State v. Young
State v. Young
Opinion
Adkins, J.
**163 "The true nature of the hearsay rule is nowhere better illustrated and emphasized than in those cases which fall outside the scope of its prohibition." 6 John Henry Wigmore, Evidence in Trials at Common Law § 1766, at 250 (Chadbourn rev. 1976). Steven Young was convicted by a jury in the Circuit Court for Baltimore City of possession and possession with intent to distribute controlled dangerous substances. Before trial, the State filed a motion to suppress introduction of any supposed prescriptions for controlled substances, which the Circuit Court granted on hearsay grounds. We consider whether the alleged prescriptions are barred by the rule against hearsay, or if instead, they are nonhearsay and admissible as a "verbal act."
BACKGROUND
In May 2014, Detective Manuel Larbi ("Larbi") and a team of officers executed a search warrant for 2580 Marbourne Avenue in Baltimore, Maryland. Larbi observed Steven Young and another male in front of the house. The officers handcuffed both individuals and entered the residence. Once inside, the officers observed a third individual, Angela Grubber, later identified as Young's wife. After Larbi read Young his rights pursuant to
Miranda v. Arizona
,
Young's trial in the Circuit Court began in January 2016. Before jury selection, the parties met with the trial judge in chambers. No record of the conversation was made. Upon returning to the courtroom, the prosecutor moved to exclude all evidence that Young had a prescription for the drugs seized. The court granted this motion in limine , without providing Young an opportunity to respond:
[PROSECUTOR]: And, Your Honor, the State's second motion that we spoke in chambers is the exclusion. State's moving a motion in limine to exclude any prescription evidence as it is, number one, hearsay, and, number two, not admissible hearsay because it does not fall within the exception of [Maryland Rule] 803[ (b) ](6).
Defense is trying to enter into evidence, number one, a prescription -- an alleged prescription of the defendant and, number two, a prescription by his wife, Angela Grubber, who is not going to testify today. These are copies of alleged prescriptions. They are not certified. The doctor is not present. There's no certification or authenticity and it's excluded under [Maryland Rule] 803[ (b) ](6). I do have a case, Bryant v. State , [129 Md. App. 690 ,743 A.2d 814 (2000),] by the Court of Special Appeals where in a murder trial the defense tried to enter in a piece of paper that was the alleged toxicology report because it was murder. And **165 the Court said it's hearsay, number one, even if the defendant took the stand --
THE COURT: Yeah. I'm familiar with that law because I had the very same issues several times. Okay. That motion is granted.
Defense counsel did not respond, object, or make a proffer in response. The case proceeded to trial. 1
During its case-in-chief, the State called Detective Larbi, who was accepted as an expert in the field of narcotics identification and packaging. Larbi testified that, in his expert opinion, the substances, scale, and currency recovered were for distribution, not personal use. The detective recalled that during one conversation, "Mr. Young also stated that he does sell from time to time," and that aside from four pills that were recovered, Young took ownership of all the other drugs at the house. Larbi also testified that Young never claimed to have a prescription for the drugs.
The jury convicted Young of eight counts: possession of heroin, oxycodone, methadone, and alprazolam; and possession with intent to distribute heroin, oxycodone, methadone, and alprazolam. After merging the possession charges, the trial judge sentenced Young to multiple years of imprisonment for the four counts of possession with intent to distribute.
*810
Young timely appealed to the Court of Special Appeals, which affirmed in part and reversed in part.
See
Young v. State
,
DISCUSSION
1. Preservation
We first address two preservation issues: (1) Young's claim that the State failed to preserve the issue of whether he authenticated the alleged prescriptions; and (2) the State's claim that Young failed to preserve his claim that the trial court erred in excluding the alleged prescriptions.
Young's Preservation Argument-Authentication
Young argues that the State failed to raise the issue of authentication at trial and therefore cannot raise that issue on appeal. He maintains that the State's sole reference to authentication was in the context of its business records argument. This reference is insufficient, Young continues, because the prescriptions are not hearsay, and no exception is needed to properly admit them. Young further asserts that because he could self-authenticate the prescriptions, neither the physician nor her records custodian need testify.
