State v. Shannon Rajda / State v. Albert Lee Lape, Jr.
State v. Shannon Rajda / State v. Albert Lee Lape, Jr.
Opinion
¶ 1. In the above consolidated cases, the State appeals the trial court's interlocutory orders granting defendants' motions in limine seeking to suppress evidence of their refusal to submit to blood tests to determine if they were operating a motor vehicle under the influence of drugs (DUI). The trial court granted the motions in limine based on its conclusion that in
Birchfield v. North Dakota
, --- U.S. ----,
I. Facts and Procedural History
¶ 2. In State v. Rajda , the trial court accepted as true the following facts set forth in the State's affidavits. On September 3, 2015, a state trooper responded to a report of a motor vehicle accident in Shrewsbury, Vermont. At the scene, the trooper interviewed defendant, who stated that she "blacked out" while driving on the road and regained consciousness immediately before crashing her vehicle. She told the trooper that her driver's license had been suspended following a conviction for DUI. She also stated that she had a history of alcohol use and opiate addiction. She denied having had anything to drink before the crash, and a preliminary breath test indicated a 0.00 blood-alcohol content (BAC).
¶ 3. The trooper then arrested defendant on suspicion of DUI and driving with a suspended license. Following the arrest, a drug recognition expert evaluated defendant and determined that she was under the influence of a central nervous system depressant. When asked to submit to a blood test, defendant refused.
¶ 4. The State originally charged defendant with: DUI, third offense
1
; criminal refusal; operating a motor vehicle with a suspended license; reckless endangerment; and cruelty to a child under ten years of age. Following the
Birchfield
decision, in which the U.S. Supreme Court held that a motorist suspected of DUI could not be criminally prosecuted for refusing to take a blood test, --- U.S. ----,
¶ 5. In a February 1, 2017 decision, the trial court agreed with defendant, ruling that after the U.S. Supreme Court's decision in Birchfield, the Fourth Amendment prohibited admission of evidence of a refusal to submit to a warrantless blood test. Accordingly, the court concluded that the provision in Vermont's implied consent law explicitly allowing the introduction of evidence of a refusal to take an evidentiary test, defined as either a breath or blood test, was unconstitutional under the U.S. Constitution to the extent it applied to blood tests.
¶ 6. Two months later, the same trial court judge, by entry order, granted defendant's motion in limine in State v. Lape . As in Rajda , a drug recognition expert found defendant to be impaired after he was arrested for DUI. Defendant was initially charged with DUI-fourth offense, criminal refusal-third offense, driving with a suspended license, and possession of a narcotic drug. In response to defendant's motion in limine, the State dismissed the criminal refusal charge. The trial court concluded that no facts distinguished this case from State v. Rajda with respect to its legal analysis.
¶ 7. In each case, the State filed a motion for permission to file an interlocutory appeal, and the trial court granted the motions. We accepted the interlocutory appeals and consolidated the cases for purposes of briefing and argument.
¶ 8. On appeal, the State argues that there is no constitutional basis for excluding refusal evidence in DUI prosecutions and that the U.S. Supreme Court's decision in Birchfield strongly suggested that the evidentiary consequences of a refusal to submit to a blood test in such circumstances are not constitutionally barred. Defendants respond that: (1) the appeals should be dismissed as moot in light of an amendment, effective July 1, 2017, to Vermont's implied consent law that continues to expressly allow the admission of a refusal to submit to a warrantless breath test, but no longer expressly allows the admission of a refusal to submit to a warrantless blood test; and (2) in any event, the trial court correctly ruled that, after Birchfield, the admission of evidence at a criminal DUI prosecution of a defendant's refusal to submit to a warrantless blood test violates the Fourth Amendment of the U.S. Constitution.
II. Statutory Amendment
¶ 9. Defendants first argue that we need not resolve the constitutional issue raised in these appeals because the Legislature has amended the implied consent statute to make it clear that evidence of a refusal to take a blood test, as opposed to a breath test, may not be admitted at a criminal DUI prosecution. We disagree.
