CITY OF SEATTLE, Petitioner,
v.
Loyd STALSBROTEN, Respondent.
Supreme Court of Washington, En Banc.
*1061 Adam Eisenberg, Seattle Law Dept. Crim. Div., Seattle, for Petitioner.
Gene M. Grantham, Seattle, for Respondent.
*1060 DURHAM, J.
This case presents the question of whether it is constitutionally permissible for a trial court to admit evidence that a drunk driving defendant refused to perform field sobriety tests. Specifically, we must determine whether admitting such evidence violates the defendant's Fifth Amendment right against self-incrimination. Because we conclude that a defendant's refusal to perform a field sobriety test (FST) is nontestimonial evidence that is not compelled by the State, we hold that the Fifth Amendment does not prohibit admitting such refusal evidence. Accordingly, we conclude that the Court of Appeals erred in holding that admitting evidence of Stalsbroten's refusal to perform an FST violated his right against self-incrimination. Finding no constitutional error in the trial court's admission of this evidence, we affirm Stalsbroten's conviction for drunk driving.
I
On February 14, 1995, Seattle Police Officer Curt Boyle observed Loyd Stalsbroten's vehicle pull out of a parking lot after dark without its headlights on. Stalsbroten drove well below the posted speed limit, drifted between several lanes of traffic, and failed to pull over when Officer Boyle activated his emergency lights. Stalsbroten pulled over only after Boyle sounded his siren.
When Officer Boyle approached the vehicle to speak to the driver, he smelled a "strong odor of intoxicants." Transcript of Proceedings (City's Response to Motion for Discretionary Review) at 41. Stalsbroten's eyes were bloodshot and tearing, and his speech was slurred and lethargic. After exiting the vehicle, Officer Boyle reported that Stalsbroten "had a hard time just standing still" and swayed four or five inches back and forth while standing on flat pavement. Id. at 44. During the course of Officer Boyle's interactions with Stalsbroten at the scene, Stalsbroten introduced himself to the officer approximately 10 times, each time repeating "Hi. My Name is Loyd Stalsbroten, what is yours." Id. at 49-50. Officer Boyle then asked Stalsbroten to perform some FSTs to see if it was safe for him to drive home. Officer Boyle informed him that the tests were voluntary, and Stalsbroten refused to take the tests, responding "No way." Id. at 72-73.
Officer Boyle arrested Stalsbroten for driving under the influence, handcuffed him, and escorted him to the police car. Stalsbroten insisted that he could get into the car without assistance, but he eventually ended up "wedged ... in the car with his feet above his head." Id. at 46. After situating the defendant in the back of his car, Officer Boyle advised him of his Miranda warning and transported him to the police station. Miranda v. Arizona,
Before trial, Stalsbroten moved to suppress his refusal to take the FSTs. The municipal court denied this motion, concluding that there was no constitutional bar to admitting evidence of the refusal and that such evidence was relevant to show Stalsbroten's consciousness of his guilt. At trial, Stalsbroten testified that he had consumed three tall glasses of whiskey and 7-Up within roughly two hours before the arrest. A unanimous jury found Stalsbroten guilty of Driving while Intoxicated. Stalsbroten appealed his conviction to the King County Superior Court. The Superior Court affirmed, specifically concluding that there was no error in admitting evidence of Stalsbroten's refusal to take the FSTs. Stalsbroten then sought discretionary review by the Court of Appeals.
