State v. MossState v. Moss
Lead Opinion
OPINION
¶ 1 Thе State appeals the trial court’s pretrial order precluding the State’s expert toxicologist from testifying to the results of tests of Defendant’s blood performed by non-testifying "witnesses and from offering opinions based in part on the test results. The trial court concluded that permitting this testimony from the State’s expert would violate Defendant’s constitutional right to confront the witnesses against him. We agree and therefore affirm.
I.
¶ 2 Defendant Troy Richard Moss was charged with two counts of aggravated assаult, two counts of endangerment, one count of possession or use of dangerous drugs, and one count of possession of drug paraphernalia.
¶ 3 The charges arose from an automobile accident allegedly caused by Moss running a red light in a stolen vehicle, which in turn caused serious injuries to or endangered the occupants of other vehicles. Law enforcement officers drew blood from Moss pursuant to a search warrant and sent the sample to a private laboratory in California to determine the presence of drugs. According to the State, the laboratory test revealed a methamphetamine level of 360 ng/ml and an amphetamine level of 63 ng/ml. The private laboratory ceased operating and the State could not locate the criminalists who performed the analysis of Moss’s blood to testify
¶4 In a pretrial motion, Moss sought to preclude Dr. Kelly from testifying to the results of the blood tests and from expressing any opinion bаsed on those results. Moss argued that because Dr. Kelly did not perform the tests, such testimony would violate Moss’s rights under the Confrontation Clause as clarified by the United States Supreme Court in Crawford v. Washington,
¶ 5 The trial court assumed for purposes of Moss’s motion that the test results were facts or data of a type reasonably relied upon by experts in Dr. Kelly’s particular field in forming opinions on whether a driver was under the influence of drugs and that Dr. Kelly’s opinions would ordinarily be admissible under Rule 703 of the Arizona Rules of Evidence. The court concluded, however, that the report stating the results of Moss’s blood tests was “testimonial” under Crawford v. Washington. The court further reasoned that “[although the [laboratory] report is not going to be offered as an exhibit at trial, the contents of that report will become known to the jury through the testimony of Dr. Kelly.” The court found that such use of the test results would violate the right to confrontation and therefore the results were inadmissible. The court granted Moss’s motion to preclude the testimony of Dr. Kelly regarding the test results and any opinions based on the results, “unless the person who performed the analysis of the blood is called as a witness and is subject to cross examination.”
¶ 6 After the dismissal without prejudice of the six counts affected by the trial court’s ruling, the State timely appealed. We have jurisdiction under Arizona Constitution Article 6, Section 9, and Arizona Revised Statutes (“A.R.S.”) sections 12-120.21(A)(1) (2003) and 13^1032 (2001).
II.
¶ 7 This court ordinarily reviews a trial court’s ruling on the admissibility of evidence under an abuse of discretion standard. State v. Ayala,
¶ 8 To resolve this appeal, we must determine if the proposed testimony of Dr. Kelly is constitutionally barred by the Confrontation Clause. The State seeks to show that Moss was under the influence of drugs at the time of the accident. The presence of drugs in Moss’s blood would be key evidence supporting the mens rea of recklessness for the offenses of aggravated assault and endangerment. See
¶ 9 In 2004, the United States Supreme Court issued its landmark Cranford, opinion expanding the right of an accused to confront his accusers. The Court held that the Confrontation Clause bars “admission of testimonial statements of a witness who did not appear at trial unless he was unavailable to testify, and the defendant had had a prior opportunity for cross-examination.” Crawford,
¶ 10 Crawford overruled Ohio v. Roberts,
Where testimonial statements are involved, we do not think the Framers meant to leave the Sixth Amendment’s protection to the vagaries of the rules of еvidence, much less to amorphous notions of “reliability.” Certainly none of the authorities discussed above acknowledges any general reliability exception to the common-law rule. Admitting statements deemed reliable by a judge is fundamentally at odds with the right of confrontation. To be sure, the Clause’s ultimate goal is to ensure reliability of evidence, but it is a procedural rather than a substantive guarantee. It commands, not that evidence be reliable, but that reliability be assessed in a particular manner: by testing in the crucible of cross-examination. The Clause thus reflects a judgment, not only about the desirability of reliable evidence (a point on which there could be little dissent), but about how reliability can best be determined.
