STATE of Minnesota, Respondent, v. Dale Lee UNDERDAHL, Appellant, Timothy Arlen Brunner, Appellant.
Nos. A07-2293, A07-2428
Supreme Court of Minnesota.
April 30, 2009.
Rehearing Denied July 22, 2009.
767 N.W.2d 677
Jeffrey S. Sheridan, Strandemo, Sheridan & Dulas, P.A., Eagan, Minnesota, for appellant Dale Lee Underdahl.
Derek A. Patrin, Meaney & Patrin, P.A., Eden Prairie, Minnesota, for appellant Timothy Arlen Brunner.
OPINION
MEYER, Justice.
Dale Lee Underdahl and Timothy Arlen Brunner (appellants) each sought discovery of the complete computer source code for the Minnesota model of the Intoxilyzer 5000EN in their separate driving while intoxicated (DWI) criminal prosecutions. The district courts in both cases ordered the State to produce the computer source code within 30 days, or the courts would dismiss certain charges and find that the breath test results were not admissible. The State appealed the discovery orders, and the court of appeals consolidated the actions and reversed both orders for production. State v. Underdahl, 749 N.W.2d 117, 121 (Minn.App.2008).
We granted appellants’ petitions for review concerning the district courts’ discovery orders, and also asked the parties to brief two additional issues: (a) whether the State is required to show critical impact, under
State v. Underdahl
On February 18, 2006, Dale Lee Underdahl was stopped on suspicion of driving while intoxicated and was arrested after performing poorly on field sobriety tests and failing a preliminary breath test. Underdahl agreed to a breath test performed with the Intoxilyzer 5000EN, the most recently approved breath-test instrument for the State of Minnesota.1 The Intoxilyzer 5000EN revealed an alcohol content of .23. Underdahl was charged in Dakota County District Court with third-degree driving while impaired (blood alcohol concentration of .20 or more),
Underdahl brought a motion for discovery, seeking State production of “a complete copy of the computer source and object codes for the Minnesota model of the Intoxilyzer 5000EN that was used to test the Defendant.” The State opposed the motion, arguing that the source code was not relevant and not in the State‘s possession because the Intoxilyzer 5000EN‘s manufacturer, CMI, Inc., owned the source code. The district court granted the discovery request and ordered that a complete copy of the computer source code for the Minnesota model of the Intoxilyzer 5000EN be provided to Underdahl in 30 days, or any evidence of the Intoxilyzer 5000EN test would be excluded from the State‘s case and the charge of third-degree driving while impaired (.20 or more) would be dismissed.
State v. Brunner
On July 28, 2007, Timothy Arlen Brunner was stopped on suspicion of driving while intoxicated. Brunner agreed to an Intoxilyzer 5000EN breath test. That test revealed an alcohol content of .18. Brunner was charged in Dakota County District Court with first-degree driving while impaired (under the influence of alcohol within 10 years of three or more qualified incidents),
Brunner brought a motion for discovery of the computer source code for the Minnesota model of the Intoxilyzer 5000EN. The district court granted the motion and ordered the State to produce the complete computer source code within 30 days, or the court would dismiss the
The State appealed the rulings of both district courts. The court of appeals consolidated the cases and reversed the district courts, concluding that Underdahl and Brunner had made “inadequate showings in the district court on the relevancy of the source code.” State v. Underdahl, 749 N.W.2d 117, 121 (Minn.App.2008). The court of appeals did not analyze whether the State had shown critical impact under
I.
We consider first whether the State was required to show critical impact in its pretrial appeal. Pretrial appeals by the State are governed by
Minnesota Rule of Criminal Procedure 28.04, subd. 1(1), provides: “The prosecuting attorney may appeal as of right to the Court of Appeals in any case, from any pretrial order of the trial court....” The procedure for such an appeal is set out in subdivision 2, and requires:
The prosecuting attorney shall file with the clerk of the appellate courts a notice of appeal, a statement of the case ... which shall also include a summary statement by the prosecutor as to how the trial court‘s alleged error, unless reversed, will have a critical impact on the outcome of the trial....
