FOR PUBLICATION
ATTORNEY FOR APPELLANT
: ATTORNEYS FOR APPELLEE:
BRYAN L. COOK
STEVE CARTER
Indianapolis, Indiana Attorney General of Indiana
MATTHEW D. FISHER
Deputy Attorney General
Indianapolis, Indiana
CHRISTOPHER SCHMIDT, )
)
Appellant-Defendant, )
)
vs. ) No. 29A05-0312-CR-666
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
OPINION - FOR PUBLICATION
2. Whether the trial court abused its discretion when it excluded certain expert witness
testimony.
3. Whether the trial court abused its discretion when it admitted evidence that Schmidt
had refused to submit to a chemical breath test.
4. Whether the State committed prosecutorial misconduct during closing argument.
5. Whether the trial court abused its discretion when it allowed the State to
question a defense expert witness about statistics contained in a National Traffic Highway
Safety Administration (NTHSA) manual.
We affirm.
Appellants App. at 40.
See footnote Schmidt contends that that instruction is improper because
it emphasizes particular evidence, namely, his refusal to submit to a chemical breath
test.
Instruction of the jury is left to the sound judgment of the trial
court and will not be disturbed absent an abuse of discretion.
Stoltmann
v. State, 793 N.E.2d 275, 279 (Ind. Ct. App. 2003) (quotations omitted), trans.
denied. Jury instructions are not to be considered in isolation, but as
a whole and in reference to each other. Id. at 279-80.
The instructions must be a complete, accurate statement of the law which will
not confuse or mislead the jury. Id. at 280 (quotations omitted).
Whether it is proper to instruct a jury that a defendants refusal to
submit to a breath test may be considered as evidence of either guilt
or intoxication is a question currently being debated among members of this court.
For example, in Luckhart v. State, 780 N.E.2d 1165, 1168 (Ind. Ct.
App. 2003), the trial court instructed the jury that [t]he defendants refusal to
submit to a chemical test for intoxication may be considered as evidence of
Defendants guilt of driving while intoxicated. (Brackets original). The panel in
that case relied on Hurt v. State, 553 N.E.2d 1243, 1249 (Ind. Ct.
App. 1990), which involved a challenge to a similar instruction, to conclude that
the instruction was neither confusing nor misleading. Id. Specifically, the panel
in Luckhart stated:
In this case, as in Hurt, the trial courts instructions repeatedly referenced the
issue of Luckharts guilt, and expressly set forth the elements that had to
be proved to establish Luckharts guilt. It might have been more accurate
for the trial court to have instructed the jury that Luckharts refusal to
take a chemical breath test was evidence of his intoxication rather than evidence
of his guilt of the offense of driving while intoxicated, as there is
no connection between his refusal to take the test and his operation of
a vehicle. Nevertheless, there was no dispute that Luckhart had been driving
when he refused to take the test, and it is not likely that
the jury was confused about the proper element of the offense to which
the evidence pertained. Accordingly, the trial court did not abuse its discretion
by giving the instruction.
Id. at 1168-69 (emphasis added).
Approximately ten months after Luckhart, another panel of this court decided Stoltmann.
In that case, as in Luckhart, the trial court instructed the jury that
[a] defendants refusal to submit to a chemical test may be considered as
evidence of the defendants guilt. 793 N.E.2d at 280. Although the
panel in Stoltmann acknowledged the decisions in Hurt and Luckhart, that panel nevertheless
concluded that the instruction was improper. Specifically, the panel explained:
While Stoltmanns refusal to take a chemical breath test was admissible into evidence,
see Ind. Code § 9-30-6-3(b), the challenged instruction unduly emphasizes its importance.
Furthermore, the instruction confuses and misleads the jury by permitting it to infer
that the refusal is sufficient to establish all the elements of the offense
of operating a vehicle while intoxicated, when, at best, it establishes only that
he refused to take the test.
Our supreme court recently disapproved the use of an analogous instruction. In
[Dill v. State, 741 N.E.2d 1230, 1231-32 (Ind. 2001)], the court found that
the trial court erred in instructing the jury that it could consider the
flight of a person after the commission of a crime as evidence of
guilt. [citation omitted]. The Dill court determined that the instruction was confusing
and misleading and unduly emphasized specific evidence. Id. at 1233. For
similar reasons, we conclude that the trial court abused its discretion in instructing
the jury regarding Stoltmanns refusal to submit to the chemical breath test.
Id. at 280-81.
More recently, another majority opinion of this court agreed with the outcome in
Stoltmann, but applied the reasoning in that case to a jury instruction almost
identical to the instruction at issue here. See Ham v. State, 810
N.E.2d 1150, 1152 (Ind. Ct. App. 2004), trans. granted. The defendant in
Ham argued that the trial court erred when it instructed the jury that
a defendants refusal to submit to a chemical test may be considered as
evidence of intoxication. The majority agreed and explained in relevant part:
While at least two panels of this court have tacitly approved the giving
of the instruction that the trial court tendered in this case, we decline
to follow the trail that has been blazed by those several colleagues.