The State responds that the prosecutor raised the issue of authentication in five ways. First, the prosecutor argued that there was no "authenticity"-meaning authentication. Second, by referring to the "alleged prescriptions," the prosecutor asserted that they were not genuine. Third, the prosecutor argued that "there's no certification," meaning that the prescriptions were not admissible without a sponsoring witness who could establish that they were authentic. Fourth, the prosecutor pointed out that "Young's wife is not going to testify today" and "the doctor is not present," meaning that Young was not calling witnesses who could potentially sponsor and authenticate the prescriptions. Finally, the prosecutor cited
Bryant v. State
,
We reject the State's arguments that it challenged authentication at trial because we do not ascribe the same meaning to **167 the prosecutor's statements. Rather, the prosecutor clearly spelled out her reasons for excluding the prescription evidence, and they all clearly focused on challenging the prescriptions as inadmissible hearsay. Specifically, the prosecutor made her motion in limine "to exclude any prescription evidence as it is, number one, hearsay, and number two, not admissible hearsay because it does not fall within the exception of [ Md. Rule 5-803(b)(6) ]," the business records exception. Nor was the prosecutor's citation to Bryant v. State supportive, as Bryant involved the question of whether "the trial court err[ed] in admitting the results of a toxicology report into evidence as a business record," and the authentication issue wholly related to the document's admission and authentication as a business record. Finally, simply naming absent witnesses was not sufficient to preserve the State's objection, because Young could potentially authenticate the prescriptions through his own testimony. The trial court *811 granted the motion in limine without giving the defense any chance to proffer or authenticate the alleged prescriptions. 2
State's Waiver Argument-Exclusion of Prescriptions
The State argues that Young failed to preserve his claim that the trial court erred in excluding the alleged prescriptions. It contends that where a prosecutor has presented two independently dispositive reasons why the trial court should not take an action, and the court relies on those reasons, it is incumbent on a defendant to object or demonstrate why the prosecutor's arguments are not dispositive.
Young responds that the trial court was on notice of his position based on the crimes charged and his motion to suppress. Further, he contends that the court's ruling makes clear it was aware that he intended to introduce the prescriptions into evidence. As to the State's remaining argument, Young asserts that he did not have an opportunity to object to the ruling-the court granted the motion to exclude before the **168 State finished its argument, and the court moved to the next motion without giving Young a chance to respond.
Under Maryland Rule 8-131(a), an appellate court will not decide an issue "unless it plainly appears by the record to have been raised in or decided by the trial court ...." To preserve an issue for appeal, Maryland Rule 4-323(a) requires a party to "object[ ] to the admission of evidence ... at the time the evidence is offered or as soon thereafter as the grounds for objection become apparent," or the objection is waived. Maryland Rule 4-323(c) tempers strict application of this requirement, making clear that a proffer is not the only way a party may preserve an issue for appeal. The party need only "make[ ] known to the court the action that the party desires the court to take or the objection to the action of the court." Md. Rule 4-323(c). Moreover, "[i]f a party has no opportunity to object to a ruling or order at the time it is made, the absence of an objection at that time does not constitute a waiver of the objection."
Based on the record below-Young's motion to suppress, the prosecutor's reference to the discussion in chambers, the prosecutor's motion
in limine
, and the judge's subsequent ruling-we are satisfied that the judge had sufficient notice of Young's intention to introduce the prescriptions into evidence, and that the judge's ruling excluding them was intended to be the "final word on the matter ...."
See
Prout v. State
,
2. Hearsay
The State also argues that the alleged prescriptions are inadmissible hearsay because they would be introduced to prove the truth of the matter asserted. The State presents two
**169
iterations of this theory. First, it reasons, the prescriptions go directly to the truth of the matter asserted. The State construes the word "prescription" in Md. Code (2002, 2012 Repl. Vol),
*812
§ 5-601 of the Criminal Law Article ("CR")
3
to mean "valid prescription," which necessarily means that it was also "from an authorized provider" and that the provider was "operating in the course of professional practice." When a doctor writes a prescription, the State contends, she is essentially asserting that "she has the authority to issue a prescription to the patient in order to obtain a controlled substance," or that the patient is permitted to possess the controlled substance. Second, citing
Stoddard v. State
,
Young counters that the prescriptions were not offered to prove the truth of the matter asserted within them. Rather, he says he sought to introduce the prescriptions as the basis for the statutory defense that he "legally possessed certain of the controlled substances." He argues that a prescription is a "legally operative document" and that CR § 5-601"only applies to drugs not obtained by valid prescription and does not require that the prescription be appropriate for the patient's medical condition" or that the patient in fact suffer from a given medical condition. Instead, says Young, legitimacy and authorization are authentication questions "irrelevant to the hearsay analysis." For these reasons, he argues, the trial court erred in ruling that the prescriptions were hearsay. 4
A trial court's ruling on the admissibility of evidence is generally reviewed for abuse of discretion.
