Hernandez v. State
Hernandez v. State
Concurring Opinion
concurring.
The central question in this case is whether, and to what extent, an appellate court may consider matters not in the record when reviewing a trial court’s decision to admit or exclude scientific evidence. The answer is that the appellate court should consider only material that is in the record and matters that may be judicially noticed. The reliability of a scientific theory or technique should be judicially noticed under the following circumstances: (1) when it is a matter of common knowledge, (2) when widely available court decisions show that reliability has been litigated elsewhere in fact-finding forums to a degree sufficient for the appellate court to conclude that reliability is well-established, and (3) when a prior determination of reliability has been made by an appellate court whose pronouncements are binding in the jurisdiction. As will be discussed below, appellate courts should never conduct their own independent research of the scientific literature.
I. SCIENTIFIC LITERATURE NOT PRESENTED TO THE TRIAL COURT
An appellate court that consults scientific literature on its own initiative thrusts itself into the position of a fact finder — a position appellate courts traditionally do not occupy and for which they are ill-suited. No matter how careful the appellate investigation, there is always the risk that appellate research will fail to uncover scientific sources that are crucial to determining the reliability of a scientific theory or technique.
The difficulties that result from appellate courts relying upon material outside the record manifest themselves most clearly in the current trend of citing to internet sources in appellate opinions. While some problems arising from this practice, such as evolving content and vanished content, do not carry over completely to the use of outside-the-record texts and treatises, many of the core arguments against the use of internet references apply with full force to the latter situation.
[W]hen an appellate court goes outside the record to determine case facts ... it ignores its function as a court of review, and it substitutes its own questionable research results for evidence that should have been tested in the trial court for credibility, reliability, accuracy, and trustworthiness.6
Resort could be made to opinion polls, to information on the internet, to articles in psuedo-scientific magazines, or even to authentic treatises that are just wrong. While I trust appellate courts to do their best to sort out the rehable from the unreliable, I trust cross-examination more. Rules of evidence and procedure protect the reliability of the outcome of trial. It is a mistake to hope that appellate diligence can adequately substitute for these tried and true safeguards.
In the past, we have held that judicial notice of scientific literature, as opposed to scientific theory or technique, can be taken even when that literature was not presented by either party at trial or on appeal.
Judge Keasler contends that scientific reliability should be reviewed de novo and that a de novo standard of review means, or necessarily includes, review of outside-the-record material. Without commenting on whether a de novo review is appropriate, I must express my disagreement. Equating de novo review with an outside-
De novo review in this context, however, is not self-explanatory. Does it simply mean review limited to the trial record, but without required deference to the trial court’s findings and analysis? Or does it also permit appellate court reference to sources outside the record? If so, what kinds of sources: legal and scientific articles, as well as judicial decisions from other jurisdictions? If so, is one type of outside source entitled to greater weight than another? In any event, may the appellate court rely primarily or even exclusively on sources outside the record, or is the probative value of such sources limited to buttressing essential expert testimony of record?8
While holding de novo to be the proper standard of review,
II. JUDICIAL NOTICE AS A SUBSTITUTE FOR EVIDENCE
A. Trial versus appeal
We have held that the first two Kelly
B. Bases for judicial notice
1. Matters of common knowledge
Some scientific theories and techniques are so well known that they are matters of
2. Consideration in other courts
Appellate courts often look to cases in other courts and other jurisdictions to help determine whether judicial notice should be taken of the validity or reliability of a scientific theory or technique.
In many cases, like this one ... the issue is whether a certain category of evidence is admissible, often in particular types of cases that are recurring. In some cases both the trial court and this Court can fully evaluate the reliability and relevance of the evidence generally based on the decisions of other appellate courts. In this way, we can avoid conducting our own lengthy and expensive evidentiary hearing aimed at establishing, or attacking, the foundation for the disputed expert testimony. We are not suggesting that the new standard for admissibility has somehow become general acceptance among appellate courts. Irrespective of the decisions of other courts, the responsibility for determining the admissibility of evidence in Vermont courts remains with our trial judges, and on appeal with this Court. However, scientific or technical evidence which is novel to us is frequently not novel to many other state and federal courts. To the extent the evaluation of these courts is complete and persuasive, we can affirmatively rely upon it in reaching our own decision.22
For example, in United States v. Jakobetz, the Second Circuit, based upon an extensive reliability hearing at trial, took judicial notice of the general reliability of
Although Jakobetz was written before Daubert, the court employed a reliability approach to Rule 702 similar to that taken in Daubert. We conclude that the Second Circuit’s conclusions as to the reliability of the general theory and techniques of DNA profiling are valid under the Supreme Court’s holding in Daubert, and hold that future courts can take judicial notice of their reliability.24
In Jones, the District of Columbia Court of Appeals observed that numerous courts have taken this approach:
Perhaps because reliance on articles to establish general acceptance is problematic, more appellate courts, confronted by trial court rulings not based on expert testimony, have been willing instead to sustain the rulings primarily on the basis of judicial notice of other court opinions which themselves were based in substantial part on expert testimony. A number of appellate courts have altogether dispensed with the need for expert testimony at trial if (1) other courts have established, from expert testimony and other sources, the general scientific acceptance of the particular test at issue, and (2) the records and judicial elaborations of these other cases are sufficiently complete and persuasive that the appellate court confidently can incorporate the work of other courts by reference... .Expert testimony in other cases, subject to cross-examination, can be probative of general acceptance of a scientific technique; thus, judicial notice of it is appropriate... .The reviewing court, of course, has to take care that judicial notice of other court opinions is limited to comprehensive expert testimony on the general acceptance issue; otherwise, there is a danger that reliance on other judicial opinions could, in effect amount to delegation of decision-making to another court which itself ruled on the basis of an inadequate record.25
The Jones Court followed this method in the case before it:
We therefore rely primarily on a trial court decision from our own jurisdiction, based upon expert scientific evidence in a record with which we are familiar and in which we have confidence because of the thoroughness with which counsel tried the case and the judge evaluated the evidence. We rely secondarily on, and thus confirm our judgment by reference to, judicial opinions from other jurisdictions which have reached the same result... .(Parenthetically, we emphasize that we do not rely, additionally, on an independent review of scientific or legal literature discussing [the scientific test in question]. We prefer to rely upon judicial decisions which themselves have a trial record — or judicially notice a trial record — that reflects expert testimony, subject to cross-examination about [the scientific test] ).26
3. Prior Determination of Reliability
When a scientific theory or technique’s validity or reliability has been shown so convincingly before a fact-finder that an appellate court can conclude the matter should be judicially noticed, the appellate court can decree that the matter will henceforth be the subject of judicial notice. In such instances, judicial notice of the reliability of the scientific theory or technique could then be taken by trial and appellate courts within the decreeing court’s jurisdiction in future cases in which the issue arose.