Crawford,
¶ 11 The State cannot produce the criminalists who actually performed the tests on the sample оf Moss’s blood. Moss has not had the opportunity to confront and cross-examine these witnesses. We must determine if the test results and Dr. Kelly’s proposed testimony constitute “testimonial” hearsay under Crawford, thereby triggering Moss’s right to confront the absent witnesses. We begin our analysis by considering whether the blood test results constitute hearsay and, even if hearsay, whether Dr. Kelly may testify to the results under Arizona Rule of Evidence 703.
¶ 12 Prior to Crawford, our supreme court stated that the Confrontation Clause is inapplicable to non-hearsay еvidence. State v. Rogovich,
¶ 13 Under Rule 703 of the Arizona Rules of Evidence, a testifying expert may testify to the facts or data underlying his opinion for the limited purpose “of showing the bases of that opinion, not to prove the truth of the matter asserted.”
¶ 14 Bаsed on these principles, the State asks us to reverse the trial court’s exclusion of Dr. Kelly’s testimony regarding the blood test results and his opinions based thereon. Perhaps recognizing that the written test report constitutes hearsay, the State does not intend to offer the report. See State ex rel. McDougall v. Johnson,
The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to the expert at or befоre the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence.
¶ 15 The trial court found that Dr. Kelly’s proposed testimony would convey to the jury the actual blood test results, even though the report would not be admitted. Cognizant of “dangers lurking” in potential applications of Rule 703, our supreme court has warned that the admissibility of “facts or data” relied on by an exрert is not absolute, and is subject to the weighing required by Arizona Rule of Evidence 403 of the probative value against the unfair prejudice that may arise from such disclosure. Lundstrom,
¶ 16 Whether an expert is merely acting as a conduit for another non-testifying expert’s
¶ 17 Additionally, courts must consider the impact of the proposed testimony on the jury. See
¶ 18 The trial court had discretion to determine under these facts that the test results would likely be considered by the jury as conclusions of the non-testifying criminalists who performed the analysis, therеby potentially triggering Moss’s confrontation rights. If proposed out-of-court statements will probably be considered by the jury for the truth of the matters stated therein, the evidence should be considered the functional equivalent of hearsay for Confrontation Clause purposes even though it might traditionally be considered as facts or data relied upon by an expert under Rule 703. See Crawford,
¶ 19 For these reasons, we conclude that the proposed testimony of Dr. Kelly contains significant elements of hearsay and the func
¶ 20 In Crawford, the Supreme Court held that “testimonial” hearsay statements of an unavailable declarant would not be admitted in a criminal trial unless the defendant had cross-examined the declarant. See
¶21 We conclude that the proposed testimony of Dr. Kelly reporting Moss’s blood test results would constitute testimonial evidence within the meaning of Cranford. The criminalists who performed the blood tests and interpreted the results surely expected their statements of the results to be used prosecutorially. That was the primary reason for analyzing the blood. Thе testimony by Dr. Kelly reporting the results would be, in essence, an accusation by the absent criminalists that Moss had ingested methamphetamine before the accident. Therefore, Dr. Kelly’s proposed evidence is testimonial under Crawford, triggering the protections of the Confrontation Clause.
¶ 22 Our conclusion is supported by several recent decisions from other jurisdictions. See, e.g., Johnson v. State,
¶ 23 Nor are we persuaded that Dr. Kelly’s testimony regarding the results of blood tests performed by non-testifying criminalists would fall within any exception to the requirements of the Confrontation Clause simply because the written report might qualify as a business record. The Supreme Court suggested in dicta in Crawford that business records are non-testimonial. See
¶ 24 The State also argues that the laboratory analysis of Moss’s blood was “neither discretionary nor based on opinion” and on appeal, however, contains no evidence addressing the actual testing methodology, its scientific foundation, the background and qualifications of the criminalists, or the amount of expertise and subjective judgment involved in the process. Based on this sparse record and in light of Crawford, we do not find this argument of the State to be persuasive.
