Posts Tagged ‘DWI’

Using Other Bad Acts to Prove Malice in a Vehicular Homicide Case

Monday, November 16th, 2009

by School of Government faculty member Shea Denning

Among the most recent batch of opinions issued by the Court of Appeals was State v. Tellez, in which the court upheld the defendant’s conviction of two counts of second-degree murder and one count of felonious hit and run arising from a fatal car crash. Here are the facts: Defendant went to a party in Coats, NC around 1 p.m. on March 4, 2007, where he drank three beers. Three hours later, defendant and his friends, Castro and Childers, left the party in Castro’s car. Defendant drove and, while he was driving, began to drink a fourth beer. As defendant approached an intersection with a state highway, he slowed, but did not stop. Indeed, defendant drove around a car that had stopped at the intersection and drove straight into the path of a truck driven by Dwayne Braswell and in which Braswell’s nine-year-old son, Jerry, was a passenger. After the collision, the truck rolled several times and caught on fire. Paramedics were unable to help Mr. Braswell or his son because of the fire. Their bodies burned beyond recognition. Defendant ran from the scene. Childers told the trooper who arrived on the scene that the defendant “was drunk and ran, got scared.” But Childers testified at trial that she did not know whether Tellez “was intoxicated” and “didn’t think he was.”

Tellez argued on appeal that the trial court erred in denying his motion to dismiss the second-degree murder charge because there was no evidence that he was driving while impaired. The court rejected this contention. Noting that second-degree murder is an unlawful killing with malice but without premeditation and deliberation, the court explained that there must be an intentional act sufficient to show malice. To prove malice in operating a motor vehicle, the State must prove that the defendant intended to drive in a reckless manner that reflected knowledge that injury or death would likely result, thus evidencing depravity of mind. Conduct other than impaired driving can arise to this level of recklessness.

The Tellez court concluded that the evidence of defendant’s (1) reckless driving, (2) consumption of alcohol before and during driving, (3) prior convictions for impaired driving and driving while license revoked, and (4) flight and elusive behavior after the collision constituted substantial evidence of malice based upon depravity of mind.

That the defendant’s reckless driving and his consumption of alcohol would be considered evidence of driving in such a way that reflects knowledge that injury or death would likely result-in other words, malice-seems rather obvious. This post is focused on the latter two categories of evidence, the defendant’s prior convictions and his post-crash conduct.

North Carolina’s appellate courts have consistently held that a defendant’s prior driving convictions are admissible to pursuant to Rule 404(b) to show malice in a second-degree murder prosecution based on the defendant’s driving. See, e.g., State v. Maready, 362 N.C. 614 (2008); State v. Goodman, 147 N.C. App. 57 (2002) (Greene, J., dissenting), rev’d, 357 N.C. 43 (2003) (per curium, adopting dissenting opinion); State v. Rich, 351 N.C. 386 (2000).

As most readers know, Rule 404(b) of the NC Rules of Evidence provides that evidence of other crimes, wrongs and acts by a defendant may not be admitted to prove that the defendant acted in conformity with that bad character in committing the instant offense. In other words, a prior impaired driving conviction may not be considered by the jury as evidence that, since the defendant previously drove while impaired, he did so on this occasion as well. Despite its provisions excluding the introduction of relevant evidence of other crimes, wrongs or acts by a defendant, Rule 404(b) otherwise is a rule of inclusion. Evidence of other bad acts and crimes, if relevant, may be introduced for other purposes, including establishing the defendant’s state of mind.

While 404(b) evidence must bear similarity and temporal proximity to the instant offense, courts generally have viewed a defendant’s entire record of traffic convictions to be relevant to whether the defendant exhibited malice by driving a manner that caused a fatal accident. In Tellez, the trial court admitted evidence that defendant had previously been convicted of driving while license revoked and impaired driving.

It is not entirely clear whether North Carolina’s appellate courts would sanction the admission of evidence of a prior impaired driving conviction as evidence of malice if the conduct giving rise to the murder charge did not involve driving after consuming alcohol or some other impairing substance. In State v. Lloyd, 187 N.C. App. 174 (2007), the defendant was charged with second-degree murder after he stole a van, fled from police, drove recklessly, and crashed into another car, killing both of its occupants. Lloyd was sober, but his driver’s license was revoked. The State introduced evidence of Lloyd’s prior refusal to submit to a breath test and his accompanying arrest and conviction of impaired driving. The trial court instructed the jury that this evidence “was received solely for the purpose of showing that the defendant had the knowledge that his license was suspended” on the date of the offense and, further, that driving with a suspended license suspension was evidence of malice. The court of appeals characterized the evidence that defendant drove knowing his license revoked as “fundamental” to proving malice and held that the danger of unfair prejudice was mitigated by the trial court’s limiting instruction. The appellate court failed to explain how driving with a revoked license evidences reckless-rather than simply unlawful-behavior.

Evidence of Tellez’s behavior after the collision likewise is admissible under Rule 404(b) as probative of his depravity of mind since post-offense conduct, like prior bad acts, can be relevant to establishing the defendant’s state of mind at the time of the offense. Cf. State v. Grice, 131 N.C. App. 48 (1998) (characterizing comments by trial court at sentencing that defendant’s “total lack of remorse” as evidenced by his failure to ask whether someone was hurt in the car he crashed into “implies . . . a lack of consciousness [and] total disregard for the laws of this State” as drawing a parallel between defendant’s lack of remorse and the malice necessary to support a second-degree murder conviction).