In the notices of appeal in these cases, the State did not assert critical impact; instead, the State stated that “Minnesota Appellate Courts have held that the critical impact requirement does not apply to discovery orders on pretrial appeal.” The State then cited to a Minnesota Court of Appeals decision that exempts nonsuppression orders from the critical impact requirement. State v. Renneke, 563 N.W.2d 335 (Minn.App.1997). In Renneke, the State appealed a district court order compelling disclosure of a deputy‘s personnel file. Id. at 337. The court of appeals concluded that the State did not have to show critical impact in a discovery dispute because the critical impact requirement “originally applied specifically to suppression orders.” Id. (citing State v. Solheim, 477 N.W.2d 785, 786-87 (Minn.App.1991); State v. Cain, 427 N.W.2d 5, 9-10 (Minn.App.1988)). The court of appeals held that discovery orders are exempt
Recently, we cautioned that the court of appeals’ rule in Renneke (exempting discovery orders from the critical impact requirement) has never been adopted by our court. State v. Rambahal, 751 N.W.2d 84, 89 (Minn.2008). We further noted that the Renneke rule “appear[ed] to be at odds with our prior cases and the plain language of
We look first to the plain language of the rule. Rubey v. Vannett, 714 N.W.2d 417, 421 (Minn.2006). Plain and unambiguous language must be followed. State v. Dahlin, 753 N.W.2d 300, 305 (Minn.2008). The rule must be read as a whole and each section interpreted “in light of the surrounding sections to avoid conflicting interpretations.” Id. at 306 (quoting Am. Family Ins. Group v. Schroedl, 616 N.W.2d 273, 277 (Minn.2000)).
Minnesota Rule of Criminal Procedure 28.04, subd. 1, allows the State to appeal from any pretrial order, while subdivision 2 requires these appeals to include a statement on “how the trial court‘s alleged error, unless reversed, will have a critical impact on the outcome of the trial.” This language does not differentiate between suppression orders and discovery orders; the rule plainly requires all pretrial appeals to be accompanied by a statement of critical impact.
We have applied the plain language of the critical impact rule to discovery and nonsuppression orders in at least two decisions. In State v. Hejl, the State appealed a district court order to produce the transcript of grand jury proceedings to a defendant. 315 N.W.2d 592, 592 (Minn.1982). We held that the State failed to demonstrate that an error in the order would have a critical impact on the defendant‘s prosecution. Id. at 593. In State v. Barsness, the district court ruled that evidence of a defendant‘s IQ was admissible, a ruling that the court of appeals reversed. 473 N.W.2d 828, 828 (Minn.1990). We said that the court‘s pretrial evidentiary ruling could only be reversed if the State demonstrated the court had erred and that the error would have critical impact. We held that the State had not established critical impact. Id.
While not central to our decision, the rule we affirm today fulfills the original purpose behind
We turn to the question of whether the State has demonstrated critical impact in the two cases before us. When the State appeals a pretrial order, it must show clearly and unequivocally (1) that the district court‘s ruling was erroneous and (2) that the ruling will have a “critical impact” on the State‘s ability to prosecute the case. State v. McLeod, 705 N.W.2d 776, 784 (Minn.2005). Critical impact, the threshold question, is intended to be a “demanding standard,” but with some flexibility. Id. (quoting State v. Zanter, 535 N.W.2d 624, 630 (Minn.1995)). The State can show critical impact when complying with an order “significantly reduces the likelihood of a successful prosecution.” Id. (citing Kim, 398 N.W.2d at 551). The State does not have to show that conviction is impossible after the pretrial order—only that the prosecution‘s likelihood of success is seriously jeopardized. In re L.E.P., 594 N.W.2d at 168.
When examining critical impact, the State‘s admissible evidence will be viewed as a whole to determine what impact the pretrial order will have on the prosecution‘s case. Id. Evidence unique in nature and quality is more likely to satisfy the critical impact requirement. Id.
