People v. Lopez
- Area
- criminal
- Panel
- Alex C. McDonald (author)
Analysis
The trial court admitted a blood-alcohol laboratory report into evidence over the defendant's Confrontation Clause objection, leading to a conviction for vehicular manslaughter while intoxicated. On appeal, the California Court of Appeal reversed the judgment, holding that under Melendez-Diaz v. Massachusetts, the report was testimonial hearsay that violated the defendant's Sixth Amendment rights.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Admission of the blood-alcohol laboratory report into evidence“However, we conclude it was error under Crawford and Melendez to admit into evidence the blood-alcohol report created by Peña. That report is indistinguishable from the certificates described in Melendez and was therefore testimonial hearsay evidence admitted in violation of the confrontation clause of the Sixth Amendment to the United States Constitution.” | de novo | error | agree with court The appellate court correctly applied the holding of Melendez-Diaz v. Massachusetts, which superseded the prior California precedent in People v. Geier. Because the laboratory report was created for the purpose of proving a fact at trial, it constituted testimonial hearsay. Since the analyst, Jorge Peña, did not testify and was not shown to be unavailable with a prior opportunity for cross-examination, the admission violated the Confrontation Clause. The court also correctly found the error was not harmless under Chapman v. California given the centrality of the intoxication evidence to the conviction. |
Establishment of chain of custody for the blood samples“The court did not abuse its discretion by finding the People adequately established a chain of custody for Lopez's blood samples.” | abuse of discretion | not reached | agree with court The appellate court reviewed the chain of custody documentation and testimony, finding that the trial court did not abuse its discretion in accepting the evidence. However, because the report was excluded as testimonial hearsay under Melendez-Diaz, the sufficiency of the chain of custody became moot for the purpose of the final judgment. |
Authorities
- relied: Crawford v. Washington (2004) 541 U.S. 36 — Testimonial hearsay evidence is inadmissible in a criminal proceeding unless the declarant is unavailable and the defendant had a prior opportunity to cross-examine the declarant.
- relied: People v. Geier (2007) 41 Cal.4th 555 — Forensic laboratory reports are nontestimonial hearsay evidence because they qualify as business records (subsequently disapproved by Melendez-Diaz).
- relied: Chapman v. California (1967) 386 U.S. 18 — Constitutional errors are harmless only if the state can prove beyond a reasonable doubt that the error did not contribute to the verdict.
The appellate opinion: sound — The opinion is sound because it correctly identifies that Melendez-Diaz v. Massachusetts controls the admissibility of the forensic report, superseding the prior California precedent in People v. Geier. The court properly applies the Melendez-Diaz standard to the facts, finding the report testimonial and the error prejudicial under Chapman.
A jury convicted Lopez of vehicular manslaughter while intoxicated after the trial court, over a Crawford objection, admitted a blood-alcohol laboratory report prepared by analyst Peña (who did not testify) through the testimony of the laboratory's records custodian, and found the chain of custody adequately established. On transfer from the California Supreme Court with directions to reconsider in light of Melendez-Diaz v. Massachusetts, the Court of Appeal vacated its prior affirmance, upheld the chain-of-custody finding, held the report was testimonial hearsay admitted in violation of the Sixth Amendment, found the error not harmless beyond a reasonable doubt under Chapman, and reversed the judgment.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Trial court's finding that the People adequately established the chain of custody for Lopez's blood samples despite the laboratory's new 'beta' evidence-processing system and the absence of box-level documentation.“The court did not abuse its discretion by finding the People adequately established a chain of custody for Lopez's blood samples.” | abuse of discretion | correct | agree with court Abuse of discretion is the correct standard for chain-of-custody foundational findings, and the court identified evidence (individual sample documentation plus custodian Willey's testimony) showing receipt on August 28 and testing on August 31, 2007. The result is defensible, though the court's statement that it reviewed documents 'not part of the record provided on appeal' is irregular and unexplained. |