III. THE SCIENCE AT ISSUE: THE ADX ANALYZER/FPIA TEST
A. Remand inadvisable
The scientific literature and cases cited by the State in its petition and briefs before us were never presented to the Court of Appeals. For this reason, I must disagree with the dissent’s suggestion that the case be remanded to address these sources — or even with any suggestion that the case be remanded for the more limited judicial notice process I have outlined. No one suggests that the Court of Appeals was required to investigate these sources on its own — only that the lower court could have done so. I see little point in remanding the case to that court to consider, at its discretion, authorities not presented on initial submission. Since the case is currently before us, I will address the question of reliability under the standards I have proposed.
B. The merits
Under those standards, an independent review of the scientific literature is not permitted. So I look to the trial record and to permissible methods of taking judicial notice. It is clear from the trial record that the urinalysis technician did not know how the machine works and was not in a position to give an expert opinion on the reliability of the scientific technique upon which the machine operated. The trial court admitted the evidence because of past litigation in which the same urinalysis operator testified. But we do not have knowledge of these past instances of litigation, and they were not included in this record. And because the State did not present other expert testimony, the present record does not contain sufficient evidence of the reliability of the machine and test.
The next question is whether reliability can be judicially noticed. The reliability of
In its brief, the State cites three cases: Koenig v. Vannelli,
Penrod is an Indiana intermediate court opinion that addressed whether the trial court had erred in admitting ADx test results.
It is unclear whether the Penrod court intended a broad holding that the ADx test was reliable for all future cases or a narrow holding that the trial court did not
In Penrod, we noted that the Record contained a statement that “there is no difference between [the] Abbott Laboratory machine ... or the Seva Corporation.” Penrod, 611 N.E.2d at 654. This reference is insufficient to allow judicial notice concerning the machine at issue in this case. The Penrod decision indicates that this statement was made by the probationer or his counsel; thus, while it was a sufficient basis for our decision in Penrod, it does not form a sufficient basis for acceptance of such evidence in other cases.45
Carter involved, among other things, a question concerning the reliability of a urinalysis test named in the record as “CIVA,” which may have been an inaccurately transcribed spelling of “Seva,” which would denote the test devised by Seva Corporation.
The Indiana Supreme Court reversed.
My research has, however, uncovered a few other cases. In People v. Toran, an Illinois Court of Appeals addressed a claim that a probationer’s confession of cocaine use was involuntary.
More evidence of reliability surfaced in 1993 in McCoy v. Lockhart, an unpublished opinion by the Eighth Circuit.
Although not addressing the ADx analyzer, in Love v. State the Georgia Supreme Court discussed what appears to be the underlying test — described by that court as the “Fluorescence Polarization Eminase (FPIA)” test. In that case, expert witnesses discussed the FPIA method as one of two methods used by the Georgia Bureau of Investigation to determine the presence of marijuana in urine.
In 2002, a California court of appeals addressed the admissibility of ADx test results in People v. Nolan.
The California court’s observation that urinalysis, in the abstract, is generally accepted is not particularly helpful because there are several different methodologies for conducting urinalysis testing. General acceptance of “urinalysis testing” could be based upon tests not at issue in the case (the gas chromatography/mass spectrometry test, for example). Also unhelpful is the court’s distinction between machine and methodology, and its insistence that the machine itself need not be shown reliable. Not only does this position contradict our Kelly case, which requires that the “technique applying the theory” be shown reliable,
An issue that has arisen in some of these cases is the comparison between the ADx/ FPIA system and the EMIT system. The significance of that comparison is that the
Although the references are sparse, there is at least some indication, in litigation at the trial level, that the ADx test is comparable to EMIT in its reliability. There has been at least one hearing in which live witnesses testified that the ADx test was a reliable method of detecting cocaine usage. The ADx system has been in use for fourteen years or more and has been used in thousands of cases and across multiple jurisdictions. And I have not found a single case in which the reliability of the ADx analyzer, or the FPIA method it uses, was questioned by an expert witness or a fact-finder. Although this is some evidence of reliability, and the question is perhaps a close one, the evidence is not sufficiently extensive and convincing for a court to confidently take judicial notice of ADx analyzer’s reliability. Consequently, I agree that the Court of Appeals’s decision should be affirmed.
.Jones v. United States, 548 A.2d 35, 44 (D.C.App. 1988)("If the court finds articles tending to establish general acceptance, there will still be the risk that, despite help from the parties, the court may have failed to find relevant articles to the contrary, especially those in more obscure technical and scientific journals, rather than in law reviews”).
. Id. at 42 ("expert testimony can be helpful to update and critique some of the information available through published articles and judicial decisions”).
. See United States v. Bonds, 12 F.3d 540, 553 (6th Cir. 1993)(refusing to take judicial notice on appeal of a NRC report because the Gov-
. United States v. Beasley, 102 F.3d 1440, 1445 (8th Cir. 1996), cert. denied, 520 U.S. 1246, 117 S.Ct. 1856, 137 L.Ed.2d 1058 (1997); Turner v. State, 746 So.2d 355, 362 (Ala.l998)(citing Beasley); People v. Leahy, 8 Cal.4th 587, 34 Cal.Rptr.2d 663, 677, 882 P.2d 321 (1994); State v. O’Key, 321 Or. 285, 899 P.2d 663, 672-673 (1995).
. See, Colleen M. Barger, On the Internet, Nobody Knows You’re A Judge: Appellate Courts’ Use of Internet Materials, 4 Journal of Appellate Practice and Process 417 (Fall 2002).
.Id. at 435.