¶ 10. Under Vermont's implied consent law, any person operating a motor vehicle on a highway within the state "is deemed to have given consent to an evidentiary test of that person's
breath
for the purpose of determining the person's alcohol concentration or the presence of other drug in the blood." 23 V.S.A. § 1202(a)(1) (emphasis added). Further, a motor vehicle operator "is deemed to have given consent to the taking of an evidentiary sample of
blood
" in situations where "breath testing equipment is not reasonably available or ... the officer has reason to believe that the person is unable to give a sufficient sample of breath for testing or ...
the law enforcement officer has reasonable grounds to believe that the person is under the influence of a drug other than alcohol
."
¶ 11. In June 2016, the U.S. Supreme Court held in
Birchfield
that, absent exigent circumstances, "the Fourth Amendment permits warrantless breath tests incident to arrests for drunk driving," but does not permit the taking of warrantless blood tests either incident to an arrest for drunk driving or based on the driver's legally implied consent to submit to the test. --- U.S. ----,
¶ 12. Third, and most relevant to this appeal, is the amendment to § 1202(b). The subsection previously provided as follows: "If the person refuses to submit to an evidentiary test it shall not be given, except as provided in subsection (f) of this section, but the refusal may be introduced as evidence in a criminal proceeding." 23 V.S.A. § 1202(b) (2014) (emphasis added). After enactment of the amendment, the subsection now reads: "A refusal to take a breath test may be introduced as evidence in a criminal proceeding." 23 V.S.A. § 1202(b) (emphasis added); see 2017, No. 62, § 9.
¶ 13. Defendants argue that this change demonstrates the Legislature's intent to prohibit admitting in a criminal DUI proceeding evidence of a refusal to submit to a warrantless blood test. Defendants reason that because § 1202(b) still explicitly allows admitting evidence of a refusal to take a breath test but no longer explicitly allows admitting evidence of a refusal to take an evidentiary test, which by definition would include a blood test, the Legislature has expressed its intent to prohibit admitting evidence of a refusal to take a blood test. Defendants further argue that because amendments concerning the admissibility of types of evidence are considered procedural rather than substantive in nature, the amended statute must be applied to the instant cases, which were pending at the time of the amendment. See 1 V.S.A. § 213 ("No act of the General Assembly shall affect a suit begun or pending at the time of its passage, except acts regulating practice in court, relating to the competency of witnesses, or relating to amendments of process or pleadings."); see also
Ulm v. Ford Motor Co.
,
¶ 14. "When construing a statute, our paramount goal is to effectuate the intent of the Legislature."
State v. Love
,
¶ 15. Our review of the legislative history reveals that the Legislature enacted the 2017 amendment to § 1202 to make Vermont's implied consent law compliant with the federal constitutional constraints imposed by the U.S. Supreme Court in Birchfield. The language amending § 1202 that ultimately became part of the more comprehensive Act 62 was initially introduced before the House Committee on Transportation as H.146 and later H.511. Legislative counsel explained to the committee that the bill was drafted to amend § 1202 so that it complied with the two main holdings in Birchfield barring under the Fourth Amendment warrantless blood tests as well as criminal prosecution for a refusal to consent to a warrantless blood test. Hearing on H.146 Before House Comm. on Transp., 2017-2018 Bien. Sess. (Vt. Mar. 1, 2017), at 1:45-2:30. Committee members repeatedly asked if the amendment satisfied the constitutional requirements of Birchfield. Legislative counsel, as well as attorneys representing the Defender General's Office and the Office of States' Attorneys, agreed that it did. At one point during his testimony before the Committee, legislative counsel stated that Birchfield held if one were to refuse a blood test, the refusal could not be introduced into a criminal proceeding. Id. at 21:40-22:02. He further stated that all of the changes to the statute were necessary to comport with Birchfield. 2 Id. at 22:15.
¶ 16. Added to both H.146 and H.511 was the following statement of purpose, which was not included in the more comprehensive H.503 that became Act 62:
This bill proposes to make Vermont's implied consent statute consistent with the U.S. Supreme Court's decision in Birchfield v. North Dakota by providing that: (1) a warrant is required before a blood test can be given to a person suspected of DUI; and (2) a person cannot be criminally prosecuted for refusing to submit to the blood test.