Tellez doesn’t change the landscape of the law applicable to murder prosecutions arising from vehicle crashes, though it does provide one more set of tragic facts held to establish malice. The last portion of the opinion explains that Childers’ statements to the trooper at the scene of the crash that Tellez “was drunk” were properly admitted into evidence, notwithstanding Childers’ testimony at trial that she did not think Tellez was intoxicated. I’ve waxed on too long already, so I won’t attempt to explain how the court concluded that these statements amounted to corroboration rather than inadmissible hearsay. (Plus, I can’t figure out what these statements corroborated.) Can any of our loyal readers explain this reasoning? Anyone? Anyone? Bueller?

Sentencing in Impaired Driving Cases

Thursday, November 5th, 2009

by School of Government faculty member Shea Denning

I first encountered North Carolina’s impaired driving sentencing scheme several years ago when I worked as an Assistant Federal Public Defender for the Eastern District of North Carolina.  I represented defendants charged under the Assimilative Crimes Act, 18 U.S.C. § 13, with committing violations of assimilated state offenses on a certain federal enclave in Fayetteville. I recall trying to determine whether a defendant charged with violating the assimilated state law offense of driving while impaired was automatically entitled to a jury trial in federal court, given that the punishment for impaired driving can only exceed six months based on a finding of at least one grossly aggravating factor. I was practicing at the time in a post-Apprendi v. New Jersey (530 U.S. 466), but pre-Blakely v. Washington (542 U.S. 296) world, and I (and others) wondered:  Did G.S. 20-138.1 and 20-179 define five separate impaired driving offenses or one offense with five levels of punishment?

North Carolina’s impaired driving statutes were amended post-Blakely to require that aggravating factors that increased the maximum punishment be found by a jury (in superior court) and be proven beyond a reasonable doubt.  By affording element-like constitutional protections to these sentencing factors, the 2006 amendments largely (though not entirely) rendered academic the question of whether G.S. 20-138.1 and G.S. 20-179 defined one-or five-offenses.

While the finder of fact and burdens of proof were altered by 2006 and 2007 amendments to the impaired driving statutes, the five-level punishment structure in G.S. 20-179 (which governs sentencing for conviction of (i) impaired driving under G.S. 20-138.1, (ii) impaired driving in a commercial vehicle under G.S. 20-138.2, (iii) a second or subsequent conviction for operating a commercial vehicle after consuming alcohol under G.S. 20-138.2A, and (iv) a second or subsequent conviction for operating a school bus, school activity bus, or child care vehicle after consuming alcohol under G.S. 20-138.2B) remains intact.  Given the relative complexity of this statutory sentencing scheme, I thought the topic of sentencing in impaired driving cases might be worthy of a blog post (or two).

Let’s start with the grossly aggravating factors (GAF).  A finding of one GAF requires that the defendant receive a Level Two punishment, which bumps the statutory maximum sentence from six to twelve months.  If the fact-finder finds more than one GAF, Level One punishment, which carries a 24-month maximum, must be imposed.

There are four types of GAFs:

1.       A prior conviction for an offense involving impaired driving, defined as

  • impaired driving under G.S. 20-138.1;
  • habitual impaired driving under G.S. 20-138.5;
  • impaired driving in commercial vehicle under G.S. 20-138.2;
  • any offense under G.S. 20-141.4 based on impaired driving;
  • first- or second-degree murder under G.S. 14-17 based on impaired driving;
  • involuntary manslaughter under G.S. 14-18 based on impaired driving; or
  • a substantially similar offense committed in another state or jurisdiction

if

a.       The conviction occurred within seven years before the date of the offense for which the defendant is being sentenced;

b.      The conviction occurs after the date of the offense for which the defendant is presently being sentenced but prior to or contemporaneously with the present sentencing; or

c.       The conviction occurred in district court; the case was appealed to superior court; the appeal has been withdrawn or the case has been remanded back to district court; and a new sentencing hearing has not been held pursuant to G.S. 20-38.7.

Each prior conviction is a separate grossly aggravating factor.

2.       Driving while license revoked at the time of the offense under G.S. 20-28, and the revocation was an impaired driving revocation under G.S. 20-28.2(a).

An impaired driving license revocation is a revocation made under any of the following statutes:

  • G.S. 20-13.2: consuming alcohol/drugs or willful refusal by driver under 21
  • G.S. 20-16(a)(8b): military driving while impaired
  • G.S. 20-16.2: refused chemical test
  • G.S. 20-16.5: pretrial civil license revocation
  • G.S. 20-17(a)(2): impaired driving or commercial impaired driving
  • G.S. 20-138.5: habitual impaired driving
  • G.S. 20-17(a)(12): transporting open container
  • G.S. 20-17.2: court order not to operate (repealed effective December 1, 2006)
  • G.S. 20-16(a)(7): impaired driving out of state resulting in N.C. revocation
  • G.S. 20-17(a)(1): manslaughter or second-degree murder involving impaired driving
  • G.S. 20-17(a)(3): felony involving use of motor vehicle, involving impaired driving
  • G.S. 20-17(a)(9): felony or misdemeanor death or serious injury by vehicle involving impaired driving
  • G.S. 20-17(a)(11): assault with motor vehicle involving impaired driving
  • G.S. 20-28.2(a)(3): The laws of another state and the offense for which the person’s license is revoked prohibits substantially similar conduct which if committed in this State would result in a revocation listed under any of the above statutes.