. Mata v. State, 46 S.W.3d 902, 910 (Tex.Crim.App. 2001)(citing Emerson v. State, 880 S.W.2d 759 (Tex.Crim.App.), cert. denied, 513 U.S. 931, 115 S.Ct. 323, 130 L.Ed.2d 284 (1994)). On appeal, scientific literature has generally been used as support for taking judicial notice of the reliability of a scientific fact, device, or process. See Emerson, 880 S.W.2d at 764—767. However, we have also referred to taking judicial notice of the treatises themselves, id. at 765 n. 1, and the "learned treatise” exception to the hearsay rule recognizes judicial notice as a method of proving a learned treatise’s reliability. See Tex.R. Evid. 803(18).
. Id. at 40.
. Id. at 46.
. Kelly v. State, 824 S.W.2d 568, 573 (Tex.Crim.App. 1992).
. Emerson v. State, 880 S.W.2d at 764—765.
. Weatherred v. State, 15 S.W.3d 540, 542 n. 5 (Tex.Crim.App. 2000)(citing Emerson)
. Court’s opinion at 31-32.
. See State v. Mercado, 972 S.W.2d 75, 77 (Tex.Crim.App. 1998).
. See Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 592 n. 11, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993); City of Topeka v. Zufall, 40 Kan. 47, 19 P. 359, 360 (1888).
. Daubert, 509 U.S. at 592 n. 11, 113 S.ct. 2786.
. City of Topeka, 19 P. at 360.
. See Daubert and City of Topeka, cited above. There might, on rare occasions, be a situation in which the reliability of a scientific theory or technique is established at trial but then, during the appeal, the unreliability of the theory or technique becomes apparent. If the unreliability of the theory or technique is truly established, and not just hypothesized or questioned, it is likely that the appellate court could take judicial notice of that fact as a matter of common or general knowledge.
. Emerson, 880 S.W.2d at 767-768; Jones, 548 A.2d at 41-46; United States v. Martinez, 3 F.3d 1191, 1197 (8th Cir. 1993), cert. denied, 510 U.S. 1062, 114 S.Ct. 734, 126 L.Ed.2d 697 (1994); United States v. Youngberg, 43 M.J. 379, 385-386 (CAAF 1995); State v. Vliet, 95 Hawai’i 94, 19 P.3d 42, 61 (2001); State v. Taylor, 694 A.2d 907, 911-912 (Me. 1997); State v. Kinney, 171 Vt. 239, 762 A.2d 833, 841-842 (2000).
. Kinney, 762 A.2d at 841.
. Id. at 841-842.
. 955 F.2d 786, 799 (2nd Cir.), cert. denied, 506 U.S. 834, 113 S.Ct. 104, 121 L.Ed.2d 63 (1992).
. Martinez, 3 F.3d at 1194 & 1197; see also Beasley, 102 F.3d at 1445.
. 548 A.2d at 44 (citing cases).
.While it is true that the Texas standard of proof for determining scientific reliability— clear and convincing — is higher than in most states, that is simply a factor to take into account in determining whether the out-of-state litigation is sufficiently persuasive for Texas courts to rely upon.
.Youngberg, 43 M.J. at 385-386; State v. Fleming, 698 A.2d 503, 506-507 (Me. 1997), cert. denied, 522 U.S. 1063, 118 S.Ct. 725, 139 L.Ed.2d 664 (1998)("we join the overwhelming number of jurisdictions that have found the overall theory and techniques of DNA profiling scientifically reliable if conducted in accordance with appropriate laboratory standards and controls"); see also Johnson v. State., 12 S.W.3d 258, 262-263 (Ky. 1999)(overwhelming acceptance of microscopic hair analysis by other jurisdictions).
. See Jakobetz, supra.
. Under similar circumstances, in which a trial court referred to the test before it as "apparently routine and ... sufficiently cemented to be employed in the manner we employ it at this time,” the District of Columbia Court of Appeals remarked, "That is not much of a record, if any, to sustain the general acceptance [of the scientific test].” Jones, 548 A.2d at 43.
. Perez described the Adx analyzer as utilizing the “Fluorescence Polarization Immunoassay” method of testing.
. The test conducted by the ADx machine is sometimes also referred to as the "ADx test.”
. 971 F.2d 422 (9th Cir. 1992).
. 611 N.E.2d 653 (Ind.App., 2nd Dist. 1993).
. 706 N.E.2d 552 (Ind. 1999).
.Id. at 422 n. 1.
. Id.
. See Penrod, generally.
. The Indiana court’s opinion is not completely clear on when the concession was made.
. 611 N.E.2d at 654 (ellipsis in original).
. Id.
. Previously cited in this opinion, ante.
. Penrod, 611 N.E.2d at 654.
. Id.
. Carter v. State, 685 N.E.2d 1112, 1115 n. 4 (Ind.App., 2nd Dist. 1997), reversed, 706 N.E.2d 552 (Ind. 1999).
. Id. at 1115.
. Id. at 1115 n. 4.
. Id. at 1116-1117 (Friedlander, J. dissenting).
. Carter, 706 N.E.2d at 554-555.
. Id. at 554.
. Id.
. 219 Ill.App.3d 991, 162 Ill.Dec. 632, 580 N.E.2d 595 (2nd Dist. 1991).
. Id. at 598-599.
. Id. at 597.
. Id.
. 1993 U.S.App. LEXIS 23953 (8th Cir. 1993)(unpublished).
. Id.
. Id. at *2-*3.
.Id. at *4.
. Id.
. Id. at *3.
. 271 Ga. 398, 517 S.E.2d 53, 56 (Ga. 1999).
. Wilkinson v. Times Mirror Corp., 215 Cal.App.3d 1034, 264 Cal.Rptr. 194, 196 (1st Dist., 3rd Div. 1989).
. Id.
. 95 Cal.App.4th 1210, 116 Cal.Rptr.2d 331 (2nd Dist., 6th Div. 2002).
. Id. at 334.
. Id.
. Id.
. Nolan, 116 Cal.Rptr.2d at 334.
. Id. at 335.
. Id. at 334.
. 807 F.2d 753 (8th Cir. 1986).
. Nolan, 116 Cal.Rptr.2d at 334.
. People v. Kelly, 130 Cal. Rptr. 144, 549 P.2d 1240 (1976).
. Frye v. United States, 293 F. 1013 (D.C.App. 1923).
. Nolan, 116 Cal.Rptr.2d at 334.
. See Kelly v. State, 824 S.W.2d at 573.
. Jones, 548 A.2d at 44-46 (citing cases).
. Id.
