George J. Cosenza, Esq.
Darrell
V. McGraw, Jr., Esq.
Cosenza, Underwood & Merriman
Attorney
General
Parkersburg, West Virginia
Scott
E. Johnson, Esq.
Attorney for Appellant
Senior
Assistant Attorney General
Charleston,
West Virginia
Attorneys
for Appellee
JUSTICE MAYNARD delivered the Opinion of the Court.
JUSTICE STARCHER concurs and reserves the right to file a concurring opinion.
1. [W.Va.] Code, 56-6-5, which provides for the submission of interrogatories to a jury in the trial of any issue or issues does not apply to trials in criminal cases. Syllabus Point 5, State v. Greater Huntington Theatre Corp., 133 W.Va. 252, 55 S.E.2d 681 (1949).
2. The
submission of special interrogatories to a jury in a criminal case when not
authorized by statute constitutes reversible error.
3. A
record of the accuracy inspection of an intoxilyzer or breathalyzer machine
performed by a certified breath test operator and prepared in accordance with
64 C.S.R. §§ 10-7.1, et seq., is admissible under the public
records exception to the hearsay rule found in W.Va.R.Evid. 803(8)(B).
4. The
law enforcement limitation on admissibility of public records found in W.Va.R.Evid.
803(8)(B) does not prohibit the admission under Rule 803(8)(B) of a record of
the accuracy inspection of an intoxilyzer machine performed by a certified breath
test operator and prepared in accordance with 64 C.S.R. §§ 10-7.1,
et. seq., where the certified breath test operator is a law enforcement
officer. The accuracy check of an intoxilyzer is an administrative function
that is not performed pursuant to the investigation of any particular person.
Maynard, Justice:
This case is before this
Court upon appeal of a final order of the Circuit Court of Wood County entered
on October 4, 2000. In that order, the circuit court sentenced the appellant
and defendant below, Ray Lewis Dilliner, to one-to-three years in the penitentiary
and imposed a $3,000.00 fine for his conviction of third offense driving under
the influence of alcohol (hereinafter third offense DUI). In this
appeal, the appellant contends that the circuit court erred by not setting
aside the guilty verdict because it was inconsistent with special interrogatories
answered by the jury. The appellant also contends that the circuit court erred
by admitting into evidence the results of his intoxilyzer test.
This Court has before it
the petition for appeal, the entire record, and the briefs and argument of
counsel. For the reasons set forth below, the final order of the circuit court
is reversed and this case is remanded for a new trial.
The appellant passed the
first series of field sobriety tests but failed the horizontal gaze nystagmus
test and the preliminary breath test. Consequently, the appellant was taken
to the police station and given an intoxilyzer test which showed a blood alcohol
concentration of .156 percent. The appellant was arrested. Subsequently, he
was indicted for third offense DUI and driving a motor vehicle with an alcohol
concentration in his blood of ten hundredths of one percent or more by weight.
The indictment alleged that the appellant has been previously convicted of
DUI twice in Marietta, Ohio.
(See footnote 2)
Prior to trial, the appellant
moved to suppress the results of his intoxilyzer test, but the motion was denied.
At trial, the appellant testified that he had not consumed any alcohol during
the twenty-four hour period immediately prior to his arrest. He further testified
that he owned a body shop and that hours before his arrest he had painted an
automobile without using a protective mask. The appellant maintained that the
vapors from the paint and other chemicals he used while painting accounted for
the results of his intoxilyzer test.
In support of his testimony,
the appellant presented the expert testimony of Robert J. Belloto, Jr., R.Ph.,
Ph.D. Dr. Belloto testified that he had examined the various chemical products
used by the appellant to paint the automobile before his arrest. He further
testified that these chemicals metabolize in the human body in such a manner
that they are expelled as alcohol and thus could cause a false reading on
an intoxilyzer test.