3.       Serious injury to another person caused by the defendant’s impaired driving at the time of the offense.

4.       Driving by the defendant while a child under the age of 16 years was in the vehicle at the time of the offense.

Level Two punishment requires a minimum sentence of seven days.  If a judge suspends a Level Two sentence, the judge must impose special probation requiring an active term of at least seven days.  Level One punishment requires a minimum sentence of thirty days.  If a judge suspends a Level One sentence, the judge must impose special probation requiring an active term of at least thirty days. There is only one substitute for jail time:  A judge may order that time be served and award credit for time served as an inpatient in a facility operated or licensed by the State for the treatment of alcoholism or substance abuse. See G.S. 20-179(k1).

The rules governing credit for jail time are closely prescribed.  A judge may not award credit for the first twenty-four hours of time spend in jail pending trial. See G.S. 20-179(p).  And, while a judge may order a term of imprisonment to be served on weekends, any term of 48 hours or more must be served in increments of 48 continuous hours. Credit for jail time is given hour for hour for time actually served.  See G.S. 20-179(s)(1).

If there are no GAFs, then Level Three, Four, or Five punishment may be imposed, depending upon the relevant weight of aggravating (as distinguished from grossly aggravating) and mitigating factors.  Each of these lower-level punishments may be satisfied by conditions other than active time.  But that is a post for another day.

Ignition Interlock for All

Monday, October 26th, 2009

by School of Government faculty member Shea Denning

The New York Times published this editorial last week advocating that all people convicted of impaired driving - including first-time offenders - be required to install ignition interlocks in their vehicles.  The editorial was prompted by California Governor Arnold Schwarzenegger’s signing of legislation imposing such a requirement for several California counties.  Ignition interlock is a small electronic device wired to a car’s ignition system.  To start the ignition, the driver must blow into the device, which measures the concentration of alcohol in his or her breath.  If the amount of alcohol exceeds the established threshold, the car will not start. The driver also must submit breath samples at random intervals while driving.  According to Monitech, the only approved ignition interlock provider in North Carolina, these rolling retests are designed to deter drinking while driving as well as the ruse of leaving the car idling outside a watering hole.  If the driver fails a rolling retest, a vehicle alarm sounds for all the world to hear.

The Times editorial echoes arguments expressed by others, including Philip Cook, professor of public policy at Duke University:  one-third of impaired driving offenses involve repeat offenders and ignition interlock has demonstrated the potential to reduce this recidivism and thereby save lives. Indeed, LaDoris Cordell, a retired state court judge in California, wrote a compelling piece for Slate bemoaning the decades it had taken for her state to embrace this “common sense and basic safety” measure.  (Hat tip: Sentencing Law and Policy.)

Most states, including North Carolina, already require ignition interlock for repeat offenders and drivers deemed “high risk” due to a conviction for impaired driving based upon an alcohol concentration of 0.15 or more.  G.S. 20-179.3 mandates ignition interlock as a condition of any limited driving privilege issued to a person convicted of impaired driving based upon an alcohol concentration of 0.15 or more and permits a judge to impose ignition interlock as a condition of any limited driving privilege.  G.S. 20-17.8 requires DMV to mandate ignition interlock as a condition of restoring a driver’s license to a person convicted of impaired driving based upon (a) an alcohol concentration of 0.15 or more or (b) commission of a second impaired driving offense within seven years after a prior impaired driving conviction. The duration of the interlock requirement is one, three, or seven years, depending upon the length of the original revocation period. Pursuant to G.S. 20-28, DMV also must require ignition interlock as a condition of license restoration for persons convicted of driving while license revoked when the person’s license was originally revoked for an impaired driving offense and an assessment reveals that the person abuses alcohol.

According to the Times, 11 states now require ignition interlock for first-time offenders.  Professor Cook provides several reasons why ignition interlock has not reached its full safety potential. Judges don’t order installation, even when required. Offenders don’t install interlock even when ordered, and courts lack the resources or integration with their motor vehicle departments necessary to monitor compliance.  Finally, interlock is too expensive.  Monitech charges $70 for installation and requires that the first two months of the $60 per month equipment lease be paid at the time of installation. As a result, a person seeking to have an interlock installed in North Carolina must pay nearly $200 in up front costs.

Professor Cook opines that better oversight by and coordination among authorities would help interlock implementation, along with efforts to make the devices affordable. New Mexico, which reportedly has experienced a 65 percent decrease in impaired driving recidivism due to ignition interlock use, established a fund to help defray the cost for low-income people. Cook also advocates for tying interlock duration periods directly to substance abuse treatment requirements in order to extend the benefits of the device beyond the period of its installation.

The Times editorial concludes by suggesting that Congress condition federal highway money on states requiring ignition interlock for all convicted impaired drivers.  And though the Times does not go this far, it is certainly possible that ignition interlock technology in the coming decades will become safety equipment as standard as, say, seat belts and airbags.  Sound far-fetched?  In 2008, Volvo began manufacturing cars with fully integrated in-car “alcolocks” with the goal of preventing impaired driving.  To date, Sweden, which partially funded the technology’s development, is Volvo’s biggest market for the product.

Chime in with your thoughts and experiences on the efficacy of ignition interlock and its future.

All You Ever Wanted to Knoll, But Were Afraid to Ask

Thursday, October 15th, 2009

My colleague Shea Denning, a frequent contributor to this blog in the area of motor vehicle law, has put together the ultimate authority on all things related to State v. Knoll, 322 N.C. 535 (1988). Her paper is a must-read for officers, magistrates, jailers, and lawyers on both sides of DWI cases. It discusses Knoll and its progeny, and talks about recent statutory changes designed to eliminate dismissals under Knoll (or to secure defendants’ right of access to witness, depending on your point of view).