Opinion of the Court
OPINION
The present case involves the admissibility of scientific evidence under Texas Rule of Evidence 702 and Kelly v. State.
1) Must a party seeking to introduce evidence of a scientific principle always present evidence sufficient to satisfy the test of Kelly v. State, 824 S.W.2d 568 (Tex.Cr.App. 1992), regardless of the particular scientific principle?
2) Where either the Court of Criminal Appeals or a court of appeals has determined the validity of a particular scientific principle and a technique applying that principle, must a party subsequent^ ly seeking to introduce evidence based upon that scientific principle nevertheless satisfy the first two prongs of the test of Kelly v. State, 824 S.W.2d 568 (Tex.Cr.App. 1992)?
3) Did the Court of Appeals in this case err in holding that the trial court had abused its discretion by admitting evidence of the results of a urinalysis test of the appellant’s urine sample?
The short answers to these three questions are: “No, no, and no.” Therefore, we affirm the court of appeals which held that the trial court abused its discretion in re-
I.
Appellant pleaded guilty to possession of marijuana and the trial court placed him on probation for ten years. Almost a full ten years later, the State filed a motion to revoke his probation alleging, inter alia, that appellant failed to avoid the use of controlled substances and had tested positive for marijuana on January 28, 1999.
At the revocation hearing, Alonzo Perez, a laboratory technician, testified that he tested appellant’s urine for the presence of drugs using a machine called an “ADx analyzer.” The test results were positive. Mr. Perez testified that he had worked as a urinalysis lab technician for two and a half years. He explained that he had thirty-two hours of specialized training on the ADx analyzer and about two and a half weeks of extensive on-the-job training. When asked how many urinalysis tests he had performed, he replied, “I couldn’t say. It’s just so many.”
On cross-examination, appellant asked Mr. Perez to explain the scientific theory underlying the test:
The machine uses what you call floures-cence polarization amino acid technology which deals with antigens and antibodies that are in the blood system, and the antigens being the drugs.... Well, what the machine does is, you see, the antigens are in your bloodstream. That’s the drugs, but they are not in our system long enough for your body to produce antibodies to attack them so what the company does is they send you reag-ins [sic] which you use which what they do is they inject lab rats with these drugs so they can produce the antibodies, and what happens is the antibodies attach to the antigens and then the drug machine and these antibodies have a flourescent tag on them and when the light is shown through that is what gives you the reading.
Mr. Perez testified that he had learned that the machine was ninety-five to ninety-six percent accurate, but he conceded that he did not know the technical aspects of the machine’s operation.
At the close of evidence, appellant re-urged his Rule 702 objections to Mr. Perez’s testimony and to the lab report. He argued that Mr. Perez “did not know anything about the scientific theory underlying the test, whether the scientific theory was valid, whether any techniques used in applying the theory [were] valid, whether or not the technique was properly applied in this case.” The trial court, however, ruled that the evidence was reliable and noted that Mr. Perez had testified on this subject in other cases.
The Corpus Christi Court of Appeals held that Mr. Perez’s testimony and the lab report were inadmissible because the State failed to satisfy the scientific reliability requirements set out in Kelly.
II.
A party seeking to introduce evidence of a scientific principle need not
Similarly, once some courts have, through a Daubert/Kelly “gatekeeping” hearing, determined the scientific reliability and validity of a specific methodology to implement or test the particular scientific theory, other courts may take judicial notice of the reliability (or unreliability) of that particular methodology.
Trial courts are not required to reinvent the scientific wheel in every trial. However, some trial court must actually examine and assess the reliability of the particular scientific wheel before other courts may ride along behind. Some court, somewhere, has to conduct an adversarial gatekeeping hearing to determine the reliability of the given scientific theory and its methodology.
In this case, appellant objected under Rules 702-705 to the technician’s testimony concerning the results produced by an ADx analyzer testing machine. Appellant did not argue that the underlying scientific theory of urinalysis, as a mode of determining whether a person has consumed a certain substance, is scientifically invalid.
There has been no proper predicate to establish the ... reliability of the testing procedures and this gentleman has not been qualified as an expert. We don’t know anything about the machine, whether it’s reliable. Based on Rule 702 and Rule 705, I would object that this burden by the State has not been met, Your Honor.
The trial court simply stated:
The procedures meet the requirements of law. The Court has upheld the procedure in other cases that the witness Alonzo Perez testified to.
The fact that a trial court has allowed some type of scientific testimony by a particular witness before (perhaps without objection) does not mean that the witness’ testimony is, ipso facto, scientifically reliable in this case. Nor does the fact that the trial court has allowed this witness to testify to these procedures before explain how or why the ADx machine is a scientifically reliable one for determining the presence of a controlled substance. It may well be scientifically reliable, but the trial court’s statement that he has allowed this testimony before does not make it so. Perhaps the trial judge had previously conducted numerous Daubert/Kelly gatek-eeping hearings on precisely this issue and had repeatedly found it scientifically reliable. If he had, then either the State or the trial judge should put that on the record along with materials from those previous hearings.
Thus, the Corpus Christi Court of Appeals did not err. It found that the trial court abused its discretion in admitting the results of “an ADX analyzer” without any showing of its scientific reliability or any reliance upon other scientific materials or judicial opinions which had found “an ADx analyzer” a reliable methodology for determining whether a person does or does not have marijuana in his body.
In his brief to this Court, the State Prosecuting Attorney presents a plethora of cites to scientific articles and learned treatises, as well as to some cases from other jurisdictions concerning this general area of scientific endeavor. This is swell stuff. The trial court should have been given this material, and appellant should have been allowed an opportunity to cross-examine any witnesses who sponsored it. The trial court hearing is the main event for Daubert/Kelly gatekeeping hearings; it is not a try-out on the road to an appellate scientific seminar.
The State had the burden of proof at trial (or, as in this case, at the probation revocation hearing) to show, by clear and convincing evidence, that the ADx analyzer is a reliable method of determining the presence of marijuana in a person’s body.
Although appellate courts may take judicial notice of other appellate opinions concerning a specific scientific theory or methodology in evaluating a trial judge’s Daubert/Kelly “gatekeeping” decision,
Therefore, we affirm the judgment of the court of appeals.
. 824 S.W.2d 568 (Tex.Crim.App. 1992).
. Hernandez, 55 S.W.3d at 705-06.
