IN THE COURT OF CRIMINAL APPEALS
OF TEXAS
v.
MATTHEW REID MECHLER, Appellee
FROM THE FOURTEENTH COURT OF APPEALS
FORT BEND COUNTY
OPINION
I concur in the majority's resolution and agree with much of its reasoning concerning the admissibility of intoxilyzer results in the absence of retrograde extrapolation testimony. I write separately to emphasize two points: 1) the difficulty of making individualized Rule 403 rulings in a pretrial setting; and 2) the need to make individualized Rule 403 rulings on proffered intoxilyzer test results that account for the degree to which the result exceeds the legal limit of 0.08% as well as the time elapsed from driving until the test is taken. I do not understand the majority opinion to imply that intoxilyzer test results are always admissible in a DWI trial under Rule 403, only that, given the specific evidence in this case, the trial court abused its discretion in excluding this particular test result under Rule 403 at the pretrial stage.
A. Rule 403 rulings are context-driven and depend upon the specific evidence before the trial court at the time of the ruling.
First, as a general rule, most of Rule 403's work of balancing probative value against the risk of unfair prejudice or confusion of issues is done during trial, not pretrial. (1) As the Third Circuit has stated in discussing pretrial rulings concerning scientific evidence, it is rare that Rule 403 is an appropriate basis for the pretrial exclusion of evidence because the trial judge cannot ascertain potential relevance or the impact of countervailing factors without "'a virtual surrogate for a trial record.'" (2)
Second, Rule 403 rulings are largely idiosyncratic. Such rulings usually depend upon the precise evidentiary context of a particularized trial setting, taking into consideration the ebb and flow of trial testimony, the unique circumstances and facts, and the specific contested issues. (3) Rule 403 rulings, because of their finely tuned balance of probative value versus unfair prejudicial effect, do not travel well from case to case. Indeed, legal precedents are of so little value in dictating the proper weight of the balancing process that the American Law Institute specifically forbade the use of Rule 403 rulings as legal precedent when it drafted the Model Code of Evidence. (4) As aptly put by the Fifth Circuit, the specific result of the trial court's conscientious balance of unique facts and circumstances under Rule 403 "is not subject to scrutiny by an appellate Bureau of Weights and Standards that balances the factors gram for gram." (5)
Thus, the authority of the trial judge to make individualized, discretionary rulings under Rule 403 during trial is extensive, but it is not boundless. All Rule 403 rulings are subject to three general considerations: (6)
1) the trial judge should exercise his power to exclude evidence under Rule 403 sparingly; (7)
2) the trial judge's discretion under Rule 403 is not an invitation to rule reflexively or without careful reasoning; (8)
3) the trial judge may not exclude evidence merely because he disbelieves the testimony. (9)
As long as the trial court's individualized, context-driven Rule 403 ruling is "within the zone of reasonable disagreement, the appellate court will not intercede." (10)
The problem in this case is that the trial court's pretrial Rule 403 determination does not appear to be individualized or based upon the specific evidence and context that the trial court had before it. In balancing the probative value of an intoxilyzer test result against its potential for creating unfair prejudice or confusion of the issues, the two most significant items in that balance are: 1) the actual test result itself and how much it exceeded the legal limit of 0.08% BAC; and 2) the time interval between the defendant's driving and the taking of the test. Yet there is nothing in the trial court's ruling, reflection, or analysis in this case that accounts for these two crucial considerations. The trial judge explicitly stated that his ruling was not based upon the credibility of any witness, and he did not point to the time lapse between Mr. Mechler's driving and the intoxilyzer test or the extent to which this BAC test result of 0.165% was in excess of the legal limit as significant factors in his analysis.
From all appearances, the trial court seems to have created an implicit blanket prohibition: Under Rule 403 no intoxilyzer test results shall be admissible without scientifically reliable retrograde extrapolation testimony. That Rule 403 ruling is too sweeping in scope to be decided in a pretrial motion. (11) That ruling is not a discretionary, individualized, context-driven ruling under Rule 403. That ruling is instead the enactment of a newly minted rule of evidence, one that is not contained within the Texas Rules of Evidence. A trial court abuses its discretion and acts arbitrarily and without reference to the guiding principles of law if it creates a universal rule of exclusion under Rule 403 applicable to all cases without regard to the specific facts or context. For this reason alone I would conclude that, based upon the present record, the trial court abused its discretion in excluding the intoxilyzer test result evidence.
B. Balancing the probative value of intoxilyzer test results against the danger of unfair prejudice or confusion of issues under Rule 403 in the absence of retrograde extrapolation testimony.