See
**170
Hopkins v. State
,
Hearsay is a "statement, other than one made by the declarant while testifying at the trial or hearing, offered in evidence to prove the truth of the matter asserted." Md. Rule 5-801(c). There are two threshold questions when a hearsay objection is raised: "(1) whether the declaration at issue is a 'statement,' and (2) whether it is offered for the truth of the matter asserted. If the declaration is not a statement, or if it is not offered for the truth of the matter asserted, it is not hearsay and it will not be excluded under the hearsay rule."
Stoddard
,
It is hornbook law that out-of-court statements are generally not admissible to prove the truth of the matter asserted. Yet, they can be admitted if the statements are "relevant and proffered not to establish the truth of the matter asserted therein, but simply to establish that the statement was made[.]"
*813
Lunsford v. Bd. of Educ. of Prince George's Cty.
,
In most state and federal courts, this hearsay analysis is cabined to intentional assertions. This is significant because, in other jurisdictions, if the assertion was unintentional or merely
**171
implicit, then it cannot be hearsay. Maryland departs from this general rule. This departure is best explained by
Stoddard v. State
,
In
Stoddard
, the defendant, Erik Stoddard, was convicted of second-degree murder and child abuse resulting in the death of three-year-old Calen DiRubbo ("Calen").
On appeal, Stoddard argued that Jasmine's utterance was hearsay because it was both a statement and offered for the truth of the matter asserted.
The Stoddard Court proceeded to evaluate whether Jasmine's question was offered for the truth of the matter asserted within it, turning to the wellspring of implied assertion doctrine, Wright v. Doe d. Tatham (1837) 112 Eng. Rep. 488; 7 Ad. & E. 313. In Wright , a testator left his estate to his steward, Wright. The testator's heir at law, Tatham, filed suit to set aside the will, arguing that the testator was mentally incompetent at the time he made the will. Id. at 493; 7 Ad. & E. at 324. In response, Wright introduced several letters addressed to the testator, not for their truth, but so the court could infer from their content that the writers believed the *814 testator was competent. Id. at 493-94; 7 Ad. & E. at 325. None of the individuals who wrote the letters testified at trial.
The English court ruled that the letters were hearsay,
id.
at 500; 7 Ad. & E. at 341, and we adopted its reasoning. First, the letters could not have been admitted for the truth of their literal content, because their content was not relevant to the proceeding. The letters were only valuable inasmuch as the "tone and content impl[ied] a belief in [the testator's] competence[.]"
Stoddard
,
Like in
Wright
, Jasmine's statement would not have been relevant were it offered for the literal truth of the question, "Is [Stoddard] going to get me?"
Since
Stoddard
, we have consistently resisted an overbroad interpretation of its holding. In its companion case, authored by the same judge
5
and published on the same date, the Court upheld a trial court's decision to exclude a medical bill as hearsay, but gave cautionary advice for future cases.
See
Bernadyn v. State
,
Over a defense hearsay objection, the trial court allowed the deputy to testify that he had seized the medical bill from 2024 Morgan Street.
We continued to limit
Stoddard
in
Garner v. State
,
This Court held that the question, "Yo, can I get a 40?," was not hearsay, because it was a verbal act and should have been admitted into evidence.
See
We rejected the argument that the telephoned statements were an implied assertion, even though assertions may be implicit within them. "While there may be an 'implied assertion' in almost any question, ... the only assertion implied in the anonymous caller's question was the assertion that the caller had the funds to purchase the drugs ...."
Garner demonstrates that the Stoddard holding does not foreclose legally operative verbal acts from being admitted as non-hearsay, even if they contain an implied assertion. Professor Lynn McClain, in her treatise, Maryland Evidence State and Federal , summarizes the verbal acts doctrine as follows:
The substantive law gives certain types of out-of-court statements immediate *816 legal consequences. Such statements are termed "verbal acts" and are nonhearsay, because they have relevance even if the declarant was insincere or inaccurate. Most categories of verbal acts are necessary to the creation of certain types of claims, charges, and defenses.