. Id. at 706 ("in an earlier case involving this same appellant we held in an unpublished opinion that urinalysis test results produced by an ADX analyzer were not admissible") (emphasis in original).
.See Weatherred v. State, 15 S.W.3d 540, 542 n. 4 (Tex.Crim.App. 2000) ("once a particular type of scientific evidence is well established as reliable, a court may take judicial notice of that fact, thereby relieving the proponent of the burden of producing evidence on that question”); Emerson v. State, 880 S.W.2d 759, 764 (Tex.Crim.App. 1994); see also United States v. Jakobetz, 955 F.2d 786, 798-800 (2d Cir. 1992) (upholding admission of results of DNA profiling analysis after eight full days of hearings on the reliability of the RFLP analysis, the fixed-bin analysis, and the statistical interpretation of the proffered results; encouraging courts facing a similar issue in the future to take judicial notice of the general theories and specific techniques involved in DNA profiling). See generally Christopher B. Mueller & Laird C. Kirkpatrick, Federal Evidence § 353 at 663 (2d ed. 1994). Professors Mueller and Kirkpatrick note that:
Commentators argued for years that the general acceptance standard [of Frye] is better suited to the situation where a technique, approach, or body of knowledge is so well-established that courts can safely take judicial notice of its validity on the basis of widely disseminated information and precedent. Sometimes the track record in litigation of various kinds of scientific evidence also suffices to enable courts to take judicial notice that testimony in other suits demonstrates or undermines validity of the process or technique.
Id. (footnotes omitted); see also 1 McCormick, Evidence § 203 (Strong ed. 1992) (general acceptance is "a proper condition for taking judicial notice of scientific facts, but it is not a suitable criterion for the admissibility of scientific evidence”).
. See id.
. We have no "bright line" judicial rule for when a scientific theory or technique becomes so widely accepted or persuasively proven that future courts may take judicial notice of its reliability. However, the more extensive the gatekeeping hearing, the more noted and numerous the experts who testify, submit, affidavits, or otherwise provide information, the more scientific material (both pro and con) that is consulted and discussed at a seminal gatekeeping hearing, the more likely it is that a reviewing court will declare that future trial courts may take judicial notice of the validity or invalidity of that extensively-litigated scientific proposition.
. For example, either the proponent or opponent of specific scientific evidence might prepare a brief containing excerpts of testimony from other Daubert/Kelly hearings, appropriate affidavits, cites to scientific materials and judicial cases so that when and if the issue next arises, the party is already prepared for recurring Daubert/Kelly challenges.
. Hernandez, 55 S.W.3d at 705-06; but see id. at 707-08 (Hinojosa, J., dissenting) (citing cases from other jurisdictions which have held urinalysis testing in general and the ADx analyzer in particular scientifically reliable).
.See Kelly v. State, 824 S.W.2d 568, 573 (Tex.Crim.App. 1992) ("before novel scientific evidence may be admitted under Rule 702, the proponent must persuade the trial court, by clear and convincing evidence, that the evidence is reliable and therefore relevant”); see also Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 592, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993) ("[f]aced with a prof
. The State’s legitimate concern at the probation revocation hearing in this case could have been that it was not, at that moment, prepared to conduct a DaubertIK&lly hearing on the reliability of the ADx machine because it had not been given any pre-hearing notice that appellant might contest its scientific reliability. See Judge Harvey Brown, Procedural Issues under Daubert, 36 Hous. L.Rev. 1133, 1142-44 (1999) (discussing advantages and disadvantages of pretrial Daubert hearings and concluding that "courts should normally require parties to make reliability challenges at least thirty days before trial”). In that case, the trial court might well have given the State a continuance to produce testimony, scientific material, or cases to support its position that the ADx machine is a scientifically reliable one.
. Although a trial judge, like an appellate judge, may not be a trained scientist, the trial judge at least has both parties and their witnesses before him. He may ask questions of the expert witnesses, request more information, ask for additional briefing, or seek clarification concerning the scientific state of the art and reliable sources in the particular field. See E.I. du Pont de Nemours & Co. v. Robinson, 923 S.W.2d 549, 558 (Tex. 1995) (during Rule 104(a) Daubert hearing, trial court need not follow rules of evidence, except those relating to privileges, and should "freely ask questions” of the expert). He is Johnny-on-the-spot. He need not rely solely upon admissible evidence in conducting his "gatekeep-ing” function (see TexR. Evid. 104(a)), but at least the parties have an important role in assisting and guiding him in determining the scientific reliability of the information. See Daubert, 509 U.S. at 579 n. 10, 113 S.Ct. 2786 (noting that "gatekeeping” hearings are conducted under Rule 104(a) in which the trial court is not bound by the rules of evidence).
Appellate judges, on the contrary, cannot question the witnesses, cannot be assisted by live experts or by the parties’ presentation of scientific materials which they believe are reliable and up-to-date, or by factual or scientific distinctions found in cases from other jurisdictions.
. Of course, had the court of appeals (or another Texas appellate court) already stated that it would take judicial notice of the scientific reliability of the ADx analyzer methodology, then both the trial court or the court of appeals could have relied upon that prior published opinion for support. Here, however, the court of appeals had explicitly found Mr. Perez's ADx testimony inadmissible in an earlier, unpublished opinion. See note 3 supra.
. Reliance, in Texas criminal proceedings, upon judicial opinions from non-Texas jurisdictions for purposes of judicial notice of the validity of scientific theories or methodologies may be problematic because this Court has decreed that the proponent of expert testimony must prove its reliability by "clear and convincing” evidence. Kelly, 824 S.W.2d at 573. Most other American jurisdictions use the "preponderance of the evidence” standard normally used under Rule 104(a). See,
Dissenting Opinion
dissenting in which HERVEY, J., joined.
I agree with the Court’s answers to the State’s first and second grounds for review. But I would answer the third ground “perhaps,” and remand to the Court of Appeals for further review.
In its third ground, the State argues that the Court of Appeals erred because in this case, the scientific theory and technique behind the ADx analyzer are well-established. In support of its argument, the State relies on scientific literature which it did not present to the trial court or to the Court of Appeals.
The Court of Appeals conducted an abuse of discretion review, confining itself to the trial record, and found nothing to establish the reliability of the scientific theory or technique. The dissent, on the other hand, conducted a de novo review, considering scientific literature outside the record, and found the science reliable.