That is, we disagree with the notion that it is proper to instruct
that the refusal to take the test is evidence of either intoxication or
guilt. It is our view that the instruction has the high potential
of misleading or confusing the jury.
We acknowledge that Indiana Code [S]ection 9-30-6-3(b) does permit a defendants refusal to
submit to a chemical test to be admitted into evidence. However, it
is apparent that such evidence is probative only to explain to the jury
why there were no chemical test results. We again emphasize that the
defendants refusal to submit to the test is simply not probative of his
guilt or intoxication, and we fail to see any nexus between a defendants
right to refuse a chemical test for intoxication and the fact that he
might be in such a condition. Put another way, an instruction given
to the jury like the one here bears no relationship upon the determination
as to whether a defendant may be intoxicated. At best, the admission
of such evidence only establishes that the defendant refused to take the test.
Id. at 1154 (emphasis original).
As in Stoltmann, the majority opinion in Ham also found our supreme courts
decision in Dill instructive. And in determining that the instruction had a
significant potential to mislead the jury[,] the majority in Ham stated further:
The instruction . . . emphasizes Hams decision to decline a chemical test
and tells the jury to assign that same decision as evidence of intoxication.
To be sure, intoxication is a necessary element that must be proven
by the State beyond a reasonable doubt in a charge of operating a
vehicle while intoxicated. Permitting an instruction that leads the jury to believe
the burden has been met [by evidence of a refusal] simply cannot be
permitted.
Id. at 1154-55 (citation omitted); but see id. at 1158-59 (Bailey, J., dissenting
in part) (concluding instruction does not place undue emphasis on certain evidence).
On September 8, 2004, our supreme court granted transfer in Ham and, thus,
that opinion has been vacated. Nevertheless, we hold that an instruction which
informs the jury that it may consider evidence that the defendant refused to
submit to a chemical breath test as evidence of intoxication is improper.
Regardless of whether it is reasonable to infer guilt or intoxication from a
defendants refusal to submit to a chemical breath test, the instruction unnecessarily emphasizes
one particular evidentiary fact, namely, Schmidts refusal to submit to a breath test.
See Dill, 741 N.E.2d at 1232 ([A]lthough evidence of flight may, under
appropriate circumstances, be relevant, admissible, and a proper subject for counsels closing argument,
it does not follow that a trial court should give a discrete instruction
highlighting such evidence. To the contrary, instructions that unnecessarily emphasize one particular
evidentiary fact, witness, or phase of the case have long been disapproved.).
In addition, the instruction is misleading to the extent that it suggests that
Schmidts refusal alone is sufficient to establish the element of intoxication.
Moreover, since Dill, our supreme court has held that it is error to
instruct a jury that [a] conviction may be based solely on the uncorroborated
testimony of the alleged victim if such testimony establishes each element of any
crime beyond a reasonable doubt. Ludy v. State, 784 N.E.2d 459, 460
(Ind. 2003). Similar to the decision in Dill, the court in Ludy
concluded in part that that instruction was improper because it unfairly focused the
jurys attention on particular evidence and was misleading and confusing to the jury.
See id. at 461. The instruction at issue in this case
suffers from the same defects. Thus, we agree with Schmidt that the
trial court erred when it gave Instruction No. 9.
Still, errors in the giving or refusing of instructions are harmless where a
conviction is clearly sustained by the evidence and the jury could not properly
have found otherwise. Dill, 741 N.E.2d at 1233. An instruction error
will result in reversal when the reviewing court cannot say with complete confidence
that a reasonable jury would have rendered a guilty verdict had the instruction
not been given. Id. (quoting White v. State, 675 N.E.2d 345, 349
(Ind. Ct. App. 1996)).
In this case, Officer Pitman testified that on the morning in question, he
was sitting in his police vehicle in the westbound lane waiting for a
green traffic light at the intersection of 126th Street and Keystone Avenue.
After the light had turned green for the westbound traffic, he observed Schmidt
speed through the southbound lane after the traffic light for that lane had
been red for a good three seconds[.] Transcript at 96. The
officer then activated his overhead lights and pursued Schmidts vehicle for more than
one mile while traveling approximately seventy miles per hour in a fifty-mile-per-hour zone.
After Schmidt stopped and Officer Pitman approached his vehicle, the officer asked for
Schmidts license and registration. Schmidt initially provided the officer with his drivers
license and his insurance card. Officer Pitman, again, asked Schmidt for his
registration, which he provided. Officer Pitman smelled a strong odor of an
alcoholic beverage from inside the vehicle. He also observed that Schmidts eyes
were red and bloodshot.