The paper is available here.

Officers Doing Blood Draws?

Thursday, September 17th, 2009

by School of Government faculty member Shea Denning

The Associated Press just published this story about a federal program in Idaho and Texas in which officers are trained to draw blood from people suspected of impaired driving. The notion is that blood draws counter the evidence lost as a result of breath test refusals, thereby resulting in fewer trials, more convictions and greater deterrence. And blood draws by officers save time and, perhaps, money, though there are costs for training officers in the art of the needle-stick. Arizona apparently set the trend in 1995 by cross-training some of its officers as phlebotomists, a practice that, according to this report from the National Highway Transportation Safety Administration (NHTSA), caused defense attorneys to change their advice from “just say no” to “blow, baby, blow.” (My words, not theirs.) The report noted “[a] possible concern with having an officer draw the blood is that suspects could feel coerced if an authority figure such as an officer is obtaining the sample.” But given that such suspects presumably are forced to submit to a blood draw, is coercion really an issue?

The NHTSA report included 2005 refusal rates for 37 states, Puerto Rico and the District of Columbia.  North Carolina’s rate of 20 percent was slightly below the average rate of 22 percent. Which state had the highest rate?  Here’s a hint:  Live Free or Die.  New Hampshire drivers refused breath tests at a breathtaking rate of 81 percent.

The AP reports that if the Idaho and Texas programs are successful, the NHTSA will encourage police nationwide to undergo similar training, which caused me to wonder whether this practice could be adopted in North Carolina under the state’s current implied consent laws.  The upshot:  Yes.

Law enforcement officers already may request, in their discretion, that a driver submit to a blood test “in addition to or in lieu of” a breath test.  G.S. 20-139.1(b5). And, under current law, when a blood test is requested by an officer, “a physician, registered nurse, emergency medical technician, or other qualified person” must withdraw the blood sample unless it reasonably appears that the procedure cannot be performed without endangering the safety of the person collecting the sample or the safety of the person from whom the sample is being collected. G.S. 20-139.1(c).  Law enforcement officers can obtain suspects’ blood without a warrant if they believe that the delay necessary to obtain a court order, under the circumstances, would result in the dissipation of the percentage of alcohol in the person’s blood or urine.  See G.S. 20-139.1(d1).  Moreover, G.S. 20-16.2(c) allows testing for drugs and alcohol in an implied consent case so long as the testing is lawfully carried out, regardless of whether it comports with the implied consent procedures.

A statutory amendment might be useful to clarify that police officers with proper training are “qualified person[s]” as that term is used in G.S. 20-139.1(c), but, otherwise, the practice appears to comport with the current system for obtaining blood samples from suspected impaired drivers.

So a needle-wielding cop — or a gun-toting phlebotomist — may be coming soon to a town near you.

Melendez-Diaz and Limited Privileges

Wednesday, August 26th, 2009

by School of Government faculty member Shea Denning

If a 0.15 alcohol concentration is not admitted at trial or sentencing, does it count for limited privilege purposes?

I discussed in an earlier post circumstances in which the Confrontation Clause may bar the admission at a sentencing hearing in an impaired driving case of a chemical analysis offered to prove an aggravating factor based on a 0.15 alcohol concentration. If the Confrontation Clause does require the exclusion of such evidence at sentencing upon objection by the defendant when the chemical analyst is not present to testify, it only operates to exclude the evidence for purposes of establishing an aggravating factor under the statute, which functions as the equivalent of an element of the offense of impaired driving. In contrast, to the extent the chemical analysis is offered to inform the judge’s exercise of discretion within the level of impaired driving established without reference to chemical analysis, the Confrontation Clause would not apply. This latter scenario is akin to use of evidence to inform sentencing discretion approved in State v. Sings, 182 N.C. App. 162 (2007), discussed in my earlier post.

I’d like to follow up by addressing how the exclusion of chemical analysis results based on the Confrontation Clause may affect the issuance of a limited driving privilege for a defendant with an alcohol concentration of 0.15 or more.

G.S. 20-179.3(c1) requires that any limited driving privilege issued to a person “convicted of an impaired driving offense with an alcohol concentration of 0.15 or more at the time of the offense” contain certain restrictions. First, the privilege may not become effective until 45 days after the final conviction. Second, the privilege must require ignition interlock. Third, the privilege may only allow driving to the applicant’s work or school, to court-ordered treatment or substance abuse education, and to any ignition interlock service facility. The statute provides that “the results of a chemical analysis presented at trial or sentencing shall be sufficient to prove a person’s alcohol concentration, shall be conclusive, and shall not be subject to modification by any party, with or without approval by the court.” Thus, it is clear that where a chemical analysis revealing an alcohol concentration of 0.15 or more is admitted at trial or at sentencing for purposes of proving the aggravating factor in G.S. 20-179(d)(1), any limited privilege issued to the defendant must contain the restrictions set forth in G.S. 20-179.3(c1).

But what if the results were admitted solely for the purpose of informing the judge’s exercise of his sentencing discretion? Or were not admitted at all? May the judge consider such results in awarding a limited driving privilege? The Confrontation Clause does not apply to such proceedings, which are not criminal prosecutions. Thus, the answer to these questions depends upon interpretation of the relevant statutory provisions.

