STATE OF NEBRASKA, APPELLEE, V. LOUIS R. GRUTELL, APPELLANT.
No. S-18-352.
Nebraska Supreme Court
May 22, 2020
305 Neb. 843
N.W.2d ___
Appeal and Error. An appellate court may find plain error on appeal when an error unasserted or uncomplained of at trial, but plainly evident from the record, prejudicially affects a litigant‘s substantial right and, if uncorrected, would result in damage to the integrity, reputation, and fairness of the judicial process. - Statutes. Statutory interpretation presents a question of law.
- Criminal Law: Statutes. To determine the elements of a crime, courts look to the text of the enacting statute.
- Drunk Driving: Proof. Under
Neb. Rev. Stat. § 60-6,196 (Reissue 2010) , a driving under the influence violation is a single offense that can be proved in more than one way. - Drunk Driving: Evidence: Proof. To prove a violation of
Neb. Rev. Stat. § 60-6,196 (Reissue 2010) , the essential elements the Stаte must prove beyond a reasonable doubt are (1) that the defendant was operating or was in actual physical control of a motor vehicle and (2) that at the time the defendant did so, he or she was either (a) under the influence of alcoholic liquor or of any drug, or (b) had a concentration of .08 of 1 gram or more by weight of alcohol per 100 milliliters of his or her blood, or (c) had a concentration of .08 of 1 gram or more by weight of alcohol per 210 liters of his or her breath. - Drunk Driving: Proof. When the State has charged an aggrаvated offense of driving under the influence, alleging as part of the offense that the defendant also had a breath alcohol concentration of .15 or more, that allegation is considered an essential element the State must prove beyond a reasonable doubt.
- Drunk Driving. The plain language of
Neb. Rev. Stat. § 60-6,108(1) (Reissue 2010) shows the driving under the influence statutes apply notjust on Nebraska‘s highways as that term is defined, but everywhere in Nebraska except private property not open to public access. Stated differently, the only place in Nebraska where the driving under the influence statutes do not apply tо the operation or control of a motor vehicle is on private property which is not open to public access. - Indictments and Informations: Complaints. In Nebraska, a criminal complaint or information does not need to affirmatively negate any statutory exceptions which are not descriptive of the offense.
- Indictments and Informations: Statutes. It is well-established that an information is sufficient if it alleges the crime in the language of the enacting statute.
- Drunk Driving. The exception in
Neb. Rev. Stat. § 60-6,108(1) (Reissue 2010) for private property not open to public access is not a material element of the offense оf driving under the influence. Instead, the exception in§ 60-6,108(1) creates an affirmative defense to the crime of driving under the influence. - Criminal Law: Trial: Evidence: Proof. In the absence of a statute placing the burden of proving an affirmative defense on the defendant in a criminal case, the nature of an affirmative defense is such that the defendant has the initial burden of going forward with evidence of the defense, and once the defendant has produced sufficient evidence to raise the defense, the issue becomes one which the State must disprove.
- ___ : ___ : ___ : ___. In a criminal case, the evidence necessary to raise an affirmative defense may be adduced either by the defendant‘s witnesses or in the State‘s case in chief without the necessity of the defendant‘s presenting evidence. A defendant need only adduce a slight amount of evidence to satisfy this initial burden of raising an affirmative defense.
Petition for further review from the Court of Appeals, MOORE, Chief Judge, and RIEDMANN and BISHOP, Judges, on appeal thereto from the District Court for Stanton County, MARK A. JOHNSON, Judge. Judgment of Court of Appeals affirmed.
Nathan S. Lab and Jаmes K. McGough, of McGough Law, P.C., L.L.O., for appellant.
Douglas J. Peterson, Attorney General, Nathan A. Liss, and, on brief, Joe Meyer, for appellee.
STACY, J.
Following a jury trial in district court, Louis R. Grutell was convicted and sentenced for driving under the influence of alcohol (DUI), fourth offense, with a concentration of more than .15 of 1 gram of alcohol per 210 liters of breath.1 He appealed his conviction, assigning plain error to the district court‘s failure to address the provisions of
In a memorandum opinion, the Nebraska Court of Appeals found no plain error and affirmed.2 We granted Grutell‘s petition for further review. For the reasons set out below, we affirm.