See H.146, 2017-2018 Gen. Assem., Bien. Sess. (Vt. 2017) (bill as introduced), https://legislature.vermont.gov/assets/Documents/2018/Docs/BILLS/H-0146/H-0146%20As%20Introduced.pdf [https://perma.cc/853F-YF8X]; see also H.511, 2017-2018 Gen. Assem., Bien. Sess. (Vt. 2017) (bill as introduced), https://legislature.vermont.gov/assets/Documents/2018/Docs/BILLS/H-0511/H-0511%20As%20Introduced.pdf [https://perma.cc/DF9H-QFEG].
¶ 17. The State emphasizes that the 2017 amendment to 23 V.S.A. § 1202(b) does not explicitly prohibit the admission of a refusal to take a blood test. According to the State, construing the amendment as doing so would make it inconsistent with two other provisions of § 1202 that were left in place: (1) the provision in § 1202(d)(6) requiring officers to inform persons, among other things, that a refusal to take an evidentiary test "may be offered into evidence against the person at trial"; and (2) the provision in § 1202(f) that if a blood sample is obtained by search warrant, the refusal to take a blood test "may still be introduced in evidence, in addition to the results of the evidentiary test"-thereby retaining the notion that a refusal to take a blood test may be admitted when no test was obtained. (Emphasis added.)
¶ 18. We find little force to this argument, particularly given the fact that the Legislature also left in place the provisions in § 1201(b) - (c) criminalizing refusal to take "an evidentiary test" in certain situations, as well as the provision in § 1202(d)(6) that an officer must inform a person, among other things, that refusing to take "an evidentiary test" may result in that person being "charged with the crime of criminal refusal" if the person has a prior DUI conviction or is involved in an accident resulting in serious bodily injury or death to another. The U.S. Supreme Court in Birchfield unequivocally prohibited a separate prosecution for a refusal to take a warrantless blood test. Thus, it appears that the 2017 amendment simply failed to address all of the language in the implied consent statute that was inconsistent with that holding in Birchfield.
¶ 19. Nevertheless, we conclude that, in enacting Act 62, the Legislature's sole intent was to ensure that Vermont's implied consent law comported with the constitutional constraints imposed by the U.S. Supreme Court in Birchfield. The scope of those constitutional constraints is the precise question raised in these appeals-specifically, did those constraints extend to prohibit the admission in a criminal DUI prosecution of evidence of a refusal to submit to a blood test? Furthermore, insofar as the Legislature has not explicitly prohibited the admission of refusal evidence with respect to blood tests, the evidence is admissible in these cases unless we agree with defendants' constitutional challenge to admission of the evidence. Cf.
State v. Blouin
,
III. Fourth Amendment
¶ 20. As noted above, the question at the heart of the constitutional issue before us is whether the U.S. Supreme Court's decision in Birchfield prohibits, pursuant to the Fourth Amendment of the U.S. Constitution, admitting at a criminal DUI proceeding a defendant's refusal to submit to a warrantless blood test. Before examining Birchfield, we review prior relevant U.S. Supreme Court law.
¶ 21. Over sixty years ago, in
Breithaupt v. Abram
,
¶ 22. A decade later, in
Schmerber v. California
,
¶ 23. Seventeen years later, in
South Dakota v. Neville
,
¶ 24. In so holding, the Court expressly distinguished
Doyle v. Ohio
,
¶ 25. Three years before the
Birchfield
decision, in
Missouri v. McNeely
,
¶ 26. In support of this reasoning, the Court pointed out that the states "have a broad range of legal tools to enforce their drunk-driving laws and to secure BAC evidence without undertaking warrantless nonconsensual blood draws."
¶ 27. Against this legal background, the Court in
Birchfield
considered "whether motorists lawfully arrested for drunk driving may be convicted of a crime or otherwise penalized for refusing to take a warrantless test measuring the alcohol in their bloodstream." --- U.S. ----,
¶ 28. The Court first considered the search-incident-to-arrest exception to a warrantless search of a driver's breath or blood. In determining whether to exempt each of these searches from the warrant requirement, the Court weighed the degree to which the search intrudes upon an individual's privacy against the degree to which the search is needed to promote legitimate government interests.