Next, the officer informed Schmidt that he smelled alcohol and asked if he
had been drinking. Schmidt told Officer Pitman that he had been drinking,
but he claimed that he had stopped drinking around 11:00 p.m. the night
before. Thereafter, Officer Pitman administered, and Schmidt failed, two field sobriety tests.
In particular, while performing the walk-and-turn test, Schmidt stopped after he walked
heel-to-toe for nine steps, looked at the officer and put both feet on
the ground instead of turning and walking back another nine steps as instructed.
And on the one-leg-stand test, Officer Pitman testified that Schmidt had to
put his foot down after approximately thirteen seconds and that he was unable
to stand on one foot without swaying. In addition, Schmidt failed to
look at his toe and keep his arms to his sides while he
performed the test as the officer had instructed him to do.
As the officer administered the tests, Schmidt also told him that based on
what he drank and the time at which he claimed he had stopped
drinking, he thought he was probably right at [the legal] limit. Id.
at 111.
As the State points out, the jury viewed the videotape of Officer Pitman
administering the field sobriety tests and was able to weigh that evidence in
deciding whether Schmidt was intoxicated. Further, Officer Pitman testified that, based on
his training and experience, he believed that Schmidt was intoxicated on the morning
in question. Sergeant Ilnicki also watched the videotape of Schmidt performing the
field sobriety tests and corroborated Officer Pitmans testimony that Schmidt had failed both
tests.
In light of Schmidts erratic driving, his admission that he had consumed alcohol
in the recent past, his failure of two field sobriety tests, and Officer
Pitmans observations at the scene, we are confident that a reasonable jury would
have rendered a guilty verdict even if the trial court had not given
the erroneous instruction. See Stoltmann, 793 N.E.2d at 281 (concluding improper instruction
was harmless error where defendant admitted to officer that she had been driving
and was intoxicated). And Indiana Trial Rule 61 provides that, at every
stage of the proceeding, the court must disregard any error or defect in
the proceeding which does not affect the substantial rights of the parties.
Therefore, while the trial court erred when it gave Instruction No. 9, that
error did not affect Schmidts substantial rights and was harmless.
Appellants App. at 23. The trial court granted the States request regarding
paragraph two and granted the request regarding paragraph six as to medical diagnosis.
Id.
On the first day of trial, during a bench conference regarding paragraph two
of the States motion, the following transpired:
[State]: All [paragraph] 2 is seeking to do is prevent Dr. McCoy from testifying
as to what the Defendant may or may not have told him outside
of court to form an opinion as to what his BAC level was.
If those facts come in before Dr. McCoy testifies, then the State
doesnt have any problem with that.
[Defense]: Well, Judge, Dr. McCoy is entitled to gain information from a Defendant.
Hes entitled for a Defendant to say, hey, this is my weight, this
is my height, or any other source and render an opinion on that.
The Court: Is that not an opinion based on facts not in evidence?
[Defense]: Well, as long as its reasonably relied upon by experts in the field,
and that goes to 703. A Defendant cannot testify and can tell
Dr. McCoy, Look, I drank . . .
The Court: Doesnt 703 cover other experts testimony?
[Defense]: Experts may testify -- 703 -- experts may testify to opinions based
on inadmissible evidence. Now, I guess Im getting a little bit ahead
of myself because the videotape shows that the Defendant, the officer asked the
defendant, Hey, how much have you had to drink[?] When did you
stop drinking? And its going to be apparent, I dont know that
height and weight are going to be much of an issue here with
regard to the Defendant. I dont know how that could be inadmissible.
Hey, you know, the Defendant is six feet tall, 220 pounds.
[State]: Your Honor, if thats going to come in through the videotape then, thats
fine. Thats not whats addressed in paragraph 2. Whats addressed is
whether or not Dr. McCoy can testify to it. Your Honor, I
would point the Court to[,] in the explanation of the Rules of Evidence,
it specifically says Rule 703 authorizes admission of otherwise inadmissible evidence on which
a testifying expert has relied. The otherwise inadmissible evidence may be considered
only in evaluating the experts opinion and not as substantive evidence. I
think thats trying to get in substantive evidence as to how much he
drank, when he drank it, what kind of wine it was, what level
of alcohol was in the wine.
[Defense]: Well, 705 even says an expert can get on the stand and say,
Hey, I have an opinion. Heres what it is. He doesnt
even have to say the underlying facts unless the State wants to get
into [it] on cross-examination, which I think is interesting.
The Court: Well, I dont think 703 covers an expert witness relying on facts
from a criminal defendant and if the criminal defendant is not going to
testify, I dont think thats fair to have an expert really testify on
behalf of the Defendant as to what he weighs, what he ate, what
he drank, whether he has a hearing problem[,] unless those facts are in
evidence. Im going to grant paragraph 2. I think its a
proper objection and I dont think 703 is intended to cover testimony of
a party. I think its intended to cover expert witnesses or other
reports by other experts an expert may rely on. For example, if
Dr. McCoy had access to the Defendants medical records and reviewed the medical
records, he may rely on those. But thats, whether or not he
did that -
Transcript at 16-18 (emphasis added). The court further clarified that it had
granted paragraph six of the States motion as to any medical diagnosis [Schmidt]
may have received from a doctor. Id. at 19.