BACKGROUND
In May 2017, the State filed an information in the district court for Stanton County charging Grutell with DUI, fourth offense, with a concentration of more than .15 of 1 gram of alcohol per 210 liters of breath, a Class IIA felony.3 The information did not reference
TRIAL
OPENING STATEMENTS
During opening statements, Grutell‘s counsel suggested the evidence would show that Grutell did not consume alcohol until after his vehicle got stuck in a roadside ditch. Counsel remarked this would present a “problem” for the State because the State would not be able to show that Grutell “actually operated that motor vehicle on a public road or highway while under the influence.” The State objected to these remarks, arguing it did not have to show Grutell was operating a vehicle on a public road or highway. The district court initially overruled the State‘s objection, but a few hours later it reversed its ruling. Outside the presence of the jury, the court explained that after conducting some research, it concluded the State was not required to рrove the offense of DUI occurred on a public street or highway. The court went on to add that “if the defendant argues that this [DUI] was required to be on a street or highway, then upon objection, the Court will instruct the jury that it is not required.”
DEPUTY‘S TESTIMONY
The arresting deputy sheriff testified that at approximately 8 p.m. on February 17, 2017, he was patrolling Highway 24 when he observed a vehicle stranded in the ditch alongside a gravel road that intersected the highway. The vehicle‘s headlights were on, and the vehicle appeared to be rocking back and forth in the ditch. Thе deputy saw tire tracks on the traveled surface of the gravel road that led directly to the vehicle in the ditch.
The vehicle was registered to Grutell, who was the only occupant. The deputy found Grutell in the driver‘s seat of the vehicle with the engine running. When Grutell was asked to step out of the vehicle, he staggered and swayed as he walked. Grutell smelled strongly of alcohol, had slurred speech, and had glassy, bloodshot eyes. Grutell told the deputy he had come from a bar and restaurant in Norfolk, Nebraska, and was
The deputy administered field sobriety tests. Grutell was unable to complete one of the tests and showed signs of impairment on all the others. Grutell was arrested for DUI and was transported to the Norfolk police station where a breath test was conducted. Grutell had a breath alcohol concentration of .176. On appeal, he does not challenge either the breath testing process or the test result.
MOTION FOR DIRECTED VERDICT
At the close of the State‘s case, Grutell moved for a directed verdict arguing the State had failed to prove he was in “actual physical control” of a motor vehicle while intoxicated. As best we can determine from the record, Grutell‘s theory was that even if he was intoxicated while sitting behind the wheel of a running vehicle, the vehicle was stuck in the ditch at the time so he could not have exercised actual physical control over anything that would have caused the vehicle to move. The district court overruled the motion, reasoning that there was evidence the vehicle was rocking in the ditch when it was first observed by the deputy and that there was also evidence Grutell had operated the vehicle on the gravel roadway immediately before getting stuck in the ditch.
GRUTELL‘S TESTIMONY AND CLOSING ARGUMENTS
Grutell testified in his own defense. Hе testified that he was driving to visit his ex-wife at the bar where she worked when he missed his turn. While attempting to make a two-point turn on the gravel road, his vehicle fell into the ditch and became stuck. Grutell testified he did not have a cell
At the close of all the evidence, Grutell renewed his motion for directed verdict without further argument. The State rеsisted the motion, and the district court overruled it.
In his closing argument, Grutell‘s counsel asked the jury to return a verdict of not guilty if it believed Grutell‘s testimony that he had not consumed any alcohol until after his vehicle became stuck in the ditch. Similar to the argument presented in support of the motion for directed verdict, defense counsel argued during closing:
It‘s true that you can be in the ditch, you can be there with a vehicle, and you can be charged with a DUI and be guilty. But it‘s also true that you can be in the ditch, you can be under the influence of alcohol, and if you did it at the time when that car is not movable anymore, that is not a DUI.
The State did not object to this argument.
JURY VERDICT, ENHANCEMENT, AND SENTENCE
After deliberating for more than an hour, the jury returned a unanimous verdict finding Grutell guilty of DUI with an alcohol concentration greater than .15. A presentence investigation
At that hearing, the court received evidence of Grutell‘s prior DUI convictions and found him guilty of DUI, fourth offense, with a breath alcohol concentration of more than .15. Grutell was sentenced to a term of imprisonmеnt for a period of 18 to 36 months, and his operator‘s license was revoked for a period of 15 years. He filed a timely appeal, represented by new counsel.