A majority of this Court concludes that the State’s literature is “swell stuff’
But determining the proper standard of review for Kelly claims is a complicated endeavor. While we have previously stated that it is an abuse of discretion standard,
The confusion began when the Supreme Court decided Daubert but did not set forth the appropriate standard of review on appeal.
Courts responded to the confusion in various ways. In Florida, the court retained the Frye standard and reviewed the trial court’s “general acceptance” conclusion de novo.
Before Daubert, the Maryland Supreme Court had explained that “[t]he answer to the question about the reliability of a scientific technique or process does not vary according to the circumstances of each case. It is therefore inappropriate to view this threshold question of reliability as a matter within each trial judge’s individual discretion.”
Illinois also continued to follow Frye, not because of any reasoned formal decision to do so but simply because litigants there did not argue for adopting the Daubert test.
Federal courts also expressed confusion after Daubert. The Sixth Circuit was particularly torn, with one panel setting forth a three-fold standard of review, and a second panel rejecting it. The first panel explained that the abuse-of-discretion standard of review “does not adequately describe the standard of review required by the Federal Rules of Evidence for the
But the other panel disagreed with this approach, concluding that the three-tiered standard of review lacked any precedential support.
Several states adopted this hybrid standard of review, looking de novo at the trial court’s determination that a theory or technique was reliable, but reviewing the application of the science in the particular case for an abuse of discretion. The West Virginia Supreme Court held that “[t]he trial court’s determination regarding whether the scientific evidence is properly the subject of scientific, technical, or other specialized knowledge is a question of law that we review de novo. On the other hand, ... [ajppellate review of the trial court’s rulings under the relevancy requirement is under an abuse of discretion standard.”
The Oklahoma Court of Criminal Appeals agreed. It concluded that, “[ajfter ... considering the permanent impact of a trial judge’s decision to admit novel scientific evidence, we find we should subject that decision to an independent, thorough review and not simply ask whether an abuse of discretion was committed.” The court, quoting the District of Columbia court, explained that, “[generally, the decision whether or not to admit expert testimony is addressed to the sound discretion of the trial court. Where the question of the general acceptance of a new scientific technique is raised, however, the proponent will often be asking the court to establish the law of the jurisdiction for future cases_Accordingly, in recognition of the fact that the formulation of the law of this jurisdiction is a quintessentially appellate function, we engage in a broad review of the trial judge’s determination whether the forensic use of DNA technology has gained general acceptance. In doing so, we may consider not only expert evidence of record, but also judicial opinions in other jurisdictions, as well as pertinent legal and scientific commentaries.”
Massachusetts also set forth a dual standard of review, reviewing the issue of scientific validity de novo but reviewing the application of the technique with deference
New Jersey agreed. In State v. Harvey, that state’s Supreme Court acknowledged that “[generally, appellate courts review a trial court’s determination of the admissibility of evidence for an abuse of discretion.”
During this time period, legal writers rushed to criticize Daubert and urge the Supreme Court to adopt a de novo standard of review. One writer warned that “[ijf Daubert decisions are reviewed [for an abuse of discretion] ..., inconsistent decisions concerning the admissibility of novel scientific testimony may go unchecked from jurisdiction to jurisdiction and from judge to judge. This inconsistent standard of review inevitably may ... confound efforts to provide uniformity under the Rules.”
Another author urged “courts ... [to] consider developing a hybrid approach in which appellate courts review de novo those decisions involving general scientific propositions, but allow trial courts greater discretion with regard to the particular facts of each case.”
[e]xamination of scientific theories or methodologies to determine whether they have evolved sufficiently to amount to scientific knowledge is a task that lends itself to de novo appellate review. Such an exercise would have broad implications on subsequent consideration of the same methodology in future litigation. District court rulings on the second prong of Daubert (the fit requirement), which requires consideration of specific facts in a case, would still be reviewed under an abuse of discretion standard. But de novo appellate review of district court findings on the scientific knowledge prong of Daubert would create a body of appellate opinions that carefully review scientific theories and methodologies. As appellate courts repeatedly face the same sorts of scientific evidence, more uniform adjudication at the trial and appellate levels will result. In addition, careful appellate scrutiny would permit consideration and development of distinct validation criteria for expert testimony relating to different scientific or technical disciplines. Finally, appellate courts are also well situated to consider the broad public policy issues associated with admissibility determinations.32
In 1997, in General Elec. Co. v. Joiner,
After Joiner, most courts employ an abuse of discretion standard of review. The Sixth Circuit put the dispute in that circuit “to rest” and adopted an abuse of discretion standard.
But not every state court danced to the Supreme Court’s tune. An Arizona appellate court continued to apply a de novo standard of review without acknowledging Joiner.
The Alaska Supreme Court followed Joiner in applying an abuse of discretion standard of review, but its decision was met with vigorous dissent. Justice Fabe contended that “[t]he determination of whether a general scientific proposition or process is reliable should not vary from case to case or from judge to judge.”
Moreover, the critiques of Joiner were many. One legal writer complained that “[t]he Court gave trial judges too much discretion on a topic they know little about, with no guidance for making the admissibility decisions. The result will undoubtedly be rampant individualized decision-making; judges will apply a number of different criteria or general principles to decide whether to permit a nonscientific expert to testify.”
One author explained that “there does not seem to be any sound basis for assuming the appellate court is any less competent in reviewing scientific evidence de novo than the trial judge. The traditional reason for deferring to the trial judge on evidentiary rulings is that the trial judge has the benefit of reviewing the demeanor of the witness to determine whether the witness is lying. Because it is not the witness’s credibility at stake in scientific evidence, but the validity of the underlying methodology and application, it is not necessary to give the trial judge’s observation any particular weight. Moreover, the jurisprudential policy issues transcending the facts of a given case are more appropriately resolved by appellate courts.”
There is good reason to believe that the Supreme Court would agree with a bifurcated standard of review. As explained previously, the Supreme Court was not faced in Joiner with deciding whether to apply a hybrid standard of review. Instead, the Court merely addressed whether the same standard of review should apply to trial court decisions admitting evidence and trial court decisions excluding evidence. That Court would likely adopt a bifurcated standard of review if the issue were directly before it.
