Lead Opinion
Hаving been instructed that appellant Larry Taylor could be convicted of Operating a Vehicle While Intoxicated (“OWI”)
I. Background
At appellant’s trial, Metropolitan Police Detective Joseph Diliberto testified that, at around 9:00 P.M. on February 25, 2009, he was patrolling in his police cruiser when he heard and then responded to a dispatcher’s lookout for a dark-colored van that was driving recklessly. Around the 800 block of Mississippi Avenue, S.E., a residential area, Detective Diliberto spotted a van matching the description, and began following it. The van was traveling within the speed limit and, although not weaving or drifting, was driving “on the wrong side of the roadway” for approximately five to six blocks. Detective Dili-berto turned on his lights and siren, and the van pulled over.
Other officers arrived on the scene, and, along with Detective Diliberto, they approached the van and driver. Detective Diliberto testified that appellant was sitting in the driver’s seat and that he was the sole occupant in the van.
Detective Diliberto testified that he did not administer the standard field sobriety test because he was afraid that, if left unassisted, appellant might fall down and injure himself, and that he did not perform the horizontal gaze nystagmus test because appellant was having difficulty focusing. Concluding that appellant “could not operate a motor vehicle,” Detective Dili-berto placed him under arrest. On cross-examination, the detective acknowledged that during the “stopping sequence alone,”
In instructing the jury on the elements of DUI at the close of the evidence, the trial court told them that the District was required to prove beyond a reasonable doubt that appellant operated a motor vehicle under the influence of alcohol, and that “[o]ne is under the influence of alcohol when one’s ability to operate a motor vehicle is impaired to the slightest degree.”
The following day, the trial judge explained to counsel that he had thought more about the instructions already given and believed he would be “hard pressed” to explain to the jury, if they asked, the difference between impairment “to the slightest degree” (the term the court had used in instructing the jury on DUI) and “any” degree of impairment (the term the court had used in instructing the jury on OWI). The trial judge also told counsel that he had reread the relevant case law, in particular Poulnot v. District of Columbia,
After the jurors began deliberating, they sent a note to the trial judge asking the court to “explain the term ‘to an appreciable degree’ which is used in the last sentence of the second paragraph of the instruction.” After a discussion with counsel, the court sent a note to the jury instructing them that “ ‘[t]o an appreciable degree’ means enough to be perceived or estimated; noticeable” (a definition that the court explained to counsel it took from Webster’s Dictionary).
Shortly after receiving that instruction from the court, the jury sent a fourth note in which it asked, “With respect to the definition you have given us of ‘appreciable degree’ as used in the jury instructions concerning driving under the influence, does ‘appreciable degree’ mean merely noticeable or must it be something more than that?” The court, in its final instruction to the jury, answered their inquiry as follows:
[Tjhere is a difference between DUI, driving under the influence, and OWI, and the difference is that DUI requires that one is under the influence of alcohol when one’s ability to operate a motor vehicle was impaired to what we call an appreciable degree or, to state it another way, that is enough to be perceived or estimated, noticeable or considerable. And that’s the difference from OWI, which is a lesser standard. To show that somebody is impaired for OWI, it doesn’t have to be an appreciable degree or a considerable degree or a noticeable degree. And these words are pretty much interchangeable. And that’s my point. I have a stated [sic] “appreciable” several different ways. In my view, they’re basically interchangeable....
So for OWI, it doesn’t have to show that somebody is impaired — it doesn’t have to be an appreciable degree or a considerable degree or a noticeable degree, just to be impaired in any way or at some level.
So I realize I perhaps haven’t precisely answered your question, but I have tried in both phraseologies to use alternative words to communicate that there is a difference in degree.
The court also told the jury that it was “going to rely on your common sense and how you ordinarily use” the terms contained in the instruction.
After receiving the supplemental instruction, the jury resumed its deliberations. The same day, it returned its guilty verdict on the OWI charge, but told the court that it was unable to reach a decision on the DUI charge. The court declared a mistrial on the DUI charge, and proceeded to sentencing on the OWI conviction.