Thereafter, the jury found the appellant guilty of both counts in the indictment. In response to interrogatories relating to their findings of guilt, the jury indicated the verdicts were based upon a combination of the appellant drinking alcohol and inhaling chemicals while painting his car. The jury further indicated that it did not believe that the appellant inhaled the chemicals to cause himself to become intoxicated. Based on the jury's responses to the interrogatories, the appellant moved to set aside the verdicts.
Alternatively, the appellant requested a new trial. After considering the
motions, the circuit court set aside the verdict on count two, driving a motor
vehicle with an alcohol concentration of ten hundredths of one percent or
more, by weight, and entered a not guilty verdict. However, the court denied
the motion with regard to the first count and sentenced the appellant to one-to-three
years in the penitentiary and imposed a $3,000.00 fine. This appeal followed.
The appellant claims that the jury's answers to the interrogatories clearly
establish that the jury did not find him guilty of driving under the influence
as set forth in W.Va. Code § 17C-5-2(k) (1996). While we understand the
appellant's argument, we reverse the appellant's conviction for a different
reason.
This Court has long since
held that special interrogatories should not be submitted to juries in criminal
cases. In State v. Boggs, 87 W.Va. 738, 749, 106 S.E. 47, 51-52 (1921),
this Court stated that:
Statutes permitting findings
to be required in response to interrogatories are held not to apply to criminal
cases, for the reason that to so apply them would be to impair the right of
trial by jury secured by the Constitution. It is one of the most essential
features of the right of trial by jury that no jury should be compelled to
find any but a general verdict in criminal cases, and the removal of this
safeguard would violate its design and destroy its spirit.
(Citation omitted). This Court concluded in Boggs that special
interrogatories cannot be propounded to the jury in criminal cases.
Id., 87 W.Va. at 749-50, 106 S.E. at 52. In State v. Bowles, 109
W.Va. 174, 176, 153 S.E. 308, 308 (1930), this Court reiterated that [t]he
practice of submitting interrogatories is not followed in the trial of criminal
cases.
Finally, in Syllabus Point 5 of State v. Greater Huntington Theatre Corp.,
133 W.Va. 252, 55 S.E.2d 681 (1949), this Court held that [W.Va.] Code,
56-6-5, which provides for the submission of interrogatories to a jury in
the trial of any issue or issues does not apply to trials in criminal cases.
While the issue of submitting
special interrogatories to juries in criminal cases has not come before this
Court since State v. Greater Huntington Theatre Corp., several other
jurisdictions have addressed the issue more recently. Generally, special interrogatories
in criminal cases remain disfavored and discouraged. United States v. Acosta,
149 F.Supp.2d 1073, 1075 (E.D.Wis. 2001). It is believed that special
interrogatories may coerce the jurors into rendering a guilty verdict,
State v. Sheldon, 301 N.W.2d 604, 614 (N.D. 1980), or destroy[
] the ability of the jury to deliberate upon the issue of guilt or innocence
free of extraneous influences. State v. Simon, 79 N.J. 191, 199,
398 A.2d 861, 865 (1979). See also United States v. Sababu, 891 F.2d
1308, 1325 (7th Cir. 1989) (special verdicts are disfavored in criminal cases
because they conflict with the basic tenet that juries must be free from judicial
control and pressure in reaching their verdicts); United States v. Coonan,
839 F.2d 886, 891 (2d. Cir. 1988) (there is some belief that eliciting yes
and no answers to questions concerning the elements of an offense
may propel a jury toward a logical conclusion of guilt whereas a more generalized
assessment might result in an acquittal); United States v. O'Looney,
544 F.2d 385, 392 (9th Cir. 1976) (danger that special
verdicts might be devices for bringing judicial pressure to bear on juries
in reaching their verdicts).
Although some courts have
permitted the use of special interrogatories in criminal cases,
(See footnote 3)
we believe that they should not be permitted except where provided for
by statute. Since State v, Greater Huntington Theatre Corp. was decided,
the Legislature has provided for the submission of special interrogatories
to juries in criminal cases in certain limited circumstances.
(See footnote 4)
Primarily, the statutory authorization of special interrogatories in
criminal cases is for sentencing purposes. In that context, the reasons for
prohibiting the use of special interrogatories do not exist.