But even if the Supreme Court firmly believes that all aspects of a Daubert claim should be reviewed on appeal for an abuse of discretion, its conclusion should not prevent us from applying a different standard of review in Texas. Indeed, our review of Kelly claims already differs substantially from the Supreme Court’s review of Dau-bert claims. First, we hold that the gatek-eeping hearing is mandatory
The abuse-of-diseretion standard is wholly inadequate in the context of Kelly claims. We should adopt a bifurcated standard of review, reviewing the reliability of a scientific theory or technique de novo, but reviewing the application of the technique in each particular case for an abuse of discretion.
Under a de novo review of a Kelly claim, the appellate court would be able to consider literature not presented to the trial court. It would be the appellate court’s duty to determine de novo whether the
Courts across the country have considered scientific literature outside the record in conducting a de novo review of Daubert claims.
Despite any implications to the contrary, “[t]rial courts are no better situated to assess the validity of scientific methods.”
In one of the earlier discussions on the topic, Kenneth Karst explains that “[a] judge without special training finds it hard to criticize an expert’s methods of gathering data or the inferences he draws from them. Yet experts are fallible. Worse, they have axes to grind — at least professional axes.”
Judge Ferren of the D.C. Appeals Court discussed this issue in depth in Dean v. District of Columbia,
He adds that “[t]he point not to be forgotten ... is that the likelihood of ex
Additionally, consulting literature outside the record as part of a de novo review permits the appellate court to change with the scientific times. Several states recognize that “[i]n the rapidly changing world of modem science, continuing research may affect the scientific community’s acceptance of a novel technology. By reviewing post-trial publications, an appellate court can account for the rapid pace of new technology. The continuing review also recognizes that general acceptance may change between the time of trial and the time of appellate review.”
As the Arizona court recognized, when an appellate court does this, “[i]t is somewhat incongruous to call the trial court’s ruling ‘error.’ ”
Finally, it is worth noting that we have previously approved reviewing scientific literature outside the record, although we did so under the theory of “judicial notice.” In Emerson v. State,
I would adopt a bifurcated standard of review on appeal. I think appellate courts should review the reliability of the scientific theory or technique de novo, and review the application of that science in the particular case for an abuse of discretion. I would remand to the Court of Appeals to give the appellate court an opportunity to apply this standard of review.
. Ante, op. at 30.
. Morales v. State, 32 S.W.3d 862, 865 (Tex.Crim.App. 2000); Hinojosa v. State, 4 S.W.3d 240, 251 (Tex.Crim.App. 1999); Griffith v. State, 983 S.W.2d 282, 287 (Tex.Crim.App. 1998); Clark v. State, 881 S.W.2d 682, 698 (Tex.Crim.App. 1994); Emerson v. State, 880 S.W.2d 759, 761 (Tex.Crim.App. 1994); Hicks v. State, 860 S.W.2d 419, 424 (Tex.Crim.App. 1993); Fuller v. State, 827 S.W.2d 919, 930 (Tex.Crim.App. 1992); Joiner v. State, 825 S.W.2d 701, 708 (Tex.Crim.App. 1992); Kelly, 824 S.W.2d at 569.
. See Alan W. Tamarelli, Jr., Recent Developments: Daubert v. Merrell Dow Pharmaceuticals: Pushing the Limits of Scientific Reliability—The Questionable Wisdom of Abandoning the Peer Review Standard for Admitting Expert Testimony, 47 Vand. L.Rev. 1175, 1196 (1994).
. Id.
. Id.
. Brim v. State, 695 So.2d 268, 274 (Fla. 1997).
. Id.
. Reed v. State, 283 Md. 374, 391 A.2d 364, 367 (1978).
. See Burral v. State, 352 Md. 707, 724 A.2d 65 (1999).
. People v. Miller, 173 Ill.2d 167, 219 Ill.Dec. 43, 670 N.E.2d 721, 731 n. 3 (1996); Donaldson v. Central Illinois Public Service Co. et al, 199 Ill.2d 63, 262 Ill.Dec. 854, 767 N.E.2d 314, 325 n. 1 (2002).
. Miller, 219 Ill.Dec. 43, 670 N.E.2d at 731-32.
. Id.
. Id. at 738 (McMorrow, J., specially concurring).
. Id. at 739.
. Id.
. Cook v. American Steamship Co., 53 F.3d 733, 738 (6th Cir. 1995).
. Id.
. United States v. Jones, 107 F.3d 1147, 1154 (6th Cir. 1997).
. Id.
. Id.
. State v. Beard, 194 W.Va. 740, 461 S.E.2d 486, 492 (1995).
. Taylor v. State, 889 P.2d 319, 332 (Okla.Crim.App. 1995), quoting United States v. Porter, 618 A.2d 629, 635 (D.C. 1992).
. Commonwealth v. Vao Sok, 425 Mass. 787, 683 N.E.2d 671, 677-78 (1997).
. Id. at 678 n. 14.
. 151 N.J. 117, 699 A.2d 596, 619 (1997).
. Id.
. Id. at 620.
. Id.
. Tamarelli, supra footnote 20, at 1196.
. Confronting the New Challenges of Scientific Evidence, 108 Harv. L.Rev. 1481, 1528 (1995).
. Jay P. Kesan, Note, An Autopsy of Scientific Evidence in a Post-Daubert World, 84 Geo. L.J. 1985, 2037-38 (1996); David L. Faigman, et al, Check Your Crystal Ball at the Courthouse Door, Please: Exploring the Past, Understanding the Present, and Worrying About the Future of Scientific Evidence, 15 Cardozo L.Rev. 1799, 1821 (1994).
. Id.
. 522 U.S. 136, 118 S.Ct. 512, 139 L.Ed.2d 508 (1997).
. Id. at 139. See also Kumho Tire Co. v. Carmichael, 526 U.S. 137, 152, 119 S.Ct. 1167, 143 L.Ed.2d 238 (1999).
. Joiner, 522 U.S. at 141-13, 118 S.Ct. 512.
. See State v. Coon, 974 P.2d 386, 405 n. 16 (Alaska 1999) (Fabe, J., concurring and dissenting).
. Morales v. American Honda Motor Co., 151 F.3d 500, 515 (6th Cir. 1998).
. Canavan’s Case, 432 Mass. 304, 733 N.E.2d 1042, 1049 (2000).
. State v. Garcia, 197 Ariz. 79, 3 P.3d 999, 1003 (App. 1999).
