert witness relying upon a report that did not come into evidence.
Justice Thomas declined to join note 6 and Part IV, which defined testimony subject to the confrontation clause without including a requirement of indicia of formality. Bullcoming, 131 S. Ct. at 2709.
U.S. Const, amend. VT.
The dissent asserts that we have characterized lab results as “inherently accurate.” Dissent at 515. However, our focus is not on whether the work of analysts is accurate and reliable, but on whether it is “testimony against” an accused.
The dissent fails to grasp this test, which is made clear by its comparison between a police supervisor testifying about eyewitness observations that were recorded by subordinate police officers and an expert witness relying on work done by other lab analysts when arriving at his or her own conclusions. Dissent at 520. The confrontation clause is triggered when an expert witness makes a factual assertion that is used in court and that factual assertion is inculpatory. This test applies only to expert witnesses. The dissent’s comparison fails for two reasons. Id. First, the example fails to specify that the police supervisor is not a conventional witness simply describing a crime scene. If the police officer is a conventional witness, the primary purpose test applies. Second, even if the testimony was from an expert witness, the observations would likely be statements of fact that are inculpatory, triggering the confrontation clause. The statements would not need to be interpreted or analyzed by an expert. They would have meaning on their own, unlike DNA data or the temperature of a body, without being further analyzed.
The dissent cites to note 2 in Crawford for its argument that “seven justices held that the confrontation clause applies to all witnesses against the accused regardless of whether the witnesses are neutral or are experts, such as coroners.” Dissent at 502. The note in Crawford simply states, “[Sjeveral early American authorities flatly rejected any special status for coroner statements.” Crawford, 541 U.S. at 47 n.2. The note discusses the history of the confrontation clause and whether coroner statements were exempt from the clause. See id. Our holding does not create a confrontation clause exception for coroners or for expert witnesses. The dissent also cites to a discussion in Crawford that rejected the argument that the wife’s statements were exempt from the confrontation clause because they were made to a “neutral” government officer. Id. at 66. Again, our opinion does not create an exception to the confrontation clause. We are clarifying when an expert witness may rely on the work of others when reaching his or her own opinion without violating the confrontation clause.
See 12 RP at 1507 (“I came to my own results____[I]n the end, all of the data is reduced to electronic format. Once it comes out of the machine ... it is what we call an electropherogram, or a plot. ... I did look at the electronic data from the results. ... I did draw my own interpretation and my own conclusions from it.”).
The dissent suggests that it is inconsistent that we could find a toxicology report to be inculpatory but not the DNA testing. Dissent at 507. However, DNÁ testing becomes significant only when data is turned into a profile and that profile is compared to known samples. It is at this point that the data becomes meaningful to a case and inculpatory. In comparison, the toxicology report was an inculpatory statement without being interpreted by Harruff.
“Petechiae” are small red dots on the skin resulting from ruptured blood vessels.