¶ 29. The Court concluded, however, that the states' interests could not overcome the heightened privacy interests implicated by blood testing, which is physically more invasive and potentially provides far more information about the individual than that provided by a breath test.
¶ 30. Having concluded that the search-incident-to-arrest exception did not justify the taking of a warrantless blood sample, the Court then addressed whether implied consent laws established a consent exception to the need for a warrant. In addressing this question, the Court first recognized its approval in prior opinions "of implied-consent laws that impose civil penalties and evidentiary consequences on motorists who refuse to comply."
It is another matter, however, for a State not only to insist upon an intrusive blood test, but also to impose criminal penalties on the refusal to submit to such a test. There must be a limit to the consequences to which motorists may be deemed to have consented by virtue of a decision to drive on public roads.
¶ 31. Since
Birchfield
issued, several state courts have acknowledged that strong suggestion in holding that the Fourth Amendment does not bar admission of evidence of refusal to submit to a warrantless blood draw. For example, in
Fitzgerald v. People
,
[W]hen there has been no search, the Supreme Court has all but said that anything short of criminalizing refusal does not impermissibly burden or penalize a defendant's Fourth Amendment right to be free from an unreasonable warrantless search. We take that short leap today and conclude that introducing evidence of [the defendant's] refusal to consent to a blood or breath test to determine his BAC did not impermissibly burden his Fourth Amendment right.
People v. Vital
, No. 2016NY041707,
¶ 32. We join these courts in concluding that the Fourth Amendment does not bar admission in a criminal DUI proceeding of evidence of a refusal to submit to a warrantless blood draw. Although the Fourth Amendment protects a motorist from a nonconsensual warrantless submission to a blood draw, and the implied consent law in and of itself does not supply that consent with respect to a separate criminal prosecution for refusal, "the Constitution does not forbid 'every government-imposed choice in the criminal process that has the effect of discouraging the exercise of constitutional rights.' "
Jenkins v. Anderson
,
The criminal process, like the rest of the legal system, is replete with situations requiring the making of difficult judgments as to which course to follow. Although a defendant may have a right, even of constitutional dimensions, to follow whichever course he chooses, the Constitution does not by that token always forbid requiring him to choose.
¶ 33. "The threshold question is whether compelling the election impairs to an appreciable extent any of the policies behind the rights involved."
McGautha
,
¶ 34. The Court in
Birchfield
generally endorsed the constitutionality of implied consent laws, including the civil and evidentiary consequences stemming from those laws, but "conclude[d] that motorists cannot be deemed to have consented to submit to a blood test
on pain of committing a criminal offense
." --- U.S. ----,
¶ 35. As the Court suggested, however, the admission of evidence of a refusal to submit to a blood draw is a qualitatively different consequence with respect to its burden on the Fourth Amendment. Criminalizing refusal places far more pressure on defendants to submit to the blood test-thereby impermissibly burdening the constitutionally protected right not to submit to the test-than merely allowing evidence of the refusal at a criminal DUI trial, where a defendant can explain the basis for the refusal and the jury can consider the defendant's explanation for doing so. Moreover, the admission of refusal evidence in the context of a DUI proceeding, without directly burdening the privacy interest protected by the Fourth Amendment, 4 furthers the reliability of the criminal process and its truth-seeking function by allowing the jurors to understand why the State is not submitting an evidentiary test in a DUI prosecution. See Stevens , 154 Vt. at 619, 580 A.2d at 496 (concluding that evidence of refusal was relevant because prosecution "had to prove intoxication" and "was entitled to let the jury know that because defendant refused to perform breath or dexterity tests, the State's evidence was limited to the arresting officer's observations of defendant").
¶ 36. The implied consent statute establishes a bargain in which, in exchange for the privilege of engaging in the potentially dangerous activity of operating a motor vehicle on the highway, motorists impliedly consent to testing for impaired driving to protect the public.