Because the issue of admitting or excluding intoxilyzer test results under Rule 403 is one that arises in Texas trial courts on a daily basis, we should provide guidance to trial courts concerning the process of balancing probative value against unfair prejudicial effect when retrograde extrapolation testimony is not available.
The primary indicator of whether a person is intoxicated is his blood alcohol concentration (BAC) level. The BAC describes the concentration of alcohol in a person's blood expressed as weight per unit of volume. At 0.10 % BAC, a person has a concentration of 100 mg of alcohol per 100 ml of blood. The BAC may be determined by a blood test, urine test, or, most frequently in DWI prosecutions, by an intoxilyzer test which analyzes a driver's exhaled breath.
Scientific studies have shown that alcohol may affect one's driving ability at BAC levels as low as 0.02%. (12) The probability of causing an automobile accident begin to increase significantly at a BAC level of 0.05% and climbs rapidly after about 0.08%. (13) As of 2004, every state in the nation except Minnesota had adopted a per se DWI or DUI statute specifying that a BAC of 0.08% or greater is sufficient proof, by itself, of legal intoxication. (14) The push for a national standard of 0.08% was "based on laboratory and on-road research which demonstrated that the majority of drivers, regardless of experience, are significantly impaired at 0.08 percent BAC[.]" (15) This national standard was based upon the recognition that the "average" driver has lost the normal use of his mental or physical faculties at this level. Laws and statutory presumptions are written for the "average" case although a specific driver, because of individual variables such as weight, gender, physical condition, metabolic rate, time of day, mental state, presence or absence of food in the digestive system, medications, and tolerance for alcohol, might not be impaired at this precise level. But the Texas per se intoxication law, like that in the other 49 states, was written with the hypothetical "average" driver in mind, regardless of individual variables.
Of course, a BAC result of 0.08% on a breath test taken some time after a person has stopped driving does not necessarily correspond to the BAC result that person would have tested at had he been tested at the time he was driving. (16) A number of state legislatures, recognizing that it is not possible for law enforcement officers to test a driver's BAC while he is driving, (17) have drafted their per se DWI laws such that the law expressly relates the BAC test back to the time of driving, either by a rebuttable presumption or by the definition of the offense. (18) For example, the Alaska DWI statute makes it a crime to operate a motor vehicle when, "as determined by a chemical test taken within four hours after the alleged operation or driving," a person's blood contains 0.08% or more alcohol. (19) Similarly, Arizona law provides that it is illegal to have a BAC of 0.08% or more within two hours of driving. (20)
Regardless of their use of statutory presumptions or definitions of DWI incorporating a time lapse between driving and the taking of a breath test, the vast majority of states do not require the prosecution to relate breath test BAC levels back to the time of driving as a predicate to their admission. (21) Courts have rejected the necessity for such "relation-back" or "retrograde extrapolation" (22) evidence for a variety of reasons:
* To create such a requirement would place an impossible burden on the prosecution because only the defendant knows the pertinent variables; (23)
* The DWI statute does not require such relation-back evidence; (24)
* The test result, standing alone, creates a prima facie showing of intoxication at the time of driving which the defendant may rebut; (25)
* The test results alone constitute sufficient evidence of intoxication to obtain a DWI conviction; (26) and
* Other evidence of intoxication corroborates the test results. (27)
Of course, these statutes allow, and courts permit, the defendant to offer expert retrograde extrapolation testimony to show that his individual BAC was, in fact, below the legal limit at the time he was driving. (28)
The "average" alcohol absorption and elimination rate is 0.15% per hour, thus the higher the intoxilyzer test result, the more likely that the driver was intoxicated not only at the time of the test, but also at the time of driving. Expert retrograde extrapolation testimony can exclude the possibility that a driver's BAC level was still rising in the absorption stage and had not yet reached the legal limit at the moment he stopped driving. But as one court has stated in rejecting an argument that the State must offer extrapolation evidence, "the law was not intended to encourage a perilous race to reach one's destination, whether it be home or the next bar, before the blood alcohol concentration reaches the prohibited level." (29) While it may be within the realm of possibility that a specific driver "chug-a-lugged" enough alcohol immediately before or after getting behind the wheel of a car to race to his next destination before his BAC level reached the legal limit of 0.08%, this is a sufficiently remote scenario for state legislatures to have discounted it in drafting their DWI laws which do not require extrapolation testimony.