Later during the trial, Schmidt called Bennett as an expert witness and wanted
him to give an opinion based on a one-page medical record, which established
that Schmidt has suffered from unilateral deafness and vertigo. The State objected,
and the trial court sustained that objection. During his offer of proof,
Schmidts counsel explained that Bennett would have testified that Officer Pitman should not
have administered the field sobriety tests while Schmidt suffered from those conditions.
He stated further that Bennett would have testified that Schmidts hearing loss and
vertigo could explain the balance problems he had while performing the field sobriety
tests.
Schmidts counsel then made a similar offer of proof regarding Dr. McCoy.
Specifically, Schmidt proffered two exhibits as part of his offer of proof, namely,
Dr. McCoys curriculum vitae and Schmidts one-page medical record. The State pointed
out that the trial courts previous ruling on its motion in limine did
not prevent Dr. McCoy from testifying entirely. Thereafter, the following transpired:
[Defense]: Theres no use to call him to testify if he cant testify as
to the area in question. The order in limine specifically says that
he cant testify lets see here number 2. We have
number 2 and number 6. Number 2 deals with the level of
intoxication. Now, unless and until the proper facts are in evidence to
allow him to form an opinion. Well, an expert such as Dr.
McCoy if called would say its reasonably relied upon in his area of
expertise, and I would proffer Defendants Exhibit B . . . to show
Dr. McCoys expertise, that he listens to a Defendant, but most of the
time the Defendant doesnt testify and gives [an] opinion based upon what the
Defendant tells him about his weight, his height, what time he started drinking,
6:00 p.m. and completed at 11:00 p.m. the night before this incident, and
based on that the BAC, the actual BAC would be anywhere [between] .00
to .04. And that would be
[State]: About depending on how much he had to drink.
[Defense]: Well, yeah, he would know because the Defendant would tell him and its
something under 703 would be appropriate because its the type of evidence thats
reasonably relied upon by experts, by experts in his field.
[State]: Your Honor, hes using an offer to prove to try to its
hearsay evidence.
The Court: So this offer to prove is based on evidence that you feel
Dr. McCoy would testify to but he was not called as a witness
because of the Courts ruling on the Motion in Limine would prevent his
testimony. Is that right?
[Defense]: Thats correct . . . .
The Court: After considering the offers to prove, the Court does not wish to
change its previous rulings. If there is simply some evidence that the
Defendant wishes to present, the Defendant will have to testify, but the Defendant
cant get in through other evidence[] and avoid testifying. Its just thats
the way the rule is. Do you have any additional witnesses, [defense
counsel], or have you completed?
Transcript at 300-02.
On appeal, Schmidt maintains that the trial court abused its
discretion when it excluded the expert testimony of both Dr. McCoy and Bennett
under Indiana Evidence Rule 703. Specifically, he asserts that Dr. McCoy should
have been allowed to give an opinion regarding Schmidts level of intoxication because
expert witnesses may base their testimony on information reasonably relied upon by experts
in the field in question. He argues further that the trial courts
ruling on Dr. McCoys testimony forced him to choose between his right to
remain silent and his right to present a defense. He also claims
that both Dr. McCoy and Bennett should have been allowed to give opinions
about whether the officer should have administered field sobriety tests on Schmidt based
on information contained in the one-page medical record.
A trial court is accorded discretion in ruling on the relevancy and admissibility
of expert testimony. Carnahan v. State, 681 N.E.2d 1164, 1166 (Ind. Ct.
App. 1997). We will not reverse a trial courts decision absent an
abuse of discretion, that is, where the decision is clearly against the logic
and effect of the facts and circumstances before it. Id.
Judge Robert Miller has explained that rule in relevant part as follows:
Rule 701 requires that opinion testimony be based on the witnesss personal perception.
Rule 703 eliminates that requirement for witnesses offering expert testimony within the
meaning of Rule 702. Rule 703 allows an expert witness to base
an opinion on (i) facts perceived by the witness, (ii) facts made known
to the witness at the hearing in which the testimony is offered, or,
(iii) within limits, facts or data made known to the expert before the
hearing. The rule establishes no preference among these methods, and an expert
may, consistent with Rule 703, rely on a combination of the methods.