¶25 The protection of the Confrontation Clause may, as here, predominate over Rule 703 admissibility of facts or data relied on by an expert. The admissibility of such facts or data has historically been based on a judicial determination that the evidence is “of a type reasonably relied upon by experts in the particular field” and therefore reliable. See
III.
¶ 26 Confrontation rights are not violated when the out-of-court declarant testifies at trial and is subject to cross-examination. Crawford,
Notes
. Moss was also charged with unlawful use of means of transportation. This count was severed. A jury found Moss guilty of that charge and he was sentenced to six years in prison. This court affirmed that conviction and sentence.
. The record does not reveal whether the analysis of Moss’s blood was performed by one crimi-nalist or more than one. The written test report is not part of the record on appeal. In both the trial cоurt and on appeal, the State has primarily used plural designations such as "criminalists." We will follow suit in this opinion.
. We cite the current version of the applicable statute because it is the same, for purposes of these issues, as the version in effect at the time of these events.
. See also
. The Court further explained:
We have no doubt that the courts below were acting in utmost good faith when they found reliability. The Framers, however, would not have been content to indulge this assumption. They knew that judges, like other government officers, could not always be trusted to safeguard the rights of the people.... They were loath to leave too much discretion in judicial hands.
Id. at 67,
.
. The Comment to
This rule, along with others in this article, is designed to expedite the reception of expert testimony. Caution is urged in its use. Particular attention is called to the Advisory Committee’s Note to the Federal Rules of Evidence which accompanies FederalRule 703 . In addition, it should be еmphasized that the standard "if of a type reasonably relied upon by experts in the particular field" is applicable to both sentences of the rule. The question of whether the facts or data are of a type reasonably relied upon by experts is in all instances a question of law to be resolved by the court prior to the admission of the evidence. If the facts or data meet this standard and form the basis of admissible opinion evidence they become admissible under this rule for thе limited purpose of disclosing the basis for the opinion unless they should be excluded pursuant to an applicable constitutional provision, statute, rule or decision.
. We note that some authorities have concluded in light of Crawford that facts or data offered to explain the basis of an expert’s opinion should be considered hearsay even though the evidence is not, in a traditional sense, offered to prove the truth of the matters stated therein. See People v. Goldstein,
. We are not suggesting that experts may no longer rely on facts or data that are hearsay. The key question now in Confrontation Clause analysis is whether the proposed evidence is testimonial. As the authors of one leading evidence treatise explain:
Often, the hearsay basis for an expert’s testimony will not be testimonial under any reasonable definition of the term. When a doctor relies on other medical records made in the course of treatment, or an appraiser relies on comparable sales, or an expert in gang structure relies on interviews conducted with former gang members over many years and not related to the particular case, no plausible understanding of "testimonial” would encompass these statements. However, there will be times when part of an expert’s basis is testimonial. A psychiatrist’s opinion about sanity could depend in part on statements made by people to the police about the defendant’s behavior; or, in a criminal case arising from a vehicular accident, an accident reconstruction expert might base his opinion partly on affidavits made by witnesses to the authorities. The situation is similar when a gang expert relies on statements made by suspects under interrogation, or when one forensic scientist relies on the laboratory results of another, or when a medical or forensic report written by someone other than the testifying witness is introduced into evidence, or when, pursuant to statute, expert information (such as a breathalyzer test or an analysis of the composition of a drug) is introduced without any witness at all. In such cases, the Confrontation Clause could bar disclosure of this evidence.
Kaye et al., The New Wigmore: Expert Evidence § 3.10, at 38-39.
Concurrence Opinion
specially concurring.
¶ 11 concur in the result, but not necessarily the reasoning, of the majority. I would not reach the constitutional issue because Dr. Kelly’s testimony, to thе extent it is based upon the lab results, would be inadmissible as a “conduit for another non-testifying expert’s opinion”. State v. Lundstrom,