II. Analysis
As already described, appellant contends that he is entitled to a reversal of his OWI conviction on the ground that the trial court erred in instructing the jury that OWI “is a lesser standard” and in failing to instruct thеm that, to convict appellant of OWI, they must find that he was impaired to “an appreciable degree,” the same instruction the court gave as to DUI. “The question whether [a] challenged instruction was proper ... is one of law.” Wilson-Bey v. United States,
A. Whether the Alcohol-Impairment Threshold is the Same for DUI and OWI
The several colloquies that occurred between the trial court and counsel as they struggled to formulate answers to the jury’s questions about the difference between OWI and DUI make it abundantly clear that, as the trial judge put it, the relationship between the two offenses “needs to get sorted out somehow[.]” Since the issues before us turn on the proper interpretation of the OWI and DUI statutes, our effort at “sort[ing] out” must begin with the plain language of the relevant statutory provisions. See Pinckney v. United States,
D.C.Code § 50-2201.05(b)(l)(A)(i)(II), the statutory provision that sets out the elements of DUI, prohibits operating or being in physical control of a vehicle while “under thе influence of intoxicating liquor or any drug or any combination thereof.” D.C.Code § 50-2201.05(b)(2), the provision that sets out the elements of OWI, prohibits operating or being in physical control of a vehicle “while the person’s ability to operate a vehicle is impaired by the consumption of intoxicating liquor[.]” We have recognized that both provisions prohibit driving while “impaired” by alcohol.
A quick comparative glance at the penalty provisions for first-time DUI and OWI offenses — a 90-day term of imprisonment for a first DUI offense, see D.C.Code § 50-2201.05(b)(l)(A)(ii), compared to a 30-day term of imprisonment for a first OWI offense, see D.C.Code § 50-2201.05(b)(2) — could lead one to surmise that the degree of impairment necessary
The legislative history reveals that, in establishing the separate offense of OWI, the Council intended to afford the Corporation Counsel (now the Attorney General of the District of Columbia) “added flexibility.” Council of the District of Columbia, Committee on Transportation and Environmental Affairs, Report on Bill 4-389, the “Anti-Drunk Driving Act of 1982” (“Committee Report”) at 7. The Committee Report explains that “[ijnstead of plea bargaining [DUI] down to reckless driving, the Corporation Counsel will be able to use [OWI] as the lesser alcohol traffic offense.” Id. (italics added). The Council created this option, so that “judges, prosecutors and the public will easily know if an individual has been convicted of a traffic alcohol offense.” Id. at 10.
We think the Committee Report’s discussion of the rationale for creating the offense of OWI dictates against reading intо the Committee’s phrase “lesser alcohol traffic offense” an intent to establish OWI as an offense that can be committed upon a lower threshold of impairment than is required to commit DUI. As the additional language quoted in the preceding paragraph indicates, the Council’s focus was on creating a new category of offense in order to give the District — which would already have found cause to charge a suspect with DUI — a substitute, lower-penalty but manifestly alcohol-related traffic charge that it could offer as an incentive for plea bargaining. The Council was doubtless aware that “the government has wide discretion in the plea bargain process^]” Price v. United States,
And, to the contrary, a closer examination of the statutory penalty scheme persuades us that we should construe OWI as covering the same degree of impairment as DUI. In 1991, the Council amended the statutory penalty provisions to establish that the enhanced penalty for a second DUI offense within a fifteen-year period applies as well for a first DUI offense “following a previous conviction for [OWI]” ■within the same time period. D.C.Code § 50-2201.05(b)(l)(B); D.C. Law 9-96, 38 D.C.Reg. 7274, 7275-76 (Dec. 9, 1991). The Council likewise amended the provision that describes the enhanced penalty for a third DUI conviction, so that it prescribes the same enhanced penalty for a
For the foregoing reasons, we accept the parties’ argument that the alcohol-impairment threshold is the same for DUI and OWI, and that the trial court erred in instructing the jury that “OWI ... is a lesser standard.”
B. Whether the OWI Instruction Permitted the Jury to Find Appellant Guilty of OWI Upon a Lesser Level of Impairment Than Was Required for Conviction of That Offеnse
Poulnot,
Accordingly, our holding that the alcohol-impairment threshold is the same for DUI and OWI means that the standard for both is correctly expressed as that level of impairment at which a person is appreciably “less able, either mentally or physically or both, to exercise the clear judgment and steady hand necessary to handle as powerful and dangerous a mechanism as a modern automobile with safety to himself and the public.” However, in instructing the jury as to OWI, the trial court told jurors not only that OWI “is a lesser standard,” but also that “for OWI, ... it doesn’t have to be an appreciable degree-” That instruction was erroneous. But the court also instructed the jury — by our count, four times, including during the last of its instructions — that, to be convicted of OWI, appellant had “just to be impaired in any way or at some level.” At least arguably, the terms “in any way” and “appreciably” are synonymous.