13 Robert Lowell Miller, Jr., Indiana Practice, Indiana Evidence § 703.101, 411-12 (2d
ed. 1995) (footnotes omitted). Regarding opinions based on facts or data made
known to the expert before the hearing, Judge Miller writes:
Until the 1960s, the common law limited expert opinion to that which was
based on personal knowledge or hypothetical question, and excluded expert opinion testimony that
was based upon information received from third parties. This traditional rule is
consistent with the theory underlying the admission of expert testimony: if the
trier of fact finds the facts to be as the expert witness testifies
or assumes them to be, expert opinion based on those facts may assist
the trier of fact. A jury that never learns of the facts
supporting the opinion will have no way to determine whether the facts it
finds to be true are those presumed by the expert and hence will
be unable to evaluate the experts opinion.
In the conduct of regular affairs, however, many persons who testify as expert
witnesses customarily rely upon information received from others. For example, one seeking
treatment from a physician would hardly demand that the physician exclude from consideration
radiologists reports concerning X-rays, records of past hospital admissions and treatment by other
physicians, or nurses reports concerning blood pressure and vital statistics. Instead, the
physician is expected to assimilate and evaluate every available source of information in
arriving at a diagnosis or prescription for treatment.
In recognition of this reality of life beyond the pale of the law
of evidence, Rule 703 allows an expert witness to base an opinion on
information received from others before trial, if the information is of a sort
that other experts in the field reasonably [rely] upon.
Id. at § 703.106, 422-23 (footnotes omitted, emphases added). Thus, under some
circumstances, Rule 703 allows an expert witness to testify to opinions based on
facts not before the jury. See id. at § 703.109, 434-35 (While
Rule 703 allows an expert to testify to opinions based on material not
before the jury, it does not expressly provide a vehicle by which the
jury can learn of the underlying material and so decide how much or
little weight to afford the opinion); Ind. Evid. Rule 705 (allows expert witness
to testify to opinion without first testifying to underlying facts, unless court requires
otherwise, and provides expert may nevertheless be required to disclose underlying facts on
cross-examination).
See footnote
Again, Schmidt asserts that Dr. McCoys opinions are admissible under the rule because
his expert testimony would have been based on inadmissible facts that are of
the type reasonably relied upon by experts in the field. See Evid.
R. 703.
See footnote In its initial ruling on the States motion in limine,
the trial court determined that statements by a defendant did not fall within
the purview of the types of information or data contemplated by Rule 703.
We agree. Again, we find Judge Millers commentary instructive:
[E]arlier Indiana cases, and other courts governed by Rule 703, generally have found
the following sorts of information to be reasonably relied upon by experts in
various fields: hospital records, laboratory reports, X-rays, and doctors medical records relied
on by medical professionals; reports by subordinates relied upon by superiors; discussions with
other experts in the experts field; mental hospital records reports by clinical psychologists
and social workers, and police reports relied upon by psychiatrists or forensic psychologists;
a report from an engineering firm relied upon by an engineer; an autopsy
report relied upon by a pathologist; business records relied upon by an expert
in the business field; and state agency records relied upon by a law
enforcement officer.
Courts have shown considerable reluctance to find reasonable reliance on information not prepared
by persons with specialized training, such as lay witness statements, anonymous reports, statements
by a party, and data prepared in anticipation of litigation.
13 Robert Lowell Miller, Jr., Indiana Practice, Indiana Evidence § 703.107, 427-30 (footnotes
omitted, emphases added). Additionally, the rule allowing an experts reliance on hearsay
cannot be employed simply as a conduit for placing . . . another
persons statement before the jury. Id. at § 703.109, 437.
Indeed, this court has addressed an evidentiary dispute similar to the issue that
Schmidt raises here. Specifically, in Weaver v. State, 627 N.E.2d 1311, 1315
(Ind. Ct. App. 1994), summarily affd in relevant part and vacated in part
on other grounds, 643 N.E.2d 342 (Ind. 1994), we held that a trial
court properly precluded testimony from an expert witness regarding . . . information
[the witness had] received from [the defendant prior to trial] until that evidence
was placed on the record by [the defendants] own testimony. (Emphasis added).
In that case, the defendants expert witness, a toxicologist, testified that, in
his opinion, the defendant was suffering from a bad trip or an acute
psychotic reaction to LSD on the night the defendant attacked the victim.
Id. at 1315. The expert witness based his opinion on two interviews
he had with the defendant prior to trial and a hospital report which
confirmed that the defendant had LSD in his system on the night of
his arrest. Id. We concluded that without the defendants foundational testimony
at trial, the expert witnesss testimony would serve as a conduit for [the
defendants] story without affording the State the opportunity to challenge the veracity and
accuracy of that story by cross-examining [the defendant]. Id. We therefore
affirmed the trial courts decision to preclude the expert testimony regarding the information
he had received from the defendant until the defendant had testified.