The Court of Appeals granted discretionary review solely on the issue of whether Stalsbroten's refusal to perform an FST was inadmissible under state or federal constitutional *1062 protections against self-incrimination. City of Seattle v. Stalsbroten,
II
The right against self-incrimination is protected by the Fifth Amendment, which provides that no person "shall be compelled in any criminal case to be a witness against himself." U.S. CONST. AMEND. V.[1] This right protects a defendant from being compelled to provide evidence of a "testimonial or communicative nature," or from testifying against himself. Schmerber v. California,
A
As to the first requirement, we conclude that evidence of a defendant's refusal to perform an FST is nontestimonial. Testimonial evidence is a communication that "explicitly or implicitly, relate[s] a factual assertion or disclose[s] information." Pennsylvania v. Muniz,
We have repeatedly held that the performance of an FST is nontestimonial. State v. Smith,
The Court of Appeal in this case acknowledged that the performance of an FST is nontestimonial, but distinguished between a suspect's performance of an FST and a suspect's response to a question about whether *1063 he is willing to take the test. City of Seattle v. Stalsbroten,
We disagree with this distinction. A suspect's refusal to perform an FST is no more testimonial than the suspect's actual performance of an FST. State v. Hoenscheid,
The argument that a refusal to take an FST communicates the suspect's belief that the test will produce evidence of his or her guilt confuses reasonable inferences with communications. See Welch,
In light of the fact that a defendant's refusal to perform an FST is nontestimonial, we conclude that the admission of the refusal evidence at trial does not violate the defendant's right against self-incrimination. We will next briefly discuss the second prong of our Fifth Amendment analysis: whether Stalsbroten's refusal to take the FST was impermissibly compеlled. Clear precedent from this court and the United States Supreme Court indicates that such refusal evidence is not compelled.
B
Stalsbroten's refusal to perform FSTs was not impermissibly compelled by the State. The Fifth Amendment prohibits only the use of coercion or "physical or moral compulsion" to obtain testimonial evidence. South Dakota v. Neville,
In South Dakota v. Neville, the Supreme Court concluded that admitting evidence of a *1064 defendant's refusal to submit to blood alcohol tests did not compel the defendant to be a witness against himself. Neville,
This court, following United States Supreme Court precedent, has held that no impermissible coercion is involved in admitting evidence of a defendant's refusal to takе a blood alcohol test. State v. Zwicker,
In contrast to blood alcohol and Breathalyzer tests, a defendant's right to refuse to participate in FSTs is not specifically protected by statute. See RCW 46.20.308(2). However, the absence of an implied consent statute does not distinguish the admissibility of refusal evidence in the context of FSTs. "[A] defendant's statements refusing to submit to reasonable physical evidence tests are admissible because they are not the product of impermissible coercion, not because statutes authorize their admission." State v. Wright,
Like blood alcohol and Breathalyzer tests, it is undisputed that in Washington, FSTs are voluntary and a Driving Under the Influence suspect has no legal obligation to perform an FST. City of Seattle v. Personeus,
We hold that admitting evidence of a defendant's refusal to perform an FST at trial does not impermissibly compel the defendant to give evidence against himself within the meaning of the Fifth Amendment. Our conclusion that it is constitutionally permissible to admit evidence of a defendant's refusal to take FSTs is thus based upon both our belief that the evidence is nontestimonial, and upon our precedent indicating that the evidence is not compelled.
III
It is important to note that our holding is consistent with analogous case law on the admissibility of refusal evidence in the context of Breathalyzers and blood alcohol tests. The United States Supreme Court has held that admitting evidence at trial of the defendant's refusal to submit to blood alcohol tests does not offend the privilege against self-incrimination. Neville,
Our conclusion is further bolstered by the fact thаt the majority of courts that have considered this issue have concluded that the admission of evidence that a defendant refused to perform an FST does not violate the defendant's right against self-incrimination. State v. Taylor,
IV
We conclude that admitting evidence of a drunk driving suspect's refusal to perform FSTs does not violate the suspect's privilege against self-incrimination.[2] Not only is such evidence nontestimonial, but it is not compelled by the State. For these reasons, Fifth Amendment protections do not apply to evidence of a defendant's refusal to take FSTs. The municipal court did not err in allowing testimony about Stalsbroten's refusal to perform the FSTs. We thereforе reverse the Court of Appeals on the issue of whether the trial court erred in admitting the refusal evidence. Admitting evidence of a defendant's refusal to perform FSTs presents no Fifth Amendment problems. Accordingly, Stalsbroten's conviction should be affirmed.
GUY, C.J., MADSEN, TALMADGE, and IRELAND, JJ., concur.
JOHNSON, J. (dissenting).