The State argues that the discovery orders requiring production of the Intoxilyzer code will have a critical impact on the prosecution because the orders exclude the Intoxilyzer test results from trial if the source code is not produced. The State argues that if the test results are excluded, charges against both appellants will be dismissed because Underdahl‘s charge of third-degree driving while impaired (.20 or more) and Brunner‘s charge of first-degree driving while impaired (over .08) are based on the test results. See
We agree with the State that the pretrial orders will have a critical impact on the State‘s ability to successfully prosecute these cases. Although we have never before held that a discovery order can have critical impact, see Hejl, 315 N.W.2d at 593, these orders keep the Intoxilyzer test results from coming into evidence if
State v. Hicks controls our conclusion here. The pretrial orders would suppress the breath tests and expressly dismiss certain charges as a result of nonproduction, keeping the State from being able to prosecute those charges at all. Further, the breath test results cannot be duplicated by other evidence. We therefore hold the district court discovery orders meet the critical impact test because the exclusion of the breath test results will significantly reduce the likelihood of a successful prosecution on a charged offense.
II.
We next turn to whether the district courts abused their discretion in concluding that the computer source code was relevant and otherwise discoverable under
Upon motion of the defendant, the trial court at any time before trial may, in its discretion, require the prosecuting attorney to disclose to defense counsel and to permit the inspection, reproduction or testing of any relevant material and information not subject to disclosure without order of court under Rule 9.01, subd. 1, provided, however, a showing is made that the information may relate to the guilt or innocence of the defendant or negate guilt or reduce the culpability of the defendant as to the offense charged.
A district court judge has “wide discretion to issue discovery orders,” and normally an order will not be overturned without clear abuse of that discretion. In re Comm‘r of Pub. Safety (Underdahl I), 735 N.W.2d 706, 711 (Minn.2007) (quoting Shetka v. Kueppers, 454 N.W.2d 916, 921 (Minn.1990)). To find an abuse of discretion, an appellate court must conclude that the district court erred by making findings unsupported by the evidence or by improperly applying the law. Id.
We have not previously stated what showing is required to support a district court‘s conclusion that information may relate to a defendant‘s guilt or innocence in a DWI case. But we have described that showing in cases where the defendant has requested to review confidential information. In those cases, we have required “some plausible showing that the information sought would be both material and favorable to his defense.” State v. Hummel, 483 N.W.2d 68, 72 (Minn.1992)
In his discovery motion, appellant Underdahl requested a copy of the Intoxilyzer source code or the exclusion of the breath test result if the State failed to produce the source code. Underdahl‘s motion contained no other information or supporting exhibits related to the source code. At an omnibus hearing on October 17, 2007, Underdahl argued that a jury in a DWI case is asked to determine whether a breath test result is valid, and the only way for Underdahl to challenge that validity “is to go after the testing method itself.”4 The district court found that the jury instructions in a DWI case require the jury to evaluate the reliability of the testing method in determining the blood alcohol concentration level. Because the Intoxilyzer 5000EN provides the only evidence of alcohol concentration, the court found that evidence regarding the operation of that instrument is relevant.
Appellant Brunner submitted a memorandum and nine exhibits to support his request for the source code. The memorandum gave various definitions of “source code.” The first exhibit was the written testimony of David Wagner, a computer science professor at the University of California in Berkeley, which explained the source code in voting machines, the source code‘s importance in finding defects and problems in those machines, and the issues surrounding the source code‘s disclosure. The next exhibits detailed Brunner‘s attempts to obtain the source code, both from the State and CMI. The last exhibit was a copy of a report prepared on behalf of the defendants in New Jersey litigation about the reliability of New Jersey‘s breath-test machine. See State v. Chun, 194 N.J. 54, 943 A.2d 114 (2008). The report analyzed the New Jersey machine‘s computer source code and uncovered a variety of defects that could impact the test result. Based on Brunner‘s evidence, the district court found that the integrity of the source code is essential to the scientific reliability of the Intoxilyzer 5000EN test result. Further, the jury instructions asked the jurors to assess the reliability of the testing method, which could not be done without Brunner having access to the software controlling that testing process.