McLain, supra , § 801:9, at 240 (footnote omitted) (emphasis in original). See also Wigmore, supra , § 1770, at 259 ("Where the utterance of specific words is itself a part of the details of the issue under the substantive law and the pleadings , their **176 utterances may be proved without violation of the hearsay rule, because they are not offered to evidence the truth of the matter that may be asserted therein.") (emphasis in original).
Garner
is hardly the first Maryland decision to apply the verbal acts doctrine. The Court of Special Appeals has recognized that verbal acts are non-hearsay when introduced as an element of a claim or defense. In
Banks v. State
,
Maryland courts have applied the verbal acts doctrine in various other circumstances, as well.
See, e.g.
,
Hyatt v. Romero
,
To review, the State argues that the prescription evidence, had it been admitted, would have been offered for the truth of the matter explicitly or implicitly *817 asserted by it. Young believes the evidence could have been offered for a non-hearsay purpose, such as a verbal act. Given how events unfolded in the trial court, we lack a substantial amount of relevant information regarding the prescriptions. We do not know what specific information was included in the supposed prescriptions. Nor do we know the exact purpose for which they would have been offered. As we discussed, Young was not afforded an opportunity to object, let alone proffer his means of authentication or an explanation on the record regarding how he planned to use the prescription evidence. For these reasons, we need only decide whether the prescriptions could have conceivably been admitted for a non-hearsay purpose.
Young was charged under CR § 5-601(a)(1), which provides that a person may not "possess or administer to another a controlled dangerous substance, unless obtained directly or by prescription or order from an authorized provider acting in the course of professional practice[.]" Thus, the subsection creates a statutory defense for possession, so long as the substance is obtained: (1) directly or by prescription or order; (2) from an authorized provider; and (3) from a provider acting in the course of professional practice. A prescription is a necessary element of the statutory defense under CR
**178 § 5-601(a). As discussed above, evidence offered for the limited purpose of establishing an element of a claim or defense can be a verbal act, and not hearsay.
Relying in part on legislative history, the State contends that the word "prescription," as used in the statute, means "valid prescription." It points out that CR § 5-601 was derived from former Art. 27, § 287, which once included reference to "valid" prescriptions.
See
Revisor's Notes; 2002 Md. Laws ch. 26 at 423. The reference to "valid" prescriptions was ultimately deleted because it was "implicit in the reference to a 'prescription'
from an authorized provider
."
The
Garner
rationale is instructive. If the "making of a wager or
purchase of a drug
,
legally or illegally
, is a form of contract," and admissible non-hearsay,
Garner
,
We have recognized that many statements can have both hearsay and non-hearsay uses. We conclude that introducing the alleged prescriptions to establish a statutory defense is a verbal act because the statute creates legal rights, and the fact of prescription is relevant regardless of whether its particular components are "true."
Cf.
United States v. Davis
,
But the State perseveres, pointing out that Young was also charged under CR § 5-602 for possession with intent **180 to distribute. It explains that, while CR § 5-601 specifically applies only to drugs not obtained by prescription, CR § 5-602 contains no such enumerated limitation. This section provides that, "except as otherwise provided" in Title 5, "a person may not (1) distribute or dispense a controlled dangerous substance; or (2) possess a controlled dangerous substance in sufficient quantity reasonably to indicate under all circumstances an intent to distribute or dispense a controlled dangerous substance."
The State characterizes the argument to admit the alleged prescriptions under § 5-602 as even weaker than the argument to admit them under § 5-601, because prescriptions are not mentioned in § 5-602. Instead, it asserts the prescriptions are "at most" a "factor" in the possession with intent to distribute analysis-along with several other factors. In other words, says the State, the mere fact of having a prescription does not mean that the individual is not also illegally distributing the drug, even if legally possessed.
Like the Court of Special Appeals, we can quickly dispatch with this argument. Young was charged with possession with intent to distribute, under § 5-602(2), not with distributing and dispensing a controlled substance, under § 5-602(1). Under § 5-602(2), an individual may not " possess a controlled dangerous substance in sufficient quantity" to indicate an intent to distribute. We interpret § 5-602's prefatory *819 language-"Except as otherwise provided in [Title 5]"-to incorporate the possession defense of § 5-601(a)(1), which is also in the Criminal Law Article, Title 5. Thus, the same statutory defense available for possession charges under § 5-601 is available for possession with intent charges under § 5-602(2), and a prescription is admissible to establish the fact of its own existence as an element of that statutory defense.