However,
The State concedes that
the circuit court erred by concluding that a finding of authenticity can be
equated with a finding of admissibility against a hearsay objection, and acknowledges
this Court's statement in State v. Jenkins, 195 W.Va. 620, 625, 466
S.E.2d 471, 476 (1995):
The appellant responds that
Rule 803(8)(B) specifically excludes reports of matters observed by police officers
and other law enforcement personnel. Because in the instant case, the accuracy
inspection test was performed by D.W. DeBord, a sergeant in the Parkersburg
division of the West Virginia State Police, the appellant concludes that the
report would not be admissible. We agree with the State
that the accuracy inspection report was admissible under W.Va.R.Evid. 803(8)(B)
because we find that the law enforcement exclusion in Rule 803(8)(B) is not
applicable to the instant circumstances. The State directs our attention to
a leading evidentiary treatise on the Federal Rules of Evidence which explains: In addition, we are persuaded by the reasoning of the courts in United
States v. Wilmer, 799 F.2d 495 (9th Cir. 1986); Steiner v. State, 706
So.2d 1308 (Ala.Crim.App. 1997); and State v. Ruiz, 120 N.M. 534, 903
P.2d 845 (N.M.Ct.App. 1995). In Wilmer, the defendant
was convicted of driving while intoxicated and his license was suspended based
on events occurring at an air force base. The United States Court of Appeals
for the Ninth Circuit found that evidence of the calibration certificate of
the maintenance officer who calibrated the breathalyzer machine was admissible
under Rule 803(8). The court rejected the defendant's challenge to the report's
admissibility based on the law enforcement exclusion in Rule 803(8)(B). Specifically,
the court recognized that the exclusionary provisions of Rule 803(8)(B)
were intended to apply to observations made by law enforcement officials at
the scene of a crime or the apprehension of the accused and not 'records of
routine, nonadversarial matters' made in a nonadversarial setting. Wilmer,
799 F.2d at 500-01 (citation omitted). Likewise, in Steiner,
the defendant challenged the introduction into evidence of the logbook indicating
that the Intoxilyzer 5000 machine was properly calibrated on the basis that
the logbook fell within the law enforcement exception because the machine
was tested by a State Trooper. The Court of Criminal Appeals of Alabama rejected
this challenge. The court reasoned:
Other
jurisdictions have applied the law enforcement exception only to matters
observed or investigated by police in adversarial, investigative circumstances
where those involved may well have a motivation to misrepresent in order to
secure a conviction. Charles Gamble, McElroy's Alabama Evidence, §
266.01(5) (5th ed. 1996) (citations omitted). The inspection of the calibration
of the I-5000 is an administrative function that is not performed pursuant to
the investigation of any particular person. Therefore, we hold that a certified
copy of the logbook relating to the I-5000 is admissible under the business
records exception to the rule against hearsay when offered to show that the
device was inspected to insure that the device had been properly calibrated. Finally, in Ruiz, the
Court of Appeals of New Mexico found that a calibration log and intoxilyzer
printout were admissible under Rule 803(8), and not excluded by the law enforcement
exclusion in that rule. The Court explained: We agree with the reasoning
in the cases discussed above. The accuracy inspection report of an intoxilyzer
sets forth matters observed pursuant to a duty imposed by the Code of State
Rules which also requires that these matters be reported.
Accordingly, we hold that a record of the accuracy inspection of an intoxilyzer
or breathalyzer machine performed by a certified breath test operator and
prepared in accordance with 64 C.S.R. §§ 10-7.1, et seq., is
admissible under the public records exception to the hearsay rule found in
W.Va.R.Evid. 803(8)(B). Further, we hold that the law enforcement limitation
on admissibility of public records found in W.Va.R.Evid. 803(8)(B) does not
prohibit the admission under Rule 803(8)(B) of a record of the accuracy inspection
of an intoxilyzer machine performed by a certified breath test operator and
prepared in accordance with 64 C.S.R. §§ 10-7.1, et seq.,
where the certified breath test operator is a law enforcement officer. The
accuracy check of an intoxilyzer is an administrative function that is not
performed pursuant to the investigation of any particular person. We emphasize, however, that
a defendant may subpoena and compel the attendance at court of the certified
breath test operator who conducted the accuracy inspection of the intoxilyzer
and examine the operator concerning his or her compliance with the applicable
rules and methodology in conducting the inspection. Should a defendant choose
to subpoena that person, the State has a responsibility to have the certified
operator available and responsive to timely process.