Without critical analysis the majority flatly concludes a suspect's refusal to take a field sobriety test produces the same objective, nontestimonial evidence as the performance of the test itself. The majority never explains just how a refusal produces objective manifestations of lack of physical coordination or mental confusion. Indeed, the majority admits, as does the City of Seattle, thаt evidence of refusal was admitted solely to prove Stalsbroten's self-inculpatory knowledge of guilt. A defendant's verbal response to police questioning that is admitted specifically and solely to reveal the defendant's state of mind, thought, or belief goes to the heart of "testimonial" self-incrimination within the meaning of the Fifth Amendment, and the Court of Appeals in this case correctly so held. City of Seattle v. Stalsbroten,
A communication is testimonial if it "`explicitly or implicitly [] relate[s] a factual assertion or disclose[s] information.'" Pennsylvania v. Muniz,
In the present case, the trial court found Stalsbroten's refusal to perform the field sobriety test (FST) relevant and admissible specifically because it communicated Stalsbroten's "consciousness of his guilt." Clerk's Papers at 27. The prosecution commented on the refusal in its opening statement and elicited direct and rebuttal testimony from the arresting officer that Stalsbroten had responded, "No way," when the officer asked whether he would be willing to take the test. On cross-examination, the prosecution asked:
And ... is it true that the reason you said, "No way" to the field tests is because you were afraid they would show how physically impaired you actually were from the alcohol? Isn't that true, Mr. Stalsbroten?
Partial Tr. of Proceeding (July 6, 1995) at 134 (City's Resp. to Mot. for Discretionary Review) (hereinafter "Transcript"). In closing, the prosecutor then argued the point at length:
Members of the jury. So, what does one do when one is a fairly smart person... do when they're caught and they know they're caught red-handed and they've had too much to drink and they're pulled over for doing something stupid. He knows ... that they're going to smell like alcohol; start hiding the ball; start limiting the dаmage; start engaging in damage control. The City submits that that's exactly what Mr. Stalsbroten did in this case; did not do the field sobriety tests; would not blow into the breath machine.
Transcript at 142. And then again:
He was asked ... the officer asked the defendant to get out ... and step out of his vehicle and perform some field sobriety tests.... [H]e was standing there ... having trouble standing. He refused to do the field sobriety tests, with no explanation... at the time.
Transcript at 144.
The record leaves no doubt, therefore, the evidence of refusal in this case was offered for its testimonial component. It was intended to disclose the contents of Stalsbroten's mind, to reveal self-inculpatory thoughts and beliefs related to the commission of the сrime. In short, evidence of refusal was used as a confession. The trial court admitted it for this purpose; the prosecution elicited testimony of it during its case in chief for this purpose; the jury was specifically urged to rely on it for this purpose.
Nevertheless, despite the indisputable and admitted testimonial purpose for which the refusal was offered in this case, the majority flatly concludes "[a] suspect's refusal to perform an FST is no more testimonial than the suspect's actual performance of an FST." Majority at 1062-63. This conclusion, however, does not survive critical analysis. An FST is admissible precisely because it does not communicate the suspect's thoughts or beliefs. Rather, an FST is "premised upon the relationship between intoxication and the externally manifested loss of coordination...." State v. Arsenault,
Conversely, to the extent action requested of a drunk driving suspect produces evidence which is incriminating not just because of its physical delivery, but also because of its content, it is testimonial. Muniz,
Unlike the objective evidence produced by the test itself, evidence of a defendant's refusal to take an FST is relevant to the prosecution's case in chief precisely because it communicates the thoughts and beliefs of the defendant. State v. Green,
Indeed, we have previously held that refusal evidence is irrelevant to the State's case in chief except for its testimonial component. See State v. Zwicker,
This case underscores the above discussion. Here, there is no contention the evidence was offered to demonstrate the physical manner in which Stalsbroten delivered the words, "No way." Rather, the evidence was admittedly offered solely for its testimonial valuethe implied assertion of belief that Stalsbroten knew he was drunk. When offered to communicate the defendant's state of mind, refusal evidence "is, in essence, testimony concerning the defendant's belief on the central issue of the case." Green,