Although the defendants criminal trial in Weaver occurred before our Rules of Evidence
went into effect, the decision in that case is consistent with the types
of information courts generally have found to be reasonably relied upon by experts
in various fields under Rule 703. See 13 Robert Lowell Miller, Jr.,
Indiana Practice, Indiana Evidence § 703.107, 429-30 (stating courts have been reluctant to
find reasonable reliance under Rule 703 on information not prepared by persons with
specialized training, such as statements by a party) (footnotes omitted, emphases added).
As in Weaver, Dr. McCoys opinion regarding Schmidts level of intoxication was based
on information Schmidt had told him before trial. In other words, statements
by the defendant were the basis of Dr. McCoys opinion. He did
not rely on records, data, reports, or other types of information our courts
have generally found to be reasonably relied upon by experts in a particular
field. See 13 Robert Lowell Miller, Jr., Indiana Practice, Indiana Evidence §
703.107, 427-30. To allow Schmidt to present his version of events through
Dr. McCoys testimony would be a conduit for placing . . . another
persons statement before the jury. Id. at § 703.109, 437. Therefore,
we conclude that the trial court did not abuse its discretion when it
excluded Dr. McCoys testimony unless and until Schmidt testified.
See footnote
(Citations omitted, emphasis original).
Faulkner involved a plaintiff who slipped and fell in a grocery store and
then sued to recover for her injuries. The plaintiff wanted a chiropractor,
Dr. Sprinkle, to testify regarding out-of-court statements made by physicians that were contained
in medical reports. See id. The trial court excluded Dr. Sprinkles
testimony on the basis that he was not a physician and was not
capable of being cross-examined with respect to the information contained in the physicians
reports. Id. We agreed and stated as follows:
The evidence rules do not permit the admission of materials, relied upon by
an expert witness, for the truth of the matters they contain if the
materials are otherwise inadmissible. Here, the materials were otherwise inadmissible because Dr.
Sprinkle, a doctor of chiropractic, does not have the same education, training or
experience as the physicians who prepared the reports. We cannot allow an
experts reliance on hearsay to be employed as a conduit for placing the
physicians statements before the jury. The expert witness must rely on his
own expertise in reaching his opinion and may not simply repeat opinions of
others.
Furthermore, this court has concluded that chiropractors are generally not qualified to serve
as experts in cases involving physicians. They do not have the same
education, training or experience, all of which are generally necessary to render an
opinion of benefit to a jury.
Id. at 801 (citations and footnote omitted). And as Judge Miller has
noted:
Like Indianas common law rule, Rule 703 is based on the assumption that
truly qualified experts are capable of evaluating information of a sort normally relied
on by others in their field. Rule 702 would seem to provide
ample discretion to distinguish between an expert qualified to evaluate the reports and
opinions of others and an expert whose testimony would assist if based on
his own observations or calculations, but who lacks the specialized knowledge required to
evaluate information from others.
13 Robert Lowell Miller, Jr., Indiana Practice, Indiana Evidence, § 703.108, 433-34 (footnotes
omitted, emphasis added).
Here, neither Dr. McCoy nor Bennett is a medical doctor. Dr. McCoy
has a Ph.D., with a major in toxicology and a minor in pharmacology,
and Bennett is an expert in field sobriety tests. In other words,
neither Dr. McCoy nor Bennett has the same education, training, or expertise as
the physician who prepared the one-page medical record. Yet, Schmidt wanted both
of them to give opinions that the medical diagnoses contained in the one-page
medical record affected his ability to perform the field sobriety tests. In
so doing, both witnesses would have had to preface their opinions with some
statement that Schmidt had been diagnosed in the past with unilateral deafness and
vertigo, which is precisely what we determined the chiropractor in Faulkner could not
do, namely, testify regarding out-of-court statements made by physicians in medical reports.
Faulkner, 663 N.E.2d at 800. Indeed, following our reasoning in Faulkner, the
diagnoses contained in the one-page medical record regarding Schmidts history of unilateral deafness
and vertigo constitute otherwise inadmissible hearsay, and we cannot allow Dr. McCoys and
Bennetts reliance on that hearsay to be employed as a conduit for placing
the [physicians] statements before the jury. Id. at 801. Put another
way, as in Faulkner, if Dr. McCoy and Bennett had been allowed to
testify based on the one-page medical record, neither was capable of being cross-examined
with respect the medical diagnoses contained in the one-page record, and Schmidt would
have been permitted to place his medical history into evidence without having his
diagnoses challenged on cross-examination. We conclude that the trial court did not
abuse its discretion when it excluded opinions from those witnesses regarding Schmidts medical
diagnoses and whether his diagnosed medical conditions affected his performance on field sobriety
tests.
See footnote
The Pirtle court noted that the decision to consent to an unlimited search
is a vital stage in the prosecutorial process. The Pirtle court also
noted the many protections of ones right against unreasonable searches and seizures that
are waived when one consents to a search requiring probable cause[.]