Moreover, we find that the admission
of an accuracy inspection report pursuant to the West Virginia Rules of Evidence
does not violate the appellant's constitutional right to confront witnesses.
This Court has held that when the challenged extrajudicial statement was not
made in a prior judicial proceeding, the only requirement for admission of the
extrajudicial statement under the Confrontation Clause is proving the reliability
of the witness's out-of-court statement. See Syllabus Point 2, State
v. James Edward S., 184 W.Va. 408, 400 S.E.2d 843 (1990); Syllabus Point
2, State v. Kennedy, 205 W.Va. 224, 517 S.E.2d 457 (1999). We have further
recognized that reliability can usually be inferred where the evidence
falls within a firmly rooted hearsay exception. James Edward S., 184
W.Va. at 414, 400 S.E.2d at 849. The public records exception in W.Va.R.Evid.
803(8) is a firmly rooted hearsay exception. Kennedy, 205 W.Va. at 230,
517 S.E.2d at 463 (Numerous courts have recognized the fact that the public
records exception is a firmly established exception which satisfies the Confrontation
Clause).
While
we reverse the appellant's conviction because the circuit court erred by submitting
the special interrogatories to the jury, we feel it is necessary to address
another assignment of error raised by the appellant.
The appellant also contends that the circuit
court erred by admitting into evidence the intoxilyzer accuracy inspection report
and the results of his intoxilyzer test. During his trial, the State offered
the accuracy inspection report as foundational evidence to support the admission
of the appellant's actual breath test results. The State presented the accuracy
inspection report to establish that the intoxilyzer machine used to test the
appellant's blood alcohol level had been checked for accuracy in compliance with the requirements of the West Virginia Division
of Health. The appellant objected to the admission of the report asserting
that it was hearsay. However, the circuit court allowed the accuracy inspection
report to be admitted into evidence without testimony from its author or any
other person. Specifically, the circuit court concluded that since the document
was authentic pursuant to Rule 902 of the West Virginia Rules of Evidence,
it was also reliable, and therefore admissible. The appellant now argues that
the circuit court erred in its finding. According to the appellant, even though
a document is authentic, it still must conform to the other evidentiary rules
prior to its admission.
A trial judge's finding of
authenticity does not guarantee admissibility. The trial judge also must evaluate
whether the evidence is admissible pursuant to the rules of evidence governing
relevancy, hearsay, privileges, or any other applicable rules of evidence.
The State maintains, however, that the accuracy inspection report was admissible
as a public record pursuant to Rule 803(8)(B) of the West Virginia Rules of
Evidence so that the appellant's conviction should not be reversed. According to Rule 803(8)(B)
of the West Virginia Rules of Evidence:
The
following are not excluded by the hearsay rule, even though the declarant is
available as a witness:
(8)
Public records and reports. Records, reports, statements, or data compilations,
in any form, of public offices or agencies, setting forth . . . (B) matters
observed pursuant to duty imposed by law as to which matters there was a duty
to report, excluding, however, in criminal cases matters observed by police
officers and other law enforcement personnel[.]
According to the State,
the accuracy inspection report falls squarely within the confines of W.Va.R.Evid.
803(8) because 64 C.S.R. § 10-7.1(f) requires that [t]he designated
instrument shall have its accuracy checked in accordance with subsection 7.2
of this rule. Each law enforcement agency shall maintain a record of such
accuracy checks including the type of test employed and the date of such accuracy
checks. Further, 64 C.S.R. § 10-7.3(c) requires that the individual
testing the intoxilyzer machine must be a certified breath test operator.