Finally, we note that when evidence is offered for a limited purpose, such as a legally operative verbal act or circumstantial non-assertive evidence, a limiting instruction is likely appropriate. "If the proponent of a statement claims to offer the evidence for a purpose other than its truth, but also
**181
offers the statement to prove the truth of a matter asserted therein, the court should either exclude the evidence or make clear that the evidence is admitted for a limited purpose."
Bernadyn
,
3. Authentication-Guidance for Remand
Young was never given the opportunity to authenticate the alleged prescriptions because the trial judge-treating the prescriptions as hearsay-granted the State's motion in limine . This was error. The question then becomes what is the proper remedy in this case? During the off-the-record conference in chambers, defense counsel may have told the trial judge how he intended to introduce the prescriptions. Counsel may have further explained how he intended to prove that the prescriptions were from an authorized provider or that the provider was acting in the course of professional practice. Or maybe he said nothing at all. Absent a record of this conversation, however, we are unwilling to assume that Young admitted that he did not have any method to authenticate the prescriptions. He should have been given an opportunity to proffer his authentication method. For this reason, we affirm the Court of Special Appeals and remand the case for a new trial on the charges for which Young alleged he had a prescription.
Although the State failed to preserve the issue of authentication, it will surely do so on remand. For guidance, we offer the following. "The requirement of authentication or identification as a condition precedent to admissibility is satisfied by evidence sufficient to support a finding that the matter in question is what its proponent claims." Md. Rule 5-901(a). Testimony from the prescribing doctor is one way to authenticate (or rebut) an alleged prescription, but we wish to make clear that it is not the only way. As we explained in
Sublet v. State
, "[t]he most straightforward approach to authenticating a writing is to ask an individual with personal knowledge about the document whether the matter was what it purported
**182
to be."
"In other circumstances, comparison to a known exemplar may be accomplished
*820
through expert testimony or within the confines of the jury room."
Id.
at 658-59,
These are the principles that should guide a court facing a defendant's proffer of a prescription as a statutory defense according to CR § 5-601(a). The defendant, in such instance, must make some prima facie showing that he received the alleged prescriptions from a physician who prescribed them in the ordinary course of business. It is conceivable that the defendant could do so via his own testimony. Pertinent testimony from the prescribing physician or the physician's custodian **183 of records would obviously suffice. Absent some valid authentication, the prescriptions are inadmissible on remand.
CONCLUSION
We hold that the issue of whether Young's alleged prescriptions were properly authenticated was not raised in or decided by the trial court, and thus it is not preserved for review. Next, under the facts of this case, the trial judge had sufficient notice that Young intended to introduce the prescriptions into evidence, and the judge's ruling was intended to be the "final word on the matter." Accordingly, Young had no opportunity to object and we treat the issue as preserved under Md. Rule 4-323(c). Finally, we hold that evidence of a valid prescription can fall under the category of "verbal acts"-admissible, not for the truth of the matter asserted, but as the basis of a statutory defense under CR §§ 5-601(a) and 602(2).
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONER.
Adkins, J., now retired, participated in the hearing and conference of this case while an active member of this Court; after being recalled pursuant to the Md. Constitution, Article IV, Section 3A, she also participated in the decision and adoption of this opinion.
The Circuit Court for Baltimore City never ruled on Steven Young's motion to suppress. The Court of Special Appeals held this issue was not preserved, and Young does not challenge that holding here.
We have no knowledge of what happened in the off-the-record chambers discussion between the trial judge and counsel.
The parties also contest whether prescriptions are admissible non-hearsay evidence under Md. Code (2002, 2012 Repl. Vol.), § 5-602 of the Criminal Law Article ("CR"). We address this issue separately later.
Alternatively, even if the prescriptions were hearsay, Young claims that they fall under the "statements made for the purposes of medical treatment" exception.
Judge Irma Raker, the author of
Stoddard v. State
,
Other jurisdictions have also held that prescription evidence does not violate the rule against hearsay.
See
United States v. Perholtz
,
Young also argues that, even if the prescriptions were hearsay, they would still be admissible under the "statements made for the purposes of medical treatment" exception. Because we hold that it was possible for Young to introduce the prescriptions for a non-hearsay purpose, we need not reach this argument.
Reference
- Full Case Name
- STATE of Maryland v. Steven YOUNG
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