To explain: In theory, the term “impaired in any way or at some level” could include a degree of impairment that is beyond unaided human perception (e.g.,
What, though, do we make of the fact that the jury was unable to reach a verdict as to DUI, having been told (correctly) that “DUI requires that one is under the influence of alcohol when one’s ability to operate a motor vehicle was impaired to what we call an appreciable degree ... ?” We obviously cannot know with certainty what the jury was thinking. But we are persuаded by the chronology of the jury’s notes and the court’s responses that the jury (1) had difficulty distinguishing between the two offenses, and (2) was open to the possibility of convicting appellant of DUI once they had determined that he
We have considered whether our reasoning and our conclusion conflict with the Supreme Court’s reasoning in Bollenbach v. United States,
Before the Supreme Court, no one disputed that the instruction was erroneous (as there was no such presumption of transport in interstate commerce), but, in the words of the Court, the government “asks us to pay no attention to this palpa
The Court rejected the government’s argument that “the sting of error is extracted because there was proof, other than the erroneous ‘presumption,’ on the issue of Bollenbach’s participation in the wrongdoing before the transportation of the stolen securities had ended.” Id. at 614,
This is to disregard the vital fact that for seven hours the jury was unable to find guilt in the light of the main charge, but reached a verdict of guilty under the conspiracy count five minutes after their inquiry was answered by an untenable legal proposition. It would indeed be a long jump at guessing to be confident that the jury did not rely on the erroneous “presumption.”
Id. at 614,
It is true that in the instant case, as in Bollenbach, the jury returned a verdict not long after receiving the erroneous instruction. However, here, “the course of events, as revealed by the record, after the case went to the jury,” id. at 611,
Nor does our conclusion in this opinion rely on an assessment that “abundant evidence” was presented to the jury, or on our own “belief ... in the guilt of the accused.” Id. at 615,
To summarize, we hold that the alcohol-impairment threshold is the same for DUI and OWI. The trial court therefore erred in instructing the jury that “OWI ... is a lesser standard,” that a defendant’s impairment need not have been “appreciable” for him to be convicted of OWI, and that a conviction of DUI requires “considerable” impairment. While we think it likely that the erroneous instruction in this case contributed to the jury’s being unable to reach a verdict as to the DUI charge, we can “sa[yj beyond a reasonable doubt that the jury’s [OWI] verdict in this case was not affected by the erroneous instruction.” Pope,
Affirmed.
Opinion concurring in part and dissenting in part by Associate Judge Beckwith.
Notes
. D.C.Code § 50-2201.05(b)(2) (2001).
. D.C.Code § 50-2201.05(b)(l)(A)(i)(II) (2001).
. On cross-examination, however, Detective Diliberto acknowledged that he wrote in the report he prepared that evening that there also was a male passenger in the van.
. Detective Diliberto testified that "there was some kind of incoherent communication going on” and that appellant "really didn’t understand what was going on.”
.On cross-examination, the detective acknowledged that training materials state that resting nystagmus may be a sign of a medical impairment, and that he did not ask appellant whether he had a medical condition of a type that might "mimic the effects of alcohol intoxication."
. The court added that "the term 'under the influence’ means that the person charged must have dr[u]nk alcohol so as to affect — so that the effect of the alcohol disturbed or interfered with his normal mental or physical faсulties to the slightest degree.”
. Defense counsel told the court that he preferred the alternative definition the court had suggested, which the court had found in Dictionary.com: "sufficient to be readily perceived or estimated!;] considerable.”
. See, e.g., Anand v. District of Columbia,
. Our opinions heretofore have established that DUI and OWI are "separate and distinct” offenses, Scott v. District of Columbia,
. In addition, D.C.Code § 50-2201.05(b)(l)(A)(ii) makes the DUI first-offense penalty inapplicable to a person who has a prior OWI conviction.
. The same penalty scheme that applies to DUI convictions also applies to convictions under D.C.Code § 50-2201.05(b)(l)(A)(i)(I) and (III) (respectively, driving "[w]hen the person's alcohol concentration at the time of testing is 0.08 grams or more either per 100 milliliters of blood or per 210 liters of breath or is 0.10 grams or more per 100 milliliters of urine,” and driving when "under 21 years of age, when the person's blood, breath, or urine contains any measurable amount of alcohol”). This is an indication that the Council regards those offenses, too, as equivalent in severity to DUI, but there is no question that the elements of these offenses differ from the elements of DUI (and OWI). Our conclusion that OWI and DUI (alcohol) cover the same conduct is premised on the additional fact that impairment is an element of both of these offenses (but is not an element of the offenses described in D.C.Code § 50-2201.05(b)(l)(A)(i)(I) and (III)).