As noted above, the limited privilege restrictions apply to persons convicted of an impaired driving offense with an alcohol concentration of 0.15 or more at the time of the offense. Does a defendant convicted of impaired driving and sentenced for that offense without a finding of an aggravating factor based on an alcohol concentration of 0.15 or more fall within this category? Or does this encompass only defendants whose convictions included the element-like sentencing factor of a 0.15 alcohol concentation? I think it probably means the former, particularly given that a corollary provision in subsection (g5) prescribes ignition interlock for a person whose “drivers license is revoked for a conviction of G.S. 20-138.1, and the person had an alcohol concentration of 0.15 or more.” The language in (g5) more clearly separates the requirement of a 0.15 BAC from the underlying conviction of impaired driving, indicating that the 0.15 need not have been an aggravating factor for ignition interlock to be required.

Even if this broader category of defendants is included, does G.S. 20-179.3(c1) restrict the judge to consideration only of a chemical analysis that was presented at trial or sentencing? I don’t think so. The statute says that when presented, such an analysis is conclusive and not subject to modification, but it doesn’t expressly or implicitly preclude consideration of an analysis that was not presented at trial or sentencing. Significantly, another provision of Chapter 20, § 20-17.8, requires DMV to rely on affidavits reporting chemical analysis results of 0.15 or more for purposes of requiring ignition interlock upon license restoration. Given that DMV is required to rely on affidavits regarding chemical analysis results for similar purposes that are strikingly similar to the awarding of a limited privilege, and given that the statutory scheme generally treats such analyses as reliable, it seems a reasonable conclusion that the General Assembly intended for judges to consider such results in determining whether to award a limited privilege.

But if the chemical analysis was not admitted at trial or sentencing, how is the judge apprised of that result for purposes of a limited privilege petition? A defendant convicted of impaired driving may apply for a limited privilege at or after sentencing. When a defendant applies for a privilege at sentencing, the district attorney is present and may inform the judge of the chemical analysis results. If the defendant applies for a privilege after sentencing, a hearing may not be scheduled until a reasonable time after the clerk files the application with the district attorney’s office. This notice provides the district attorney an opportunity to bring the results to the court’s attention.  But what if the district attorney fails to do so? May the judge on his own initiative take judicial notice of any chemical analysis result contained in the file for the underlying case or reported to DMV and reflected in the defendant’s driving history? I think so. Given that a person’s eligibility for a limited privilege depends in part upon the level of punishment imposed for the impaired driving offense as well as the person’s license status (see GS 20-179.3(b)(1)) and that a privilege is issued “in the discretion of the court for good cause shown,” I’m inclined to conclude that the judge may examine the file in the underlying case, including any chemical analysis results contained therein, to determine whether the defendant’s alcohol concentration render him or her a “high risk driver” subject to ignition interlock and other privilege restrictions. Of course, if the results were not admitted at trial or sentencing, the judge should afford the defendant an opportunity to proffer the reasons, if any, why the results should not be relied upon.

You Can’t Tell Just from the Smell

Monday, August 10th, 2009

by School of Government faculty member Shea Denning

I’ve been asked more than once about whether the odor of alcohol combined with a positive reading on a portable breath alcohol screening test device, such as an ALCO-SENSOR, without more, constitutes probable cause to believe that a defendant has committed the offense of impaired driving. My answer?  No.  My reasoning?

First, you can’t tell just from the smell. The state supreme court held in Atkins v. Moye, 277 NC 179 (1970), a civil action arising from a car crash, that “[a]n odor of alcohol on the breath of the driver of an automobile is evidence that he has been drinking [but] an odor, standing alone, is no evidence that he is under the influence of an intoxicant.” The court went on to explain that evidence that a driver has been drinking (which one could tell from the smell) combined with bad driving or other conduct indicating impairment is sufficient evidence to show a prima facie violation of G.S. 20-138.

Yet probable cause is a lower standard than the prima facie standard applied Atkins and requires only a fair probability that the defendant committed a crime.

The court in State v. Dark, 22 N.C. App. 566 (1974), held that an officer had probable cause to arrest the defendant for impaired driving after seeing him drive, lawfully stopping him, smelling alcohol and “observ[ing] his condition.” The facts recited in the opinion indicate that the officer immediately arrested the defendant upon smelling alcohol on his breath and that he made no other observations to support his determination that the defendant was impaired.

But Dark is a bit of an anachronism. The vehicle stop in Dark was upheld as authorized G.S. 20-183 even though the officer had no reasonable suspicion that the defendant had violated any law. A few years later the United States Supreme Court ruled in Delaware v. Prouse, 440 U.S. 648 (1979), that the Fourth Amendment prohibits officers from exercising this sort of unconstrained discretion to randomly stop vehicles.

Unlike Dark, other cases in which the courts have found probable cause of impaired driving rely upon evidence in addition to the odor of alcohol. See, e.g., State v. Tabor, 2004 WL 1964885, 166 N.C. App. 282 (2004) (unpublished op.) (finding probable cause based upon strong odor of alcohol, glassy eyes, difficulty walking and standing, difficulty retrieving license from wallet, and admission of drinking); State v. Tappe, 139 N.C. App. 33 (2000) (finding probable cause based upon vehicle crossing center line, strong odor of alcohol, glassy and watery eyes, and admission of drinking); State v. Thomas, 127 N.C. App. 431 (1997) (finding probable cause based upon red, glassy eyes, disorderly appearance, strong odor of alcohol, and information that another officer told the defendant not to drive); State v. Crawford, 125 N.C. App 279 (1997) (finding probable cause based upon semi-consciousness, drool, unfastened pants, and slurred speech); Richardson v. Hiatt, 95 N.C. App. 196 (1989) (finding probable cause based upon single car accident on a clear day, odor of alcohol, and defendant’s statement that he fell asleep); Rawls v. Peters, 45 N.C. App. 461 (1980) (finding probable cause based upon strong odor of alcohol, red, glassy eyes, staggering, difficulty touching nose); Poag v. Powell, 39 N.C. App. 363 (1979) (finding probable cause based upon driving on left side of street, red and flushed face, glassy and bloodshot eyes).

