FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
P. STEPHEN MILLER
STEVE CARTER
Fort Wayne, Indiana Attorney General of Indiana
NICOLE M. SCHUSTER
Deputy Attorney General
Indianapolis, Indiana
DARYL BURNETT, JR., )
)
Appellant-Defendant, )
)
vs. ) No. 02A04-0404-CR-221
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
OPINION - FOR PUBLICATION
We affirm.
Id. at 266-67. In addition, Black testified that he has attended various
schools and conferences regarding fingerprints, including the following: three annual conferences of
the International Association for Identification (IAI); a course in basic fingerprint identification through
the Bureau of Criminal Identification in Ohio; a course in chemical processing of
fingerprints through the Public Agency Training Council; and a course in Advanced Latent
Fingerprint Procedures through IAI in Battlecreek, Michigan. Black also stated that he
has testified in court as an expert in fingerprint comparison on one previous
occasion.
At that point, the State moved the trial court to certify Black as
an expert in fingerprints and fingerprint identification. Burnetts counsel sought and received
permission to ask preliminary questions of Black, during which he established in relevant
part that: (1) Black was not certified as a latent fingerprint examiner
because he had not read certain books necessary to take the examination, nor
had he been in the field for the requisite period of time to
sit for the examination; and (2) during the previous trial in which he
testified as a fingerprint expert, he testified that there were no fingerprints on
a weapon.
Additionally, as we discuss more fully in subsection B, infra, Burnetts counsel asked
Black questions about the methodology he used to identify the fingerprint in this
case, namely, the ACE-V method, which is an acronym for analysis, comparison, evaluate,
and verify. Transcript at 304. Specifically, Black stated that he learned
the ACE-V method during the courses he took from the Bureau of Criminal
Identification in Ohio and the Advanced Latent Fingerprint Procedures course in Michigan.
But Black did not know whether the Federal Bureau of Investigation utilizes the
ACE-V method, nor did he know the error rate for the ACE-V method.
Burnett argued that Black was not a qualified expert, and the trial
court disagreed. In particular, the trial court certified Black as an expert
and explained its ruling as follows:
Alright. Ill find that based upon his extensive experience and broad based
training, including two specialized trainings on identification of fingerprints, together with a number
of other educational programs that would supplement that effort to identify fingerprints, that
is . . . his training and experience in collecting fingerprints, classifying fingerprints
all tend to supplement the ultimate issue of identification, in spite of great
efforts that counsel made during cross[-examination] of the witness to discount those are
all necessary supplements to his training and experience such that he is entitled
to testify as an expert.
Transcript at 306-07.
To support his assertion that the trial court abused its discretion when it
certified Black as an expert, Burnett focuses primarily on testimony he elicited from
Black while his attorney asked preliminary questions at trial. For example, he
claims the trial court erred when it certified Black as an expert because:
(1) Black is not a certified latent fingerprint examiner; (2) when Black
previously testified as a fingerprint expert, he was not required to identify or
compare prints; and (3) Black could not answer certain questions about the ACE-V
methodology. But the trial court heard all of that evidence and determined
that based on his experience and training, Black was a qualified expert in
fingerprint identification. Again, we will not substitute our judgment for that of
the trial court on this matter of discretion. See Kubsch, 784 N.E.2d
at 921 (stating even where reviewing court had serious doubts whether police detective
qualified as expert, court would not substitute its judgment for that of trial
court). And although only one characteristic is necessary to qualify an individual
as an expert, the trial court in this case identified two characteristics that,
in its view, qualified Black as a fingerprint expert, namely, his practical experience
as a senior crime scene manager and his more recent training in fingerprint
identification. See id. (stating witness may qualify as expert on basis of
practical experience alone). Further, to the extent that Black did not know
whether the Federal Bureau of Investigation uses the ACE-V method for fingerprint comparison
or could not answer particular questions about the ACE-V methodology, that evidence goes
to the weight the jury may assign his expert testimony, not the admissibility
of his testimony under Rule 702(a). See Stidham v. State, 637 N.E.2d
140, 143 (Ind. 1994) (stating officers failure to conduct a particular test on
blood splatters goes to weight of evidence, not to whether officer was properly
certified as expert witness). Therefore, we conclude that the trial court did
not abuse its discretion when it determined that Black qualified as an expert
under Rule 702(a).