Therefore, concludes the State, the Code of State Rules requires the accuracy
test to be performed, thus making it a matter observed pursuant to duty
imposed by law as stated in Rule 803(8)(B), and a record of such accuracy
checks must be maintained, thus making it a matter of which there is a
duty to report, as stated in Rule 803(8)(B).
In
adding the exclusionary clauses, Congress was responding to one dominant concern:
that law enforcement officers would create dossiers purporting to describe
accurately the actions of criminal defendants and that these dossiers would
be offered in lieu of live testimony. Such evidence was thought to be unreliable
and was barred in criminal cases if offered against the defendant.
.
. . .
Under the predominant view,
laboratory reports and the like are admissible, because the Rule is designed
to exclude a different type of report, i.e., police-generated reports that
are prepared under adversarial circumstances, which are subject to manipulation
by authorities bent on convicting a particular criminal defendant.
3 Stephen A. Saltzburg, et al., Federal Rules of Evidence Manual 1684
(7th ed. 1998).
Steiner, 706 So.2d at 1312.
Courts
in other jurisdictions have considered the law enforcement limitation on the
business or public records exceptions. These courts generally have ruled that
language patterned on Federal Rule of Evidence 803(8) does not prohibit
introduction of records of a routine, intra-police, or machine maintenance
nature, such as intoxilyzer calibration logs. Ward, 474 N.E.2d
at 302; see United States v. Wilkinson, 804 F.Supp. 263, 266-67 (D.
Utah 1992); Huggins, 659 P.2d at 616. In affirming the admission of
certificates indicating routine breathalyzer inspections by police personnel,
the Oregon Court of Appeals outlined the parameters of the law enforcement
limitations and the hearsay rule:
We
conclude that, in adopting [Federal Rule of Evidence] 803(8)(B), Congress
did not intend to change the common law rule allowing admission of public records of purely
ministerial observations. Rather, Congress intended to prevent
prosecutors from attempting to prove their cases through police officers'
reports of their observations during the investigation of crime.
.
. . . .
[T]he
certificates of breathalyzer inspections do not concern observations by the
police officers in the course of a criminal investigation. Rather, they relate
to the routine function of testing breathalyzer equipment to insure that it
gives accurate readings. See United States v. Grady, supra, 544 F.2d
[598] at 604. The testing and certification under [Oregon Revised Statute]
487.815(3)(c) is not done in the adversarial context of a particular case
that might cloud law enforcement personnel's perception. A review of the congressional
debate reveals that [Federal Rule of Evidence] 803(8)(B) was intended to preclude
only the admission of police reports made in the course of investigation of
a particular crime in lieu of the officers' in court testimony, not records
of routine, nonadversarial matters such as those in question here.
State v. Smith, 66
Or.App. 703, 675 P.2d 510, 512 (1984).
Ruiz, 120 N.M. at 538, 903 P.2d at 849.
As noted above, the accuracy
inspection report was admitted by the circuit court on improper grounds. We
have held, however, that '[t]his Court may, on appeal, affirm the judgment
of the lower court when it appears that such judgment is correct on any legal
ground disclosed by the record, regardless of the ground, reason or theory assigned
by the lower court as the basis for its judgment.' Syl. Pt. 3, Barnett v.
Wolfolk, 149 W.Va. 246, 140 S.E.2d 466 (1965). Syllabus Point 5, Hustead
on Behalf of Adkins v. Ashland Oil, Inc., 197 W.Va.
55, 475 S.E.2d 55 (1996). Based on the above discussion, we find that the
accuracy inspection report was properly admissible pursuant to W.Va.R.Evid.
803(8)(B). Therefore, we find no error in the admission of the accuracy inspection
report. (See
footnote 5)
Accordingly, for the reasons
set forth above, the appellant's conviction is reversed, and this case is remanded
for a new trial.
Reversed
and remanded.
Footnote: 1