Accordingly, the majority is simply wrong that a defendant's response to police questioning offered for the sole purpose of exposing the defendant's own consciousness of guilt does not fall within the meaning of "testimonial" as envisioned by the Fifth Amendment. A defendant's response to police questioning is "testimonial" within the meaning of the Fifth Amendment whenever it "reflects the actor's communication of his thoughts to another." Muniz,
The majority's contention that refusal evidence may have probative value unrelated to its testimonial comрonent is irrelevant to the discussion at hand. Majority at 1063 ("Just because refusal evidence has probative value does not mean that such evidence is testimonial."). Where refusal evidence is offered for purposes other than for its testimonial component, it is relevant and admissible only for impeachment. Zwicker,
Nor is refusal a nontestimonial "act" as the majority posits. Majority at 1068. The United States Supreme Court has refused to adopt such an approach. See South Dakota v. Neville,
In contrast to Misterly, here Stalsbroten had an absolute right to refuse to take the test, City of Seattle v. Personeus,
In addition to finding Stalsbroten's refusal "testimonial," I would hold his response was "compelled" within the meaning of the Fifth Amendment. In Zwicker,
Neither rationale is present in this case. The Legislature has chosen not to include field sobriety tests within the implied consent laws. There is, thus, no statutоry or other legal requirement that a driver take such tests, nor has the right of refusal been statutorily conditioned. The Oregon Court of Appeals correctly recognizes the coercive effect of using refusal evidence under these circumstances:
Because defendant had no obligation to take the test, there could also be no conditions placed on his refusal. Use of the fact that he refused enables the state to obtain communicative evidence to which it would otherwise have no right, as a result of defendant's refusal to provide noncommunicative evidence to which [the state] also had no right. This situation is thus a true Hobson's Choice.
Green,
Essentially, Stalsbroten, like all motorists asked to perform the FST, is placed in a situation where any response to the officer's request (short of taking the test itself), including silencе,[4] would be taken as refusal and would produce involuntary testimonial evidence against him. (Again, such evidence would be relevant to the prosecution's case in chief only to reveal the defendant's consciousness of guilt). To place an accused in a situation where he or she must either comply with the State's request or produce *1070 self-incriminatory testimonial evidence is inherently coercive. Any response in these circumstances is not "voluntary" in any meaningful sense of the word.
Thus, I would hold that evidence of refusal to take the field sobriety test is both "testimonial" and "compelled" within the meaning of the Fifth Amendment.
ALEXANDER, SMITH, and SANDERS, JJ., concur.
NOTES
[1] The text of the self-incrimination clause in the Washington Constitution differs from the text of the Fifth Amendment. It provides that "[n]o person shall be compelled in any criminal case to give evidence against himself." WASH. CONST. ART. I, § 9. However, this court has held that the "Washington constitutional provision against self-incrimination envisions the same guarantee as that provided in the federal constitution." State v. Moore,
[2] We note, however, that the question of the admissibility and relevance of such evidence is not before us at this time. Our holding in this case is limited to the question of whether there is any constitutional problem with admitting evidence of a defendant's refusal to perform FSTs. We conclude that there is no constitutional problem with admitting such evidence. This is not to say, however, that a trial court may not exclude evidence of a drunk driving suspect's refusal to take an FST in a particular case if the probative value of the evidence is substantially outweighed by the danger of unfair prejudice or jury confusion. See State v. Long,
Notes
[1] Although the wording of article I, section 9 of our state constitution is substantially different than the Fifth Amendment, Stalsbroten has not argued it provides greater protection. Therefore, the issue in this case is limited to the scope of the right as afforded under the Fifth Amendment.
[2] Subsequently, in State v. Long,
[3] The New Mexico case cited by the majority also relied on Misterly. See State v. Wright,
[4] It is unclear how the majority would treat silence in the face of an officer's request to perform an FST since silence itself could simply be taken as a "nontestimonial" act of refusal. Commenting on a defendant's silence, however, would clearly implicate the constitutional right against self-incrimination. See Easter,