State v. Morale
,
¶ 37. But allowing evidence of a refusal to submit to a blood test in the context of a DUI prosecution does not warrant the same constitutional protection. "The speculative conclusion that a citizen will consent to a search that he or she would otherwise resist solely to avoid evidentiary implications at a possible future trial seems too attenuated to meet the [U.S. Supreme] Court's test in practice." Melilli,
supra
, at 913. Indeed, as the Court in
Birchfield
pointed out, states began criminalizing refusals because the other civil and evidentiary consequences provided an insufficient incentive for motorists-most particularly repeat DUI offenders-to submit to testing. --- U.S. ----,
¶ 38. In support of the trial court's ruling, defendants cite caselaw in which courts have refused to admit evidence of a defendant's refusal to permit a warrantless search of a home or vehicle. See, e.g.,
United States v. Runyan
,
¶ 39. None of these cases, which stem from
United States v. Prescott
,
Reversed and remanded .
¶ 40. I would dismiss these appeals as moot. The Legislature has amended the implied consent statute to eliminate the provision authorizing the State to introduce evidence of a defendant's refusal to submit to a warrantless blood test. I base this conclusion on the plain language of the Legislature's 2017 statutory amendment, as well as the Legislature's purpose in amending the statute understood in light of the legislative history. Because this new evidentiary rule undisputedly applies to these pending cases, I dissent.
¶ 41. Following the U.S. Supreme Court's decision in
Birchfield v. North Dakota
, --- U.S. ----,
§ 1202. Consent to taking of tests to determine blood alcohol content or presence of other drug
(a)(1) Implied consent. Every person who operates, attempts to operate, or is in actual physical control of any vehicle on a highway in this State is deemed to have given consent to an evidentiary test of that person's breath for the purpose of determining the person's alcohol concentration or the presence of other drug in the blood. The test shall be administered at the direction of a law enforcement officer.
(2) Blood test. If breath testing equipment is not reasonably available or if the officer has reason to believe that the person is unable to give a sufficient sample of breath for testing or if the law enforcement officer has reasonable grounds to believe that the person is under the influence of a drug other than alcohol, the person is deemed to have given consent to the taking of an evidentiary sample of blood. If in the officer's opinion the person is incapable of decision or unconscious or dead, it is deemed that the person's consent is given and a sample of blood shall be taken. A blood test sought pursuant to this subdivision (2) shall be obtained pursuant to subsection (f) of this section.
(3) Evidentiary test. The evidentiary test shall be required of a person when a law enforcement officer has reasonable grounds to believe that the person was operating, attempting to operate, or in actual physical control of a vehicle in violation of section 1201 of this title.
(4) Fatal collision or incident resulting in serious bodily injury. The evidentiary test shall also be required if the person is the surviving operator of a motor vehicle involved in a fatal incident or collision or an incident or collision resulting in serious bodily injury and the law enforcement officer has reasonable grounds to believe that the person has any amount of alcohol or other drug in his or her system.
(b)If the person refuses to submit to an evidentiary test it shall not be given, except as provided in subsection (f) of this section, but theA refusal to take a breath test may be introduced as evidence in a criminal proceeding.
....
(f) If a blood test is sought from a person pursuant to subdivision (a)(2) of this section, or if a person who has been involved in an accident or collision resulting in serious bodily injury or death to another refuses an evidentiary test, a law enforcement officer may apply for a search warrant pursuant to Rule 41 of the Vermont Rules of Criminal Procedure to obtain a sample of blood for an evidentiary test. If a blood sample is obtained by search warrant, the fact of the refusal may still be introduced in evidence, in addition to the results of the evidentiary test. Once a law enforcement official begins the application process for a search warrant, the law enforcement official is not obligated to discontinue the process even if the person later agrees to provide an evidentiary breath sample. The limitation created by Rule 41(g) of the Vermont Rules of Criminal Procedure regarding blood specimens shall not apply to search warrants authorized by this section.
2017, No. 62, § 9. At issue is the impact of these amendments on the admissibility for evidentiary purposes of an individual's refusal to take a warrantless blood test.
¶ 42. The only plausible understanding of the Legislature's intent in amending 12 V.S.A. § 1202(b) is that it intended to eliminate the statute's authorization of the use in a criminal proceeding of refusal evidence with respect to blood tests. The Legislature amended a section that previously authorized evidentiary use of refusals of
both
warrantless breath and blood tests so that it only authorized evidentiary use of refusals of warrantless
breath
tests. The majority's suggestion that the State could introduce evidence of blood test refusals before the statutory amendment, and could continue to do so afterwards, renders the 2017 amendment to § 1202(b) entirely meaningless. "We presume that the Legislature intended to change the meaning of a statute when it amends it ...."