Admission, over Crawford objection, of analyst Peña's blood-alcohol report (0.09 percent) through custodian Willey without Peña testifying or any showing of unavailability and prior cross-examination.“That report is indistinguishable from the certificates described in Melendez and was therefore testimonial hearsay evidence admitted in violation of the confrontation clause of the Sixth Amendment to the United States Constitution.” | de novo | error | unsure The court did not state its standard but applied the law independently, which is proper for a confrontation clause claim. Melendez-Diaz supports treating a forensic report prepared for prosecution as testimonial, and the court correctly recognized that the People v. Geier business-records rationale had been undercut. However, the opinion's one-sentence conclusion that the report is 'indistinguishable' from the sworn certificates in Melendez-Diaz does not examine the report's formality, whether it was certified or sworn, or which portions were offered, and it does not address why the Court of Appeal could depart from Geier, a California Supreme Court decision binding under Auto Equity Sales (though the transfer order implicitly authorized reconsideration). The California Supreme Court later disagreed on this very report in People v. Lopez (2012) 55 Cal.4th 569, which post-dates this opinion but confirms the analysis was contestable. |
Determination that the confrontation clause error in admitting the blood-alcohol report was prejudicial under Chapman and required reversal of the judgment.“Because it cannot be shown the error of admitting the blood-alcohol report that Lopez was intoxicated at the time of the incident was harmless beyond a reasonable doubt” | de novo | error | agree with court Chapman is the correct harmless-error standard for confrontation clause violations, and the report was the only quantitative proof of intoxication, an element of Penal Code section 191.5, subdivision (b). The conclusion is reasonable, but the court did not discuss the other evidence of intoxication (at least three shots of tequila shortly before driving, veering into oncoming traffic) or explain why that evidence could not render the error harmless; the analysis is conclusory. |
Authorities
- relied: Crawford v. Washington (2004) 541 U.S. 36 — Testimonial hearsay is inadmissible against a criminal defendant unless the declarant is unavailable and the defendant had a prior opportunity for cross-examination.
- relied: Melendez-Diaz v. Massachusetts (2009) 557 U.S. 305 — Certificates of forensic analysis prepared for use at trial are testimonial statements subject to the confrontation clause and do not qualify as business records; the analysts must testify absent unavailability and prior cross-examination.
- relied: People v. Geier (2007) 41 Cal.4th 555 — Held forensic laboratory reports were nontestimonial business records; the Court of Appeal treated this holding as effectively disapproved by Melendez-Diaz.
- relied: Chapman v. California (1967) 386 U.S. 18 — Federal constitutional error requires reversal unless the beneficiary of the error proves it was harmless beyond a reasonable doubt.
- missed: Auto Equity Sales, Inc. v. Superior Court (1962) 57 Cal.2d 450 — Courts exercising inferior jurisdiction must follow decisions of the California Supreme Court; the court should have explained its authority to depart from Geier, even if the transfer order and intervening U.S. Supreme Court decision on a federal question justified doing so.
The appellate opinion: sound with gaps — The opinion correctly identifies Crawford, Melendez-Diaz, and Chapman as the governing authorities and reaches a result that was defensible in August 2009 given the Supreme Court's transfer order directing reconsideration in light of Melendez-Diaz. It is thin, however: it declares the unsworn blood-alcohol report 'indistinguishable' from Melendez-Diaz's sworn certificates without analyzing formality or the specific contents offered, does not explain its departure from the still-binding Geier, offers a conclusory Chapman analysis, and relies on chain-of-custody documents it concedes were not in the appellate record.
How this analysis was made · dispute it
record incompleteOpinion
THE PEOPLE, Plaintiff and Respondent,
v.
VIRGINIA HERNANDEZ LOPEZ, Defendant and Appellant.
Court of Appeals of California, Fourth District, Division One.
*204 Janice R. Mazur, under appointment by the Court of Appeal, for Defendant and Appellant.
Edmund G. Brown, Jr., Attorney General, Dane R. Gillette, Chief Assistant Attorney General, Gary W. Schons, Assistant Attorney General, Lynne McGinnis and Gil Gonzalez, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
McDONALD, J.
A jury convicted Virginia Hernandez Lopez of committing vehicular manslaughter while intoxicated in violation of Penal Code section 191.5, subdivision (b). Lopez appeals, contending the admission into evidence of a blood-alcohol laboratory report violated her constitutional right to confrontation of witnesses by allowing testimonial hearsay evidence prohibited under Crawford v. Washington (2004) 541 U.S. 36 [158 L.Ed.2d 177, 124 S.Ct. 1354]. We reverse the judgment.