Given other outdated aspects of the decision in Dark and the ensuing cases finding probable cause based on smell-plus, I doubt that Dark can be relied upon as establishing that odor, by itself, is enough.

What about odor plus a screening test?

In State v. Rogers, 124 N.C. App. 364 (1996), the court of appeals affirmed the trial court’s determination that the officer had probable cause to believe the defendant was driving while impaired where the officer, who “had an opportunity to observe defendant” and “spoke with him,” relied upon the odor of alcohol and a single ALCO-SENSOR reading of .13. At that time, GS 20-16.3 allowed an officer to rely upon the results of an alcohol screening test in determining probable cause. The trial court had refused to consider the ALCO-SENSOR result because the officer gave only one test, when GS 20-16.3 required two. Instead, the trial court concluded that the strong odor of alcohol alone furnished probable cause. The court of appeals affirmed the finding of probable cause but relied on both the odor and the ALCO-SENSOR test, holding that the officer could rely on the results even though he didn’t comply with the statute. Rogers is significant because the appellate court chose not to rely solely on the sniff test.  And it doesn’t answer the question posed in this post because G.S. 20-16.3 was amended in 2006.

Under current G.S. 20-16.3, a law enforcement officer can use “the fact that a driver showed a positive or negative result on an alcohol screening test, but not the actual alcohol concentration result” in determining probable cause for an implied consent offense. A positive result means there is some presence of alcohol. A negative result means there is none. So, for probable cause purposes, a reading of .01 is as probative as a .08.

Does a “positive” result combined with an odor of alcohol, like the 0.13 result in Rogers, give rise to probable cause? Even without a specific alcohol concentration, a positive alcohol screening test result adds evidence that the defendant has consumed alcohol by ruling out other explanations for the odor (for example, that a beer spilled on the defendant). What it does not do is add evidence that the per se alcohol concentration is met or otherwise evidence impairment.  In essence, the alcohol screening test bolsters the smell.

Returning to the notion that you can’t tell just from the smell, my view is that the odor of alcohol combined with a positive alcohol screening test- without some evidence of impairment -does not establish probable cause of impaired driving.  Your thoughts?

Double Punishment but No Double Jeopardy

Wednesday, August 5th, 2009

by School of Government faculty member Shea Denning

Donna Defendant’s license was revoked on May 1, 2007 upon her conviction of driving after consuming in violation of G.S. 20-13.2. On January 15, 2008, Donna Defendant was charged with impaired driving and driving with a revoked license. Donna Defendant is convicted of both offenses in district court. At the sentencing hearing, the district court judge finds one grossly aggravating factor:  driving at the time of the offense while her license was revoked for an impaired driving revocation. Based on that finding, the judge imposes a Level 2 punishment for the impaired driving conviction, sentencing Donna to 12 months imprisonment.  The judge also imposes a sentence of 120 days for the conviction of driving while license revoked to run at the expiration of the sentence for impaired driving.  Donna objects, arguing that punishing her for driving while license revoked violates double jeopardy.  Donna argues that Apprendi v. New Jersey, 530 U.S. 466 (2000), and its progeny establish that aggravating factors under GS 20-179, which increase the maximum punishment that may be imposed upon a defendant convicted of impaired driving, are, in fact, elements of the offense.  The assistant district attorney argues that while aggravating factors may be treated as the functional equivalent of elements for Sixth Amendment purposes, they are not elements for purposes of applying the Blockburger test to determine whether the double jeopardy clause bars punishment for both offenses. Who has the better of these arguments?

No North Carolina court has weighed in on this question, but writing for two other justices in the plurality opinion in Sattazahn v. Pennsylvania, 537 U.S. 101, 111 (2003), Justice Scalia observed there was “no principled reason to distinguish, in this context, between what constitutes an offense for purposes of the Sixth Amendment’s jury-trial guarantee and what constitutes an ‘offence’ for purposes of the Fifth Amendment’s Double Jeopardy Clause.” The “context” for this statement in Sattazahn was the court’s analysis of whether the Double Jeopardy Clause applies to capital sentencing proceedings so as to preclude imposition of the death penalty in a subsequent trial if a jury in an earlier proceeding concludes that the state has failed to prove an aggravating circumstance.

In an unpublished opinion, the Court of Appeals of Kentucky cited this language as support for its conclusion that driving under the influence (DUI) was a lesser included offense of driving while a license is suspended for DUI.  See Thomas v. Commonwealth, 2004 WL 405951 (Ky. App. March 5, 2004) (unpublished). The court reached this conclusion because, under Kentucky law, commission of the offense of driving while a person’s license is suspended for DUI is punishable as a felony if the person had a prior conviction for the suspended license offense and was driving under the influence at the time of the instant offense. The court explained:  “[B]ecause the fact of driving under the influence influenced the maximum penalty to which [the defendant] was exposed from one year in jail to five years in the penitentiary, Apprendi requires that the fact be deemed an element of the alleged offense and not merely a sentencing factor. Thus viewed, the alleged suspended license felony . . . includes the lesser offense of DUI.” Thus, the court concluded that, under Blockburger, the offenses are the same.