We note that the only four Indiana opinions in which our supreme court
has applied the Pirtle doctrine have all addressed police searches of either dwellings
or automobiles. Put another way, our supreme court has only applied Pirtle
where, without the suspects consent, the search in question was a general, unlimited
search and would only have been reasonable with probable cause.
We now determine whether application of the Pirtle doctrine in the instant case
serves the purpose of the doctrine. [Field sobriety tests] are qualitatively different
from the general, unlimited searches that concerned the Pirtle court. [Field sobriety
tests] are non-invasive and take little time to administer. More importantly, in
our view, [field sobriety tests] are narrow in scope and are unlikely to
reveal any incriminating evidence other than impairment. Because probable cause is not
required to administer [such tests], the constitutional concerns expressed by the Pirtle court
simply are not relevant. We conclude that it would not serve the
purpose of the Pirtle doctrine to extend it to apply to field sobriety
testing.
Id. at 980-82 (citations and footnote omitted, emphasis original in Ackerman).
Like field sobriety tests, chemical breath tests are qualitatively different from the general,
unlimited searches that concerned the Pirtle court. Id. at 981. While
field sobriety tests reveal a suspects general degree of impairment, chemical breath tests
reveal only whether the suspect has alcohol in his system. Thus, chemical
breath tests are narrower in scope and more specific than field sobriety tests.
And although breath tests are more invasive than field sobriety tests, breath
tests, like field sobriety tests, take little time to administer. The only
significant difference between field sobriety tests and breath tests is that unlike field
sobriety tests, breath tests require probable cause to administer. But we agree
with the State that the Pirtle courts concerns with a suspect consenting to
an unlimited search that would otherwise require probable cause are not an issue
here.
In Pirtle, 323 N.E.2d at 639, the court stated:
A search warrant may issue only upon probable cause supported by an affidavit
particularly describing the place and property to be searched. Only a neutral
magistrate may issue the warrant. It must include enough information to allow
the magistrate himself to determine whether there is probable cause for a search.
The information must be based on the officers personal knowledge or on
a credible tip from a reliable informer. A person who consents to
a search gives up all these protections and subjects himself to a general
search without probable cause.
(Citations omitted, emphasis added). Under Indianas Implied Consent Statute, a law enforcement
officer who has probable cause to believe that a person has committed one
of the applicable driving offenses shall offer the person the opportunity to submit
to a chemical test. See Ind. Code § 9-30-6-2(a). Accordingly, an
officer cannot offer a breath test to a suspect, and the suspect cannot
consent to or refuse the test, until after the officer has probable cause
to believe that a crime has occurred. Therefore, unlike the suspect in
Pirtle, a suspect who is asked to submit to a chemical breath test
does not subject himself to a general search without probable cause.
In sum, as in Ackerman, we conclude that the purpose of the Pirtle
doctrine would not be served by extending that doctrine to apply to chemical
breath testing. Thus, Officer Pitman was not required to advise Schmidt of
his right to counsel before he asked him to submit to a chemical
breath test, and the trial court did not abuse its discretion when it
admitted evidence of Schmidts refusal at trial.
(Citations and quotations omitted); see also Ford v. State, 704 N.E.2d 457, 461
(Ind. 1998) (stating that court views fundamental error exception to waiver rule as
extremely narrow, available only when record reveals clearly blatant violations of basic and
elementary principles and harm or potential harm cannot be denied). Under all
of the circumstances, this case does not fall within the extremely narrow fundamental
error exception because the prosecutors isolated comment during closing argument does not constitute
a clear and blatant violation of due process. Again, even if the
remark were improper, we conclude that any alleged misconduct did not place Schmidt
in grave peril, was not so blatant as to make a fair trial
impossible, and, as such, did not constitute fundamental error.
A: Its in each one of my manuals.
Q: What is the training in regard to that?
A: That 35 percent of sober persons would probably not pass that test.
Q: Okay. And with regard to the and thats the one leg
stand?
A: That is the one leg stand, yes, sir.
Q: And with regard to the walk and turn?
A: Thirty-two percent.
Transcript at 261. On cross-examination, the State clarified that the NHSTA manual
Bennett referenced on direct did not actually report the 35% and 32% figures.
Instead, the manual reported the percentages of people who are intoxicated who
fail the field sobriety tests. The State then sought to further clarify
that the manual did not use the terms sober or intoxicated, but rather
stated, for example, that 65% of people who fail the one-leg stand will
have a blood alcohol content of .10 or more. Schmidt objected to
the States question, and the trial court overruled the objection as follows:
I think its proper cross-examination based on his previous testimony[.] Id. at
289.
A party may open the door to otherwise inadmissible evidence by presenting similar
evidence that leaves the trier of fact with a false or misleading impression
of the facts related. Walker v. Cuppett, 808 N.E.2d 85, 98 (Ind.