State v. Thompson
,
¶ 43. The amendment was imperfect insofar as the Legislature failed to conform all of the relevant statutory language to its amendment to § 1202(b). See, e.g.,
¶ 44. The majority doesn't lean too heavily on the language of the statute, instead relying on its understanding of the Legislature's intent. The majority reasons, essentially: (1) the Legislature intended only to bring Vermont's implied consent statute into conformity with Birchfield ; (2) the majority has concluded that Birchfield does not preclude states from allowing the use of evidence of an individual's refusal to submit to a warrantless blood test; (3) therefore, the Legislature did not intend to amend Vermont's implied consent statute to preclude the use of evidence of an individual's refusal to submit to a warrantless blood test.
¶ 45. But the legislative history candidly acknowledged by the majority knocks the legs out from under this line of reasoning. If statutory language is ambiguous, "we also look at the legislative history and circumstances surrounding its enactment, and the legislative policy it was designed to implement" in construing the statute.
Dep't of Corr. v. Human Rights Comm'n
,
¶ 46. The majority may now have concluded that this understanding of Birchfield was wrong, and that the case establishes no such requirement. But it's the Legislature's actual understanding of the constitutional constraints it sought to accommodate, not this Court's later determination of the constitutional question, that gives us insight into the Legislature's intended meaning. To say that, had the Legislature known how this Court would rule on the constitutional issue, it would not have changed the implied consent statute to preclude admission into evidence of an individual's refusal of a warrantless blood test is to substitute the majority's judgment about what the Legislature would have done if it had accurately anticipated the majority's ruling for an assessment of what it actually did given its own understanding. What the Legislature did is apparent from the language of Act No. 62, and is entirely consistent with the Legislature's apparent understanding of its constitutional responsibilities at the time it amended the statute.
¶ 47. The State does not dispute that insofar as the statute purported to amend a rule governing the admissibility of evidence, it regulates court practice and is thus applicable in proceedings subsequent to the statute's enactment, regardless of whether the statute was in effect at the time of the underlying act for which defendant was charged. See
Ulm v. Ford Motor Co.
,
¶ 48. I am authorized to state that Judge Davenport joins this dissent.
With respect to the DUI charge, both defendants were charged with operating a motor vehicle when "under the influence of any other drug [than intoxicating liquor] or under the combined influence of alcohol and any other drug," in violation of 23 V.S.A. § 1201(a)(3).
The dissent relies heavily on this passing statement from legislative counsel in arguing that the Legislature's intent was to prohibit the admission of refusals to take blood tests. As noted, however, the legislative history overwhelmingly demonstrates that the Legislature simply intended to make the implied consent statute compliant with the U.S. Supreme Court's decision in Birchfield. At best, from defendants' perspective, Birchfield was inconclusive on whether evidence of a refusal to take a blood test would be admissible in criminal DUI trials. The Legislature's decision to amend § 1202(b) so as not to either explicitly allow or disallow such refusal evidence may have been an attempt to immunize the statute against this uncertainty. In any event, the plain language of the amendment did not preclude admission of such refusals, and the Legislative history does not demonstrate that that was the Legislature's intent.
Defendants have not challenged the relevance of the refusal evidence or argued that, in the context of a criminal DUI prosecution under the implied consent law, the prejudicial impact of the evidence outweighs its probative value. See
State v. Farrow
,
Unlike the Fifth Amendment, the Fourth Amendment is aimed at protecting privacy, not self-incrimination. "[I]f the government were to introduce at trial evidence of the defendant's refusal to consent to a search to prove consciousness of guilt, the defendant perhaps will have suffered the undesirable consequence of some incremental incrimination, but the defendant's privacy-the policy behind the Fourth Amendment-will not have suffered directly at all." Melilli, supra , at 913.
Reference
- Full Case Name
- STATE of Vermont v. Shannon RAJDA State of Vermont v. Albert Lee Lape, Jr.
- Cited By
- 16 cases
- Status
- Published