COURT OF APPEALS
One of Grutell‘s assignments of error to the Court of Appeals focused on
It is undisputed that while Grutell‘s case was before the district court, he did not reference
As relevant to the issue on further review, Grutell argued the trial court plainly erred by “fail[ing] to rule on the issue of
The Court of Appeals considered each of these arguments and, in a memorandum opinion, found none had merit.10 It reasoned that under
Grutell petitioned this court for further review, arguing primarily that the Court of Appeals’ analysis had the effect of improperly shifting the burden of proof on a material element of the crime of DUI from the State to the defendant. We granted further review to address Grutell‘s argument that the provisions of
ASSIGNMENTS OF ERROR
Grutell assigns, restated, that the Court of Appeals erred in its plain error review by (1) rejecting his claim that the district court precluded him from challenging the status of the ditch under
STANDARD OF REVIEW
[1] An appellate court may find plain error on appeal when an error unasserted or uncomplained of at trial, but plainly evident from the record, prejudicially affects a litigаnt‘s substantial right and, if uncorrected, would result in damage to the integrity, reputation, and fairness of the judicial process.12
[2] Statutory interpretation presents a question of law.13
ANALYSIS
[3] All of Grutell‘s assignments of error turn on the central premise that the provisions of
MATERIAL ELEMENTS OF DUI
The crime of DUI is defined in
(1) It shall be unlawful for any person to operate or be in the actual physical control of any motor vehicle:
(a) While under the influence of alcoholic liquor or of any drug;
(b) When such person has a concentration of eight-hundredths of one gram or more by weight of alcohol per one hundred milliliters of his or her blood; or
(c) When such person has a concentration of eight-hundredths of one gram or more by weight of alcohol per two hundred ten liters of his or her breath.15
[4-6] We have explained that under
It is another statute contained within the Nebraska Rules of the Road,
(1) The provisions of the Nebraska Rules of the Road relating to operation of vehicles refer exclusively to
operation of vehicles upon highways except where a different place is specifically referred to in a given section, but sections 60-6,196 [(defining crime of DUI)], 60-6,197 [(addressing chemical tests for DUI)], [and] 60-6,197.04 [(addressing preliminary breath test for DUI)] shall apply upon highways and anywhere throughout the state except private property which is not open to public aсcess.
(Emphasis supplied.)
[7] The plain language of
IS EXCEPTION IN § 60-6,108(1) MATERIAL ELEMENT OF DUI?
The central question presented in this appeal is whether the exception set out in
Sometimes, when enacting a separate statutory exception to a criminal offеnse, the Legislature has been clear that the State is not required to negate the exception to prove the offense and the burden of proving the exception is on the person claiming
As a general rule, most jurisdictions hold that when a statutory exception appears in the statute defining the crime, the prosecution is required to plead and prove the defendant does not fall within the exception, but when the exception appears in a separate statute, it is considered a matter of defense.23 Cases in Nebraska have followed this general rule.24
[8] In Nebraska, a criminal complaint or information does not need to affirmatively negate any statutory exceptions which are not descriptive of the offense.25 Thirty years ago, in State v. Golgert,26 we applied this rule in DUI cases.
[9] In Golgert, we considered whether an earlier codification of
We pause to acknowledge that even after Golgert, it is a relatively common practice for prosecutors, when charging DUI, to include allegations in the complaint or information that at the time the defendant was operating or in actual physical control of a motor vehicle, he or she was not on private property not open to public access. Similarly, the DUI records we see on appeal show it is a common practice, in DUI trials, for courts to routinely instruct the jury on the requirements of
[10] We agree with the Court of Appeals that the exception in
§ 60-6,108(1) AND BURDEN OF PROOF
[11,12] In State v. Edwards,31 we recognized that courts in some jurisdictions require criminal defendants to bear the burden of proving an affirmative defense. But in Nebraska, we have adopted the rule that in the absence of a statute placing the burden of proving an affirmative defense on the defendant in a criminal case,32 the nature of an affirmative defense is such that the defendant has the initial burden of going forward with evidence of the defense, and once the defendant has produced sufficient evidence to raise the defense, the issue becomes one which the State must disprove.33 The evidence necessary to raise an affirmative defense may be adduced either by the defendant‘s witnesses or in the State‘s case in chief without the necessity of the defendant‘s presenting evidence.34 A defendant need only adduce a slight amount of evidence to satisfy this initial burden of raising an affirmative defense.35
As several of our prior cases addressing
With this framework in mind, we address Grutell‘s assignments of error on further review.
NO PLAIN ERROR
In his brief on further review, Grutell first argues that the Court of Appeals erred in rejecting his claim that the district court prevented him from raising
Next, Grutell argues the Court of Appeals erred when it found that his failure to invoke
Finally, Grutell argues the Court of Appeals erred in failing to address, as a matter of law, whether
As stated earlier, the issue of whether a vehicle was being operated or controlled on private property not open to public access is ordinarily a fact question to be determined by the fact finder, and not an issue to be determined as a matter of law. For the sake of completeness, we note that in State v. Thelen,40 we recently held as a matter of statutory interpretation that the ditch area within the county‘s right-of-way is part of the “public road” for purposes of
Instead, Grutell pursued an entirely different defense theory. Based on his testimony that he had not become intoxicated until after his vehicle got stuck in the ditch, he argued
On this record, Grutell did nothing to invoke the provisions of
CONCLUSION
Finding no plain error in how either the trial court or the Court of Appeals addressed
AFFIRMED.
FUNKE, J., participating on briefs.