. Compare D.C.Code § 50-2201.05(b)(2) (2001) and D.C.Code § 50-2201.05(b)(l)(B) & (C) (2001).
. We hasten to observe, however, that this is a case in which it can fairly be said that the trial court error was invited by both parties. Defense counsel told the court at one point that he thought, "in all fairness, that the degree of impairment that is anticipated with a DUI is slightly higher than the degree of impairment anticipated by the OWI.” In addition, counsel for both parties agreed that the trial court should answer "No” to the jury’s question whether "if we find him guilty ... of OWI, [they] must ... find him guilty of DUI.”
. See, e.g., Church of Scientology Int'l v. Behar,
. Defense counsel urged the jury to find that Detective Diliberto’s account was not reliable given the discrepancy between his testimony and his written report about whether appellant was alone in the van; counsel argued that the beer containers could have belonged to a male passenger in the van. Counsel also highlighted the detective’s testimony that appellant drove without zigzagging or straddling lanes and was able to pull his van over and stop it without apparent difficulty. In addition, counsel pointed to the detective’s having made no effort to determine whether there was a medical cause for appellant's demean- or.
. We may assume that the jury so found since they are presumed to have followed the court's instructions. See Long v. United States,
. Cf. Pope v. Illinois,
. Recall that the jury’s note asked, "If we find the Defendant operated a motor vehicle in the District of Columbia while he was impaired by alcohol, must we find that he was guilty of driving under the influence of alcohol?”
. This is doubtless why defense counsel told the court that he preferred the alternative definition that the court suggested, which was taken frоm Dictionary.com ("sufficient to be readily perceived or estimated, considerable "), over the Webster's Dictionary definition that the court used in responding to the jury's first note. And, as already described, the prosecutor objected that use of the word "considerable” would "rais[e] the burden on DUI” and "add a burden upon the Government,” and the court itself observed that "considerable” was "perhaps even a stronger word” that "implies something greater than” the phrase "enough to be perceived” connotes.
.An alternative explanation for the jury's having convicted appellant of OWI while failing to reach a verdict on the DUI count is simply that these were inconsistent "verdicts.” See District of Columbia v. Tulin,
. Cf. United States v. Hall,
. Indeed, in light of shortcomings in the government’s evidence discussed in note 15 supra, we do not regard the District’s evidence as overwhelming (although it certainly was sufficient for conviction). This is not a case where, acting reasonably, the jury could not have failed to find appreciable imрairment; rather, this is a case in which the OWI verdict tells us that the jury did not fail to find appreciable impairment.
Concurrence in Part
concurring in part and dissenting in part:
There can hardly be a more crucial moment in a trial than when deliberating jurors who are confused about a matter central to a defendant’s guilt or innocence turn to the court for help in understanding their instructions. In this case, the delib
I agree with my colleagues that the trial court erred in instructing the jury regarding the level of impairment the government was required to prove for DUI and OWI. But I cannot agree that the court’s erroneous instructions on an еssential element of the offense of which appellant was convicted were harmless beyond a reasonable doubt, or harmless under any standard. Where the jurors in this case expressed increasing confusion about the element of impairment even as the trial court tried to clarify things, where they deadlocked on a DUI count that the court repeatedly (and accurately) told them required an “appreciable” level of impairment or its equivalent, where the OWI count required the same “appreciable” level of impairment as the count on which the jury deadlocked, and where the trial court straightforwardly (but inaccurately) told the jury that OWI did not require an “appreciable” or “noticeable” degree of impairment, there is every reason to fear that the jury may have convicted appellant of OWI without finding the required level of impairment.
The majority opinion concludes that the error in this ease was harmless beyond a reasonable doubt based primarily on two lines of reasoning.
The majority opinion first explains why the nature of the government’s evidence, which consisted primarily of Detective Diliberto’s description of events surrounding the traffic stop, ensured that the jury did not resort to the erroneous burden-diluting language to find appellant guilty of OWI under “a lesser standard” than an appreciable degree of impairment. That is, the jury must have found some level of impairment because the court instructed the jury that Mr. Tаylor had only “to be impaired in any way or at some level” — phrasing the majority opinion states is “[a]t least arguably ... synonymous” with the correct standard of “appreciably,” ante at 1267— and because “the only evidence the jury heard that supported the charge of impairment was testimony about conduct that demonstrated impairment that was appreciable as a matter of law.” Ante at 1271 (emphasis in original); see also ante at 1268 (referring to Mr. Taylor’s “driving on the wrong side of the street, his difficulty balancing himself while standing, his difficulty focusing, his incoherent communication, his urinating on himself’). Thus, the evidence showed either an appreciable degree of impairment if the jurors believed Detective Diliberto, or no level of impairment if they did not believe him, but it could not reasonably be construed as demonstrating a level of impairment that was less than noticeable or appreciable. Ante at 1268-69.