Although broad discretion is given to district courts in discovery matters, the district court in appellant Underdahl‘s case abused its discretion in finding the source code relevant and related to his guilt or innocence. Underdahl made no threshold evidentiary showing whatsoever; while he argued that challenging the validity of the Intoxilyzer was the only way for him to dispute the charges against him, he failed to demonstrate how the source code would help him do so. As in Hummel, Underdahl advanced no theories on how the source code “could be related to [his] defense or why the [source code] was reasonably likely to contain information related to the case.” 483 N.W.2d at 72.
Brunner submitted source code definitions, written testimony of a computer science professor that explained issues surrounding the source codes and their disclosure, and an example of a breath-test machine analysis and its potential defects. Brunner‘s submissions show that an analysis of the source code may reveal deficiencies that could challenge the reliability of the Intoxilyzer and, in turn, would relate to Brunner‘s guilt or innocence. Therefore, we hold that the district court in Brunner‘s case did not abuse its discretion in concluding that the source code may relate to his guilt or innocence.
III.
We next determine whether the district courts’ findings that the State had possession or control of the source code were clearly erroneous. The court of appeals did not reach this issue because it reversed both district courts’ discovery orders based on the grounds of relevance.
In Underdahl I, the State had been ordered to produce the source code in appellant Underdahl‘s implied consent hearing. 735 N.W.2d at 709. The Commissioner of Public Safety petitioned the court of appeals for a writ of prohibition to prevent the district court from enforcing the order, a writ that can be issued if the mandated discovery “is clearly not discoverable and for which there is no adequate remedy at law.” Id. at 711. We concluded that the Commissioner had failed to meet his burden of demonstrating that the
We similarly conclude that the district courts did not abuse their discretion in finding the State had possession or control of the source code under
In appellant Underdahl‘s case, we affirm the court of appeals and reverse the production order in his case. With respect to appellant Brunner, however, we reverse the court of appeals and reinstate the district court‘s order for State production of the complete computer source code for the Minnesota model of the Intoxilyzer 5000EN.
Affirmed in part, reversed in part, and remanded.
Concurring in part, dissenting in part, PAGE and ANDERSON, PAUL H., JJ.
PAGE, Justice (concurring in part and dissenting in part).
I concur in the result reached by the court with respect to appellant Brunner. But I respectfully dissent in the result with respect to appellant Underdahl.
Under our Rules of Criminal Procedure, a defendant has “wide latitude in requesting and receiving discovery, and district courts are afforded broad discretion to make discovery rulings.” State v. Burrell, 697 N.W.2d 579, 604 (Minn.2005). When reviewing a district court‘s discovery order, our role is solely to determine whether the district court clearly abused its discretion by making “findings unsupported by the evidence or by improperly applying the law.” In re Comm‘r of Pub. Safety (Underdahl I), 735 N.W.2d 706, 711 (Minn. 2007). The district court found that, “[b]ecause the testing method is something that the jury will ultimately have to consider and because the computer source code is relevant to that testing method, the source code directly relates to the guilt or innocence of Defendant. Accordingly, the source code is discoverable.”
Under
The court today places a heavier burden on Underdahl than
In this case, guilt or innocence depends on Underdahl‘s blood alcohol content. His blood alcohol content is assessed by the Intoxilyzer 5000EN. The source code of the Intoxilyzer 5000EN is the programming instruction used by the machine to assess blood alcohol content. The operation of the source code determines the reliability of the Intoxilyzer 5000EN‘s blood alcohol content readings. The reliability of the Intoxilyzer 5000EN is a question that the jury will have to decide before determining Underdahl‘s guilt or innocence. Thus, I conclude that the source code relates to Underdahl‘s guilt or innocence and that, under
ANDERSON, Paul H., Justice (concurring in part, dissenting in part).
I join in the concurrence and dissent of Justice Page.