Robert Lowell Miller, Jr., 13 Indiana Practice, Indiana Evidence § 702.207, 408-09 (2d
ed. 1995) (footnotes omitted). Under Rule 702, the trial courts are gatekeepers
of evidence, to ensure that expert testimony is relevant and rests upon a
reliable foundation. Suell v. Dewees, 780 N.E.2d 870, 874 (Ind. Ct. App.
2002) (quoting Armstrong v. Cerestar USA, Inc., 775 N.E.2d 360, 366 (Ind. Ct.
App. 2002), trans. denied), trans. denied. Again, the trial courts determination regarding
the admissibility of expert testimony under Rule 702 is a matter within its
broad discretion, and will be reversed only for abuse of that discretion.
Carter v. State, 766 N.E.2d 377, 380 (Ind. 2002) (citations omitted).
Initially, although the State does not argue waiver, our review of the transcript
shows that Burnett failed to preserve his challenge to the reliability of the
ACE-V methodology under Rule 702(b) because he did not raise a specific objection
under Rule 702(b) at trial. See Burge v. Teter, 808 N.E.2d 124,
130 (Ind. Ct. App. 2004) (concluding party waived appellate review of issue for
failing to raise specific objection on Rule 701 grounds at trial). It
is well-settled law in Indiana that a defendant may not argue one ground
for objection at trial and then raise new grounds on appeal. Hobson
v. State, 795 N.E.2d 1118, 1123 (Ind. Ct. App. 2003), trans. denied.
Timely objection should be made to any improprieties that may occur during the
course of a trial so that the trial judge may be informed and
may take effective action to remedy the error or grievance complained of.
Haycraft v. State, 760 N.E.2d 203, 209 (Ind. Ct. App. 2003), trans. denied.
Objections not timely raised to the trial court are waived on appeal.
See Impson v. State, 721 N.E.2d 1275, 1280 (Ind. Ct. App. 2000)
(stating failure to make timely objection constitutes waiver of issue for appellate review).
As we have explained, Black testified at trial regarding his background, training, and
experience. The State then asked the trial court to certify him as
an expert in fingerprint identification. Thereafter, Burnetts counsel asked a series of
preliminary questions regarding Blacks training, experience, and the ACE-V methodology Black uses when
he identifies fingerprints. After additional questions regarding, among other things, Blacks knowledge
of the ACE-V method, the trial court asked the State whether it had
further questions on redirect on the area of [Blacks] expertise. Transcript at
288. The State asked a few more questions, and Burnetts counsel followed
up with more preliminary questions. At the conclusion of preliminary questions, Burnetts
counsel argued to the trial court in relevant part as follows:
Judge, . . . I believe they are going to ask him opinions
in regards to latent prints and known rolled prints and ask if they
are a match or not. Im going to object to that and
I object to it now. He is not qualified, he does not
have the scientific training and background as an expert. [If] you look
at what he has said, the methodology that he used, he doesnt know
if thats accepted throughout the [c]ountry. He only knows thats the method
that he was taught. If he doesnt know if that method is
acceptable, it doesnt pass the Frye test. I understand Frye is not
there, but if he doesnt know if its acceptable, it also doesnt pass
the [Daubert] test dealing with whether or not that methodology is the methodology
that results in a true and accurate opinion . . . .
For the [Daubert], youve got to have a methodology so you can test
the truth or falseness of something. You cant test the truth or
falseness from his situation when he cant even tell me the different methodology
and cant tell me if something thats known methodology such as the FBI
uses the same methodology that he is using and that hes been taught.
He claims as an expert a person by the name of Ashbaugh
who talks about ridgeology then he tells me ridgeology is not the same
as ACE-V but its somehow related. . . . His college course
from anything he has said and I didnt ask him, doesnt deal with
fingerprint identification. Hes attended a few seminars and works in the lab.