. Goeb v. Tharaldson, 615 N.W.2d 800 (Minn. 2000).
. Id. at 814.
. Id.
. Frye v. United States, 54 App. D.C. 46, 293 F. 1013 (D.C.Cir. 1923); State v. Mack, 292 N.W.2d 764, 768-69, 772 (Minn. 1980).
. Goeb, 615 N.W.2d at 814 (internal quotation marks omitted).
. Id. at 403.
. Id.
.Id. at 404.
. K. Issac deVyver, Comment, Opening the Door But Keeping the Lights Off: Kumho Tire Co. v. Carmichael and the Applicability of the Daubert Test to Nonscientific Evidence, 50 Case Wes. Res. L.Rev. 177, 199 (1999).
. Douglas B. Maddock, Jr., Note, Federal Rules of Evidence: Raising the Bar on Admissibility of Expert Testimony: Can Your Expert Make the Grade After Kumho Tire Co. v. Carmichael?, 53 Okla. L.Rev. 507, 513 (2000).
. Erica Beecher-Monas, Blinded by Science: How Judges Avoid the Science in Scientific Evidence, 71 Temple L.Rev. 55, 82 n. 186 (1998).
. Guzman v. State, 955 S.W.2d 85, 89 (Tex.Crim.App. 1997).
. State v. Munoz, 991 S.W.2d 818, 821 (Tex.Crim.App. 1999).
. Id. at 87; Stewart v. State, 44 S.W.3d 582, 586 (Tex.Crim.App. 2001).
. Jackson, 17 S.W.3d at 672.
. Kumho Tire Co., 526 U.S. at 152, 119 S.Ct. 1167 (trial judge needs discretionary authority to avoid unnecessary reliability proceedings in ordinary cases where reliability of expert's methods is properly taken for granted).
. Kelly, 824 S.W.2d at 573.
. Daubert, 509 U.S. at 592 n. 10, 113 S.Ct. 2786.
. Garcia, 3 P.3d at 1003(consider scientific literature outside record as part of de novo review); People v. Brown, 40 Cal.3d 512, 548, 230 Cal.Rptr. 834, 726 P.2d 516 (1985) (consider scientific literature outside record); People v. Wilds, 37 Cal.Rptr.2d 351, 358 n. 18 (App. 1995) (although appellate review is typically restricted to the record created at trial, limited de novo review of scientific theory permits the courts to consider scholarly treatises and journals which are not part of the trial record); Brim, 695 So.2d at 274 (consider scientific literature outside record as part of de novo review); Harvey, 699 A.2d at 619-20 (same); State v. Gore, 143 Wash.2d 288, 21 P.3d 262, 271 (2001) (same).
. Faigman, supra note 44, at 1821.
. Id.
. Id.
. Kenneth L. Karst, Legislative Facts in Constitutional Litigation, 1960 Sup.Ct. Rev. 75, 105 (1960).
. Id. at 106.
. 653 A.2d 307, 320-30 (D.C.App. 1995) (Ferren, J., concurring and dissenting).
. Dean, 653 A.2d at 328 (Ferren, J., concurring and dissenting) (quoting State v. Erickson, 574 P.2d 1, 6 (Alaska 1978)).
. Id.
. Id. at 330 (internal citations omitted).
. State v. Bible, 175 Ariz. 549, 858 P.2d 1152, 1189 n. 33 (1993); Harvey, 699 A.2d at 620; State v. Copeland, 130 Wash.2d 244, 922 P.2d 1304, 1312-13 (1996). See also Hadden v. State, 690 So.2d 573, 579 (Fla. 1997) (finding that an appellate court "should consider the issue of general acceptance at the time of appeal rather than at the time of trial”).
. Harvey, 699 A.2d at 620.
. Bible, 858 P.2d at 1189 n. 33.
. Id. See also Erickson, 574 P.2d at 6-7.
. 880 S.W.2d 759 (Tex.Crim.App. 1994).
. Id. at 764-65.
. 46 S.W.3d 902, 910 (Tex.Crim.App. 2001).
. Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993) (law of thermodynamics is theory properly subject to judicial notice); United States v. Beasley, 102 F.3d 1440, 1448 (8th Cir. 1996) (DNA testing was reliable under Daubert and courts could take judicial notice of that); In re Paoli Railroad Yard PCB Litigation, 35 F.3d 717, 744 n. 10 (3rd Cir.
. See footnote 4, supra.
Concurring Opinion
concurring.
We live in a time of great expansion in the world of technology. Diagnostic machines can detect and identify more kinds and increasingly smaller amounts of chemicals. In the context of criminal justice, if the chemical in question is a controlled substance, some defendant somewhere will challenge the validity of the theory and of the process used by the machine. With this case, we move toward a process of our own for the evaluation of such challenges.
It is foreseeable, perhaps even inevitable, that one trial court will hear evidence on a new process and find it reliable and another trial court will hear the same or similar evidence and rule that the process is not reliable. When that situation arises, it will fall to the appellate courts to make a ruling that applies to all trial courts. This has long been the case; the law must be uniform for all citizens in all the courts of this state.
When that time comes, the approach described in Judge Keasler’s dissent is the appropriate one. Because the law must be uniformly applied, the decision must lie with the appellate courts. Because they must make a decision, if the record does not offer sufficient data to determine whether the new process is reliable, the courts must be free to consult other sources. What if Judge A hears the testimony of Expert Z and finds the process reliable, and then Judge B hears the testimony of Expert Z and finds the process unreliable? The findings cannot both be true. It is up to the appellate courts to make the choice.
Ruling that our appellate courts are restricted to consulting the opinions of other appellate courts from other states does not really address the issue or solve the problem. If those other courts have not reviewed the literature, either in the record or on their own, de novo, they have ruled in ignorance, and to follow their conclusions would be folly. If those other courts have reviewed the literature in their effects to discern the truth, then we are relying on decisions made after reviewing the literature de novo, while forbidding the courts of this state to do that same review.
It seems far more wise to allow the appellate court, the body charged with
Our decision today begins the development of our own process for evaluation of scientific reliability; the first step is to create a record at trial that provides to an appellate court sufficient information on which to base a decision on reliability.
I join the opinion of the Court.
Reference
- Full Case Name
- Arturo Chavez HERNANDEZ, Appellant, v. the STATE of Texas
- Cited By
- 179 cases
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- Published