As this Court aptly noted in Mata v. State, (30) retrograde extrapolation testimony is scientifically unreliable unless the expert witness knows a vast amount of personal information about the driver including:
the presence and type of food in the stomach, the person's gender, the person's weight, the person's age, the person's mental state, the drinking pattern, the type of beverage consumed, the amount consumed, and the time period of alcohol consumption. (31)
This is all information that is within the defendant's personal knowledge, but, under the Fifth Amendment, it is not within the State's power to compel the defendant to disclose this information. (32) Although Mata held that retrograde extrapolation evidence that fails to account for individual variables is inadmissible, in Stewart v. State, (33) we held that a BAC test result, taken eighty minutes after the defendant was arrested, still had some probative value without retrograde extrapolation evidence, and thus was relevant under Rule 401. (34) All relevant evidence, even evidence with a low probative value, is admissible under Rule 402 unless excluded under some other statute or rule, such as Rule 403.
In discussing Rule 403, the majority sets out the four major, but non-exclusive, factors that Texas courts use for balancing probative value and prejudicial effect. The single most important factor in the context of admitting breath test results in the absence of extrapolation testimony is the inherent probative value of the test result. In turn, the relative probative value of the test depends primarily upon two variables: 1) the degree to which the test result exceeds the legal limit of 0.08%; and 2) the amount of time elapsed between driving and the taking of the test. The higher the test result and the shorter the time between driving and testing, the more likely the logical inference is that the defendant had a BAC level at or above 0.08% at the time of driving. The stronger the inference of a BAC of 0.08% or greater at the time of driving, the less significant is the necessity for expert retrograde extrapolation testimony. Conversely, the weaker the inference of guilt, the more vital is the necessity for evidence that relates an accused's BAC test result back to the time of driving. When a test is obtained long after the arrest and the result is at or below the legal limit, the logical inference that the person had a 0.08% BAC at the time of driving may be so tenuous that a trial judge appropriately exercises his discretion by excluding that specific test result under Rule 403 absent expert testimony that extrapolates the test result back to the time of driving.
In this case, however, the trial judge did not conduct such an individualized assessment, and he failed to offer any rationale as to why the danger of unfair prejudice of evidence of an intoxilyzer test result of 0.165%- twice the legal limit- taken a mere hour and a half after Mr. Mechler stopped driving "substantially" outweighed its probative value. There might be something truly extraordinary about the specific circumstances in this case that would support such a discretionary ruling, but if so, the pretrial record does not reflect those specific facts.
Under these circumstances, therefore, I agree with the majority's conclusion that the trial judge abused his discretion in excluding the evidence of Mr. Mechler's intoxilyzer test results.
Cochran, J.
Filed: January 12, 2005
Publish
1. 2. 3. 1 Christopher B. Mueller and Laird C. Kirkpatrick, Federal Evidence § 93 at
477 (2d ed. 1994); 4.
The application of this rule should depend so completely upon the circumstances of the particular case and be so entirely in the discretion of the trial judge that a decision in one case should not be used as precedent in another.
See also 22 Charles A. Wright & Kenneth W. Graham, Jr., Federal Practice and
Procedure § 5214, at 265 (1977) (past decisions useless in weighing process under Rule 403).
5. 6. 7. 8. 9. 10. 11. 12. Margaret C. Jasper, DWI, DUI and the Law 13 (Oceana 2004).
13. 14. 15. Jasper at 13.
16. 17. Indeed, Texas regulations, like those in virtually all states, prohibit law enforcement
officers from conducting a DWI breath test until after the completion of a fifteen-minute
observation period. 37 T.A.C. § 19.3(c)(1).
18. 19. Alaska Stat. § 28.35.030(a)(2); 20. Ariz. Rev. Stat. 28-692(A)(2); 21. 22. Retrograde extrapolation is the scientific process of "working backward" from the BAC
test to an estimate of the person's actual BAC at the time of driving. 23. 24. 25.
In attempting to combat the scourge of drunk driving, we do not believe the legislature intended to place upon the State the difficult and often impossible burden of extrapolation as a condition precedent to conviction under the [per se DWI] statute. Though our statute is not as specific as that of Minnesota or California, we interpret Florida's statutory scheme to mean that the test results shall be prima facie evidence that the accused had the same blood-alcohol level at the time of his operation of the vehicle. Properly obtained test results which reflect a blood-alcohol level of 0.10 or more, standing alone, constitute circumstantial evidence upon which the finder of fact may (but is not required to) convict the accused driver of DUI either by impairment or [per se DWI]. However, contrary to the New Jersey position, we do not view the test results as conclusive. The accused is at liberty to seek to demonstrate through cross-examination or the introduction of other evidence that the test results do not accurately reflect his or her blood-alcohol level at the time the vehicle was being operated.
Id. at 774-75.
26. 27. 28. 29. 30. 46 S.W.3d 902 (Tex. Crim. App. 2001).
31. 32. 33. 129 S.W.3d 93 (Tex. Crim. App. 2004).
34.