On May 11, 2009, this court filed an opinion affirming the judgment in this case. On July 22, 2009, the California Supreme Court granted a petition for review and issued the following order: "The cause is transferred to the Court of Appeal, Fourth Appellate District, Division One, with directions to vacate its judgment and to reconsider the matter in light of Melendez-Diaz v. Massachusetts (June 25, 2009, No. 07-591) 557 U.S. ___ [174 L.Ed.2d 314, 129 S.Ct. 2527]." In compliance with the order of the Supreme Court, the opinion filed May 11, 2009, is vacated and we issue this new opinion.
FACTS
On August 18, 2007, Lopez worked the evening shift at a restaurant in Julian, California. During the evening, she drank at least three shots of tequila. Shortly after consuming the last shot, Lopez left the restaurant and drove westbound on State Route 78, a narrow, curving road. At the same *205 time, Allan Wolowsky was driving eastbound on State Route 78. Lopez veered into the driver's side of Wolowsky's pickup truck, pushing his truck into a tree; and as a result Wolowsky died.
An ambulance took Lopez to a nearby church and from there a helicopter took her to a hospital. She suffered facial injuries and a broken leg. Her injuries prevented investigating Officer Pirko from administering a preliminary alcohol screening. At the hospital, two hours after the collision, Officer Pirko observed the phlebotomist, Trevin Tuovinen, draw two vials of blood from Lopez at 1:04 a.m. and seal them in an evidence envelope. Officer Pirko transported the vials to a police station in Oceanside where they were placed in evidence storage. Later, the vials were transferred to the San Diego County Sheriff's Regional Crime Laboratory.
On August 28, 2007, Brian Constantino in the San Diego County Sheriff's Regional Crime Laboratory received Lopez's blood samples from the Oceanside station. The San Diego office was beta testing a system for processing evidence. Generally, chain of custody papers accompany a locked evidence box. Under the new system, each item of evidence received individual chain of custody information. As a result, the People did not present chain of custody documentation for an evidence box containing Lopez's blood samples, but presented documentation for the individual blood samples.
Jorge Peña tested the alcohol content of Lopez's blood and reported a level of 0.09 percent blood-alcohol content at the time of the blood draw. Over Lopez's Crawford objection, John Willey, a criminalist forensic alcohol supervisor with the San Diego County Sheriff's Regional Crime Laboratory and custodian of the laboratory reports, testified at trial and explained the new evidence processing procedures. Over Lopez's objection, Peña's blood test report that Lopez's blood-alcohol level at the time of the draw was 0.09 percent was admitted into evidence. Peña did not testify. A jury convicted Lopez of committing vehicular manslaughter while intoxicated.
DISCUSSION
I
(1) Testimonial hearsay evidence otherwise permitted at a trial may not be admitted in a criminal proceeding unless the declarant is unavailable and the defendant had a prior opportunity to cross-examine the declarant. (Crawford v. Washington, supra, 541 U.S. at p. 59.) The California Supreme Court held that forensic laboratory reports are nontestimonial hearsay evidence because they qualify as business records. (People v. Geier (2007) 41 Cal.4th 555, 606-607 [61 Cal.Rptr.3d 580, 161 P.3d 104] [concluding *206 contemporaneous recordings of observable events in laboratory reports are nontestimonial business records because they are not accusatory and "can lead to either incriminatory or exculpatory results"].) A business record is a "`"report . . . or data compilation, in any form, of . . . conditions . . . or diagnoses, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of a regularly conducted business activity, and if it was the regular practice of that business activity to make the . . . report . . . ."'" (Geier, at p. 606.) Geier concluded that a person who created a laboratory report does not need to testify at trial about the information contained in a laboratory report because that person "`[was] "not acting as [a] witness[];" and [was] "not testifying"'" while making the report. (Id. at p. 606.)
(2) However, in Melendez-Diaz v. Massachusetts, supra, 557 U.S. ___ [129 S.Ct. 2527] (Melendez), the United States Supreme Court held that laboratory reports of the type presented in Geier, and in the instant case, are testimonial hearsay evidence within the meaning of Crawford and are inadmissible in a criminal proceeding unless the person creating the report is unavailable and the defendant had a prior opportunity to cross-examine the creator. (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2532].) It therefore appears that Geier has been disapproved by the United States Supreme Court's interpretation of the confrontation clause of the Sixth Amendment to the United States Constitution.