Other courts have reached a different conclusion. See State v. Stephenson, 195 S.W.3d 574 (Tenn. 2006) (holding that the majority opinion in Sattazahn cannot be read to hold directly or by implication that aggravating circumstances must be included as actual elements of the offense of capital murder for purposes of the statutory elements test under Blockburger and finding the defendant’s convictions for first degree murder and conspiracy to commit first degree murder constitutionally permissible.); People v. Hogan, 114 P.3d 42 (Colo. App. 2005) (holding that second degree kidnapping when enhanced by a factor of aggravated robbery does not require that a separate conviction for the aggravated robbery be merged into the kidnapping conviction and declining to construe plurality opinion in Sattazahn as a constitutional mandate that any fact increasing the maximum penalty becomes an essential element of the offense for both double jeopardy and merger purposes).

Given that sentencing factors under GS 20-179 increase the maximum punishment for the offense of impaired driving, the better argument seems, at least to me, that such factors must be considered elements for purposes of securing a defendant’s federal constitutional rights under the Fifth and Sixth Amendments - including the right to be free from double jeopardy. Nevertheless, I think the sentence imposed upon Donna Defendant is lawful. Here’s why:

Even if aggravating factors are elements of the offense of impaired driving for purposes of Fifth Amendment as well as Sixth Amendment analyses, a defendant still may be punished in a single prosecution for impaired driving and lesser included offenses. The Double Jeopardy Clause does not prohibit multiple punishments for offenses when one is include within the other under the Blockburger test if both are tried at the same time and if the legislature specifically authorizes cumulative punishment for both offenses. See Missouri v. Hunter, 459 U.S. 359 (1983). Thus, even if the elements of two crimes are the same, a defendant may in a single trial be convicted of and punished for both crimes if it is found that the legislature intended for multiple punishments to apply. See State v. Gardner, 315 N.C. 444 (1986). And, while the court in Missouri v. Hunter referred to specific authorization for cumulative punishment, the North Carolina Supreme Court has found such authorization in the absence of an explicit statutory rule by examining legislative and judicial history and by inferring that inaction from the legislature constitutes “acquiesce[ence]” as to the conviction and punishment of both crimes in a single trial. Gardner, 315 N.C. at 462.

Before Apprendi, sentencing factors set forth in GS 20-179 were not considered elements of the substantive offense. Thus, in a pre-Apprendi world, driving while license revoked was not considered a lesser offense of impaired driving aggravated by driving while license revoked, and cumulative punishment frequently was imposed for such offenses. When the General Assembly amended GS 20-179 in 2006 to require that aggravating factors be submitted to the fact-finder and proved beyond a reasonable doubt, it did not formally reclassify these sentencing factors as “elements.” It seems likely that our appellate courts would construe the legislature’s failure to recast sentencing factors as elements, combined with the longstanding view that driving while license revoked is not a lesser included offense of impaired driving, to evince legislative intent to allow for cumulative punishment in a single trial.

What’s Blakely got to do with it? Sentencing in Impaired Driving Cases after Melendez-Diaz

Friday, July 24th, 2009

by School of Government faculty member Shea Denning

Jeff Welty blogged here and Jessica Smith published a paper here about the implications of the Supreme Court’s holding in Melendez-Diaz that forensic laboratory reports are testimonial, rendering the affiants witnesses who are subject to the defendant’s right of confrontation under the Sixth Amendment. I’ve been pondering the impact of the court’s holding on the admission of evidence for purposes of sentencing in impaired driving cases.

Suppose a defendant pleads guilty to impaired driving in district court.  The judge then holds a sentencing hearing as required by GS 20-179. The state attempts to introduce the chemical analysis (a breath test showing an alcohol concentration of .15 or more) as an aggravating factor. The chemical analyst is not present at the hearing. Assuming that Melendez-Diaz would prohibit the introduction of the objected-to affidavit at a trial in district court, does the same rule apply to sentencing in the impaired driving case?

The first question is whether aggravating factors in an impaired driving case are the functional equivalent of elements of the underlying crime. As a reminder (for those who may have been lost on a deserted island for the past decade) the Supreme Court held in Apprendi v. New Jersey, 530 U.S. 466 (2000), that any fact, other than a prior conviction, that increases the penalty for a crime beyond the statutory maximum has to be submitted to a jury and proved beyond a reasonable doubt. In Blakely v. Washington, 542 U.S. 296 (2004), the court explained that that the relevant statutory maximum is the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant. After Blakely, the General Assembly amended GS 20-179 to require that aggravating factors in impaired driving cases, which increase the maximum sentence a defendant may receive, be proved beyond a reasonable doubt and, in superior court, to require that the state provide notice of its intent to prove such factors and that the jury determine whether the factors exist. In effect, aggravating factors are now treated as elements of the offense of impaired driving.

Yeah, yeah, yeah, you are saying. This is old news. What’s it got to do with Melendez-Diaz? Here’s what. If aggravating factors are elements for purposes of affording a defendant constitutional protections secured by the due process clause and the Sixth Amendment, does the confrontation clause apply to evidence offered at a sentencing hearing to establish such factors? I think it just might.  Here’s why.

The North Carolina Supreme Court held in State v. Bell, 359 N.C. 1 (2004), that the confrontation clause applied to bar the admission of an out-of-court testimonial statement at the sentencing phase of the defendant’s capital murder trial. In Bell, the state sought to prove as an aggravating circumstance Bell’s commission of a prior crime of violence. As proof, the state called the investigating officer to testify regarding a statement given by the victim of the robbery. The court of appeals held that the trial court  erred in allowing the state to introduce the witness’s statement through the officer.