The court’s conception of what “the jury necessarily found” as “a matter of law”— namely, “that appellant’s impairment was perceptible or noticeable in at least one of the ways Detective Diliberto described,” ante at 1268 — disregards the possibility, perhaps the likelihood, that the jurors undertook a more complex evaluation of the evidence that readily could have yielded a finding of less-than-appreciable impairment.
Turning to the assertion that the jury deadlocked instead of convicting Mr. Taylor of DUI because it must have understood the term “considerable” to mean something greater than “appreciable,” this conclusion on the part of the majority turns out to be vital to a finding of harmlessness in this case. It is vital because if this reading of the jury’s deadlock on DUI is wrong — that is, if there is a reasonable chance the jury deadlocked on DUI based upon an understanding of “appreciable” that was not ratcheted up by the inclusion of the term “considerable” — it would be hard to fairly conclude that the jury convicted appellant of OWI without resorting to the diluted standard of impairment contained in the court’s final response to the jury’s questions.
If what really happened in this case was that the jury deadlocked on DUI based on an understanding of “appreciable” that equated with “noticeable” and “perceptible,” and that it convicted on OWI because the court’s instructions said it required something less than an “appreciable” or “noticeable” degree of impairment, then the prejudice caused by the erroneous instruction was demonstrable. This scenario seems equally likely — indeed more likely — given the entirety of the court’s instructions to the jury and the many indications that the jury had some doubts about the government’s case.
This is not, in my view, the kind of case in which the evidence is so clear that it admits of no other interpretation, and where we can therefore know, as a matter of law, what kind of impairment the jury necessarily found.
. Because the trial court’s instruction on OWI lowered the government's burden of proof on a critical element of the offense, I agree with my colleagues that we should deem the instructional error to be reversible unless we conclude that it was harmless beyond a reasonable doubt. Chapman v. California,
. It is worth noting, as an initial matter, that while the "impaired in any way or at some level” phrasing may be the functional equivalent of the "appreciably impaired” standard, it is hard to say what meaning the jurors would have assigned to the phrase in a case in which the trial court specifically instructed them, in response to their fourth question seeking guidance on the matter, that the two are not the same and that "impaired in any way or at some level” does not require a finding of impairment to "an appreciable degree or a considerable degree or a noticeable degree.” See Hunt v. United States,
. These include, for example, the officer’s statement in his police report, contrary to his trial testimony, that Mr. Taylor had a passenger in his vehicle. See also ante at 1268 n. 15.
. It is also possible, of course, that the jurors could not agree in their interpretation of the evidence and that their verdicts were compromise verdicts that were facilitated by the erroneous instruction permitting conviction of OWI on a finding of less than appreciable impаirment. See Harris v. United States,
.In its final instruction to the jury, this one in response to the jury’s fourth note (inquiring, "does 'appreciable degree’ mean merely noticeable or must it be something more than that?’’), the court stated that there is "a lesser standard” for OWI and that "it doesn’t have to be an appreciable degree or a considerable degree or a noticeable degree.”
. Given that it was the trial court’s error that injected the word “considerable” into the jury’s deliberations, there is also something unsettling about relying on the perceived effect of that word to defeat a finding of harm in this case.
. The court relies upon Neder v. United States,
Relatedly, while the majority concludes that the jury's third question to the trial court — "If we find the Defendant operated a motor vehicle in the District of Columbia while he was impaired by alcohol, must we find that he was guilty of driving under the influence of alcohol?” — shows the jury was prepared to convict Mr. Taylor of OWI from the outset, ante at 1271, the question also appears to be the jury's — or perhaps just one juror's- — rearticu-lation of the question the jury had just posed about how the two crimes are different. What is more clear from the record are the stark indications that the jurors were confused and in disagreement about whether the government proved an "appreciable” degree of impairment in this case, as evidenced by their deadlock on the DUI count. This fact alone should strongly undermine any confidence that the jury unanimously agreed Mr. Taylor was impaired to an appreciable degree.