Ct. App. 2004) (citing Ortiz v. State, 741 N.E.2d 1203, 1208 (Ind. 2001)
and Williams v. State, 733 N.E.2d 919, 926 n.4 (Ind. 2000) (parentheticals omitted)).
Bennetts misleading testimony about the statistics contained within the NTHSA manual opened
the door to the States questions about the actual percentages published in the
manual. Thus, we conclude that the trial court did not abuse its
discretion when it admitted that testimony.
BARNES, Judge, concurring
I concur in the majority opinion in full, and write to acknowledge that
I voted to concur in the Luckhart decision and its approval of an
instruction similar to the one disapproved of in this case. At the
time Luckhart was issued, our supreme court had not yet decided Ludy.
Whatever the sequence, I am convinced that Dill and Ludy compel the result
reached here and that my vote in Luckhart would not be the same
today, given the logic of the majority opinion and the combined effect of
the Ludy and Dill decisions.
SULLIVAN, Judge, dissenting
Although I concur with respect to the majority opinions treatment of Issues One,
Three, Four, and Five, I respectfully dissent with respect to Issue Two and
would reverse the judgment and remand for a new trial.
The admissibility of Dr. McCoys proffered testimony as to whether an ear condition
suffered by Schmidt would have explained Schmidts failure of the sobriety balance tests
was not dependent upon what Schmidt may or may not have told Dr.
McCoy. It was therefore not dependent upon whether Schmidt himself testified.
Rather, a McCoy opinion in this regard might appropriately have been premised upon
Defendants Exhibit C, a medical record establishing that, as of December 2001, Schmidt
had a history of acute unilateral deafness and vertigo, rather than any statement
from Schmidt as to his ear condition.
See footnote
In actuality, in making its preliminary exclusionary ruling, the trial court stated that
opinion evidence with regard to a proffered opinion by Dr. McCoy would be
permitted only if a hearing problem was a fact in evidence. The
court stated that if Dr. McCoy had access to the Defendants medical
records and reviewed the medical records, he may rely on those. Tr. at
18. Thus, although the trial court granted the States motion to exclude
any medical diagnosis [Schmidt] may have received from a doctor, Tr. at 19,
the court indicated that Dr. McCoy could rely upon that medical record in
forming his own opinion as to what effect, if any, that ear condition
would have upon Schmidts failure of the sobriety tests.
From this I would conclude that had Dr. McCoy been called to testify
he would have been permitted to testify with respect to an opinion based
upon Dr. Pascuzzis report, if in turn a proper foundation had been established
for admission of that report.
See footnote
That conclusion, however, would appear to
be misplaced in that the trial court later during the actual trial seemed
to make its exclusionary ruling as to Dr. McCoy absolute.
Although the defense did include Dr. Pascuzzis report in its offer to prove
what Dr. McCoys testimony would have been, Dr. McCoy was not called as
a witness because as the following colloquy reflects the trial court was not
going to permit Dr. McCoys testimony:
THE COURT: So this offer to prove is based on evidence that
you feel Dr. McCoy would testify to but he was not called as
a witness because of the Courts ruling on the Motion in Limine would
prevent his testimony. Is that right?
MR. COOK: Thats correct, and hes available now. He lives in
Carmel, hes got his cell phone on. Hes indicated to me he
would be available to testify if we needed him, but based upon the
Courts ruling I indicated it probably wasnt likely, but I have an obligation
to make a record which Im doing as to what he relies on
to testify he would do. Hes been supplied the facts necessary to
render an opinion and such.
THE COURT: After considering the offers to prove, the Court does not
wish to change its previous rulings. If there is simply some evidence
that the Defendant wishes to present, the defendant will have to testify, but
the Defendant cant get in through other evidences and avoid testifying. Its
just thats the way the rule is. Do you have any additional
witnesses, Mr. Cook, or have you completed?
MR. COOK: We dont, Judge . . . . Tr. at
302 (emphasis supplied).
In my view, the trial courts exclusionary ruling as to Dr. McCoy was
extended beyond what the trial court had actually said in its ruling upon
the States Motion in Limine. The in-trial exclusionary ruling clearly indicated that
it would have been futile for defense counsel to attempt to lay a
foundation for admission of Dr. Pascuzzis report and to call Dr. McCoy as
a witness.
Had Dr. McCoy been permitted to testify, it is quite possible that the
jury would have virtually discredited the validity of the field sobriety balancing tests
and perhaps reached a different result in its verdict.
See footnote
For this reason
I would reverse the judgment and remand for a new trial.
A law enforcement officer who has probable cause to believe that a person
has committed an offense of Operating While Intoxicated shall offer the person the
opportunity to submit to a chemical test.
A person must submit to each chemical test offered by a law enforcement
officer in order to comply with the implied provisions of this statute.
But independent from Instruction No. 9, Schmidt does not explain why that instruction
is erroneous. Accordingly, we address only his argument that Instruction No. 9
is improper.