Next up is State v. Sings, 182 N.C. App. 162 (2007), where the state court of appeals declined to extend application of the confrontation clause to non-capital sentencing hearings. Now you might think, based on this description, that Sings establishes that the confrontation clause doesn’t apply at a sentencing hearing for impaired driving - since, while the punishment for impaired driving can be stiff, it isn’t capital. But I don’t think Sings can be read that broadly. In Sings, the defendant pled no contest to voluntary manslaughter and stipulated to his prior record level and three aggravating factors. The plea agreement stated that the defendant and the state would present evidence about the appropriate sentence, which the agreement stated would be within the presumptive or aggravated range. The evidence Sings objected to was unrelated to any of the stipulated aggravating factors and did not expose Sings to greater punishment than he otherwise potentially faced because of his plea arrangement.

So I think Sings leaves open the question of whether the confrontation clause applies to bar out-of-court testimonial statements admitted to prove a sentencing factor that could potentially increase a defendant’s maximum sentence.

Given that aggravating factors in impaired driving cases are treated as elements for purposes of applying the due process requirement that the standard of proof be beyond a reasonable doubt, it makes sense that the constitutional protections afforded by the confrontation clause would apply to evidence offered at a sentencing hearing to establish such factors. Particularly given that the defendant is entitled to a jury determination of aggravating factors in superior court, it seems incongruous to hold that the confrontation clause does not apply to such determinations. See, e.g., State v. Rodriguez, 754 N.W.2d 672 (Minn. 2008) (holding that because cross-examination is a core component of a defendant’s right to a jury trial, the right of confrontation applies in jury sentencing trials).

For these reasons, my answer to the question posed at the outset of this post is this:  Upon objection by a defendant, a chemical analysis may not be introduced at a sentencing hearing in district or superior court to prove an aggravating factor in an impaired driving case if the chemical analyst is not a testifying witness in that proceeding (assuming the analysis was not previously admitted at the underlying trial).

State v. Davis and Double Jeopardy v. Statutory Construction

Friday, July 10th, 2009

by School of Government faculty member Shea Denning

roadway1The court of appeals published its opinion in State v. Davis this week, a case in which it affirmed the defendant’s convictions for felony serious injury by vehicle, assault with a deadly weapon inflicting serious injury, two counts of felony death by vehicle, and two counts of second degree murder arising from a traffic accident in which two people were killed and another was seriously injured after the defendant, who was driving while impaired, crashed into their vehicle. Davis’ cumulative sentence exceeds 35 years. Most of the opinion was dedicated to the court’s analysis in support of its determination that the state presented sufficient evidence of malice to support the conviction for second degree murder and sufficient evidence of intent to support the conviction for assault with a deadly weapon inflicting serious injury. The court dismissed the defendant’s argument that the trial court violated double jeopardy principles and the “clear meaning from the statute” (Appellant’s Brief at 24) by failing to arrest judgment for his convictions of felony death by vehicle and felony serious injury by vehicle when he was also sentenced for second degree murder and assault with a deadly weapon inflicting serious injury based on the same conduct. The defendant didn’t object to the “purported double jeopardy violation” at trial; thus, the court said he failed to preserve the issue for appellate review.

And while it’s my view that the defendant could not lawfully be punished for felony death by vehicle and felony serious injury by vehicle based upon the same conduct underlying the more serious convictions for second degree murder and assault with a deadly weapon inflicting serious injury, it is clear that there was no double jeopardy violation.  Jeff Welty blogged here about the improper characterization of statutory interpretation as double jeopardy analysis, noting that there is no “general double jeopardy prohibition against convicting a defendant of both a more serious offense and a ‘lesser related’ offense, that shares some elements with the more serious offense but also has some distinct elements so that it is not a lesser-included offense.” Felony death by vehicle is not a lesser included offense of second degree murder as each offense requires proof of an element that the other does not — impaired driving for the former, and malice for the latter. The same is true for felony serious injury by vehicle and assault with a deadly weapon inflicting serious injury. The former requires impaired driving, while the latter requires assault, which can be based on conduct other than impaired driving. The seminal case conflating double jeopardy analysis with statutory construction is State v. Ezell, 159 N.C. App. 103 (2003), in which the court held that the defendant could not be convicted of and punished for assault inflicting serious bodily injury under GS 14-32.4 when, based on the same conduct, he was convicted of the more serious offense of assault with a deadly weapon with intent to kill under GS 14-32. The Ezell court based its conclusion on the language in GS 14-32.4 providing for its application “[u]nless the conduct is covered under some other provision of law providing greater punishment.” That same language appears in GS 20-141.4(b) — the punishment provisions for both felony death by vehicle and felony serious injury by vehicle. Thus, it appears that when the conduct is covered by a law providing for greater punishment, the conduct is not punishable under GS 20-141.4.

Had the issue in Davis been more clearly framed as an objection to an improper reading of the statute that led to an unlawful sentence, the court might have considered it a sentencing error subject to appellate review regardless of the defendant’s failure to object at trial. Cf. State v. Matthews, 175 N.C. App. 550 (2006) (reviewing as “sentencing error” defendant’s argument that the trial court erred in entering judgment and sentencing him for felonious larceny when the jury did not find either that the defendant was guilty of felonious breaking and entering or that the value of the goods taken was more than $1,000).