He worked in the lab with in[-]house training prior to, three or
four months before he ever attended any class, and then he attended various
classes and he cant tell me the methodology and therefore, Id say he
doesnt qualify as an expert, [and] he should not be able to give
an opinion under 702 and 703 and there we have it.
Transcript at 302-03 (emphases added). Later during the bench conference regarding the
admissibility of Blacks testimony, Burnetts counsel again suggested that, based on Blacks testimony,
the ACE-V methodology cannot be tested for truthfulness. But when the trial
court ruled on Burnetts objection, it determined only that Black was qualified to
give expert testimony based on his experience and training. The court did
not address whether the ACE-V methodology was reliable under Rule 702(b). After
the ruling, Burnetts counsel did not ask for clarification, nor did he ask
the court to rule specifically whether the State had established the reliability of
the ACE-V methodology under Rule 702(b).
Based on our review of the relevant portions of the transcript, it is
clear that the trial court understood that Burnett was objecting to Blacks testimony
on the grounds that Black was not a qualified expert, and we agree
with that interpretation of Burnetts objections and arguments. Although Burnetts counsel discussed
certain aspects of the requirements in Daubert, counsels objections and arguments, in the
end, repeatedly focused on Blacks lack of knowledge and/or experience. Because Burnett
did not expressly challenge Blacks testimony under Rule 702(b), he has waived that
argument for purposes of his appeal.
Waiver notwithstanding, we agree with the State that Blacks testimony sufficiently established the
reliability of the ACE-V methodology for purposes of Rule 702(b). Although not
controlling, Blacks testimony touches on at least one of the Daubert factors:
whether the theory has been generally accepted within the relevant field of study.
See Kubsch, 784 N.E.2d at 921. Black testified that he had
learned the ACE-V methodology at two schools, one in Ohio and one in
Michigan. In particular, the Michigan course on Advanced Latent Fingerprint Procedures was
sponsored by the IAI, which is an international association in the field of
fingerprint identification. And when Burnetts counsel asked Black whether he knew of
any experts that use the ACE-V methodology, the following colloquy occurred:
A: Yes I do.
Q: Can you give me a name of a few?
A: There is a gentleman associated with the Royal Canadian Mounted Police [whose] name
is David Ashbaugh. John Vanderkolk with the Indiana State Police, who is
also an expert in terms of fingerprints and fingerprint comparison. He is
their lab manager. David Green who is the Illinois State Police Laboratory
manager. He is their instructor and their chief examiner. There are
several.
Transcript at 286-87. Black later explained that Ashbaugh was the author of
a textbook entitled Qualitative and Quantitative Analysis.
Blacks testimony supports the conclusion that the ACE-V methodology is generally accepted by
the IAI, an international organization in the field. His testimony also shows
that fingerprint experts in several states, including Indiana, Ohio, Illinois, and Michigan, use
the ACE-V method for fingerprint identification. Thus, the State established that the
ACE-V methodology is generally accepted within Blacks relevant field of study and that
it is more likely than not that the scientific principles upon which the
testimony rests are reliable. See Miller, Indiana Evidence § 702.207, 409.
Further, although the reliability of the ACE-V methodology has not been established in
Indiana state courts, the federal courts in our state have determined that the
methodology is reliable under Federal Rule of Evidence 702. See United States
v. Havvard, 117 F. Supp. 2d 848, 855 (S.D. Ind. 2000) (holding ACE-V
methodology for latent fingerprint identification easily satisfies standards of reliability); affd 260 F.3d
597 (7th Cir. 2001); see also United States v. George, 363 F.3d 666,
672-73 (7th Cir. 2004) (refusing to reconsider holding in Havvard that latent fingerprint
analysis is reliable and admissible under Rule 702). Thus, had Burnett expressly
challenged the reliability of the ACE-V methodology, the trial court could have taken
judicial notice of those decisions. See West v. State, 805 N.E.2d 909,
913 (Ind. Ct. App. 2004) (stating reliability may be established by judicial notice
or by sufficient foundation to convince trial court relevant scientific principles are reliable),
trans. denied. We conclude that the trial court did not abuse its
discretion when it admitted Blacks testimony under Rule 702.