In Melendez, the defendant was charged under state law with distributing and trafficking in cocaine. At trial, the prosecution introduced into evidence "certificates of analysis" showing the results of the forensic analysis of the substances seized from the defendant. The certificates stated the substances were cocaine. The defendant objected to the admission into evidence of the certificates, contending that, under Crawford, the confrontation clause required the analyst of the substances testify in person and be subject to cross-examination. The defendant's objection was overruled, he was convicted by jury and his conviction affirmed through the state court appellate system, which held that the "authors of certificates of forensic analysis are not subject to confrontation under the Sixth Amendment." (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2531.)
(3) Melendez concluded the certificates of forensic analysis were testimonial hearsay statements under Crawford because they contained the same testimony the analysts would provide if called as witnesses at trial. (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2532].) The purpose for which the certificates were prepared was to establish at trial the nature of the substances seized from the defendant and for that purpose were introduced as evidence *207 at trial. (Ibid.) Therefore, "[a]bsent a showing that the analysts were unavailable to testify at trial and that [defendant] had a prior opportunity to cross-examine them, [defendant] was entitled to `"be confronted with"' the analysts at trial." (Ibid.)
Melendez also concluded that to constitute testimonial hearsay, the certificates did not have to be accusatory in the sense they did not directly accuse the defendant of a crime. It is sufficient that the certificates provided testimony against or adverse to the defendant; they proved a fact necessary for the defendant's conviction. (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2533-2535].) Furthermore, Melendez rejected the arguments the certificates were not testimonial hearsay because they did not describe events observed in the past but rather nearly contemporaneous observations of the test of the nature of the substances; they contained neither observations of the crime nor any human conduct related to the crime; and they were not in response to interrogation. (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2535].) Melendez also rejected the argument the certificates were not testimonial hearsay subject to the confrontation clause because they were types of business records admissible at common law even though hearsay. (Melendez, supra, 557 U.S. at p. ___ [129 S.Ct. 2527, 2538].) The court stated: "Documents kept in the regular course of business may ordinarily be admitted at trial despite their hearsay status. [Citation.] But that is not the case if the regularly conducted business activity is the production of evidence for use at trial. . . . The analysts' certificateslike police reports generated by law enforcement officialsdo not qualify as business or public records . . ." because they are produced for use in court, not for the regular business of the entity producing them. (Ibid., fn. omitted.)
II
Lopez contends the laboratory did not follow the standard procedures required to qualify the laboratory report as a nontestimonial business record under Crawford because the new procedures created discrepancies in the chain of custody documentation. Lopez further contends that in any event, under Crawford, the technician who tested her blood should have testified at trial; the laboratory report was inadmissible testimonial hearsay evidence under Crawford.
The People introduced adequate chain of custody documentation for Lopez's blood samples. The documents were not part of the record provided on appeal, but were introduced into evidence at trial. We reviewed these documents and found that they, together with the testimony of the laboratory report's custodian, Willey, show Constantino received Lopez's blood samples in San Diego on August 28, 2007, and Peña tested the blood on August 31, *208 2007. The court did not abuse its discretion by finding the People adequately established a chain of custody for Lopez's blood samples.
(4) However, we conclude it was error under Crawford and Melendez to admit into evidence the blood-alcohol report created by Peña. That report is indistinguishable from the certificates described in Melendez and was therefore testimonial hearsay evidence admitted in violation of the confrontation clause of the Sixth Amendment to the United States Constitution. There was no evidence Peña was unavailable and that Lopez had the opportunity to cross-examine him before trial.
Because it cannot be shown the error of admitting the blood-alcohol report that Lopez was intoxicated at the time of the incident was harmless beyond a reasonable doubt (Chapman v. California (1967) 386 U.S. 18 [17 L.Ed.2d 705, 87 S.Ct. 824]), the admission of the report into evidence was prejudicial error and the judgment is therefore reversed.
DISPOSITION
The judgment is reversed.
McConnell, P. J., and Nares, J., concurred.
Cites, in this corpus
- People v. Geier S050082 · 2007-07-02
Cited by
- People v. Lopez S177046 · 2012-10-15
- People v. Miller E049206 · 2010-08-20
- People v. Chikosi G041014 · 2010-05-06
- People v. Vargas B211821 · 2009-10-22
- People v. Gutierrez B211622 · 2009-09-09