LARRY R. HICKS, UNITED STATES DISTRICT JUDGE.
Defendant Eric Romero-Lobato has filed a motion to preclude the testimony of Steven Johnson, a supervising criminalist in the Forensic Science Division of the Washoe County Sheriff's Office. (ECF No 51). On April 23, 2019, the Court held a Daubert evidentiary hearing concerning Johnson's qualifications and the field of firearm and tool mark examination. (ECF No. 65). For the reasons stated below, the Court denies defendant's motion to preclude and qualifies Johnson as competent to testify in the field of firearm and tool mark identification.
Defendant has been indicted with seven felonies stemming out of two separate incidents that occurred approximately two months apart. On March 4, 2018, defendant is alleged to have participated in an attempted armed robbery at the Aguitas Bar and Grill in Sparks, Nevada. (ECF No. 11 at 2). During the attempted robbery, one of two robbers, alleged to be defendant, discharged a firearm (a Taurus PT111 G2) into the ceiling of the bar while making his escape. Stemming from that incident, defendant was charged with conspiracy to commit Hobbs Act robbery, attempted Hobbs Act robbery, discharging a firearm during a crime of violence, and being a felon in possession of a firearm. (Id. at 2-3). Neither of the two suspects involved in the Aguitas robbery was apprehended following the robbery. Approximately two months later on May 14, defendant allegedly carjacked an individual at gunpoint while she was cleaning her vehicle at a Reno-area carwash. Later that night, police officers located the vehicle, a 2001 GMC Yukon, and subsequently observed
On January 11, 2019, the government gave notice that it planned to call Johnson to testify as an expert witness in the field of firearm and tool mark analysis. (ECF No. 47 at 2). Johnson would testify, inter alia, that the Taurus handgun found in the stolen Yukon following the police chase is the same gun that was used to fire a round into the ceiling of Aguitas Bar and Grill. (Id.) Defendant objected to qualifying Johnson as an expert (ECF No. 51), and the Court subsequently held a Daubert hearing to ascertain both his qualifications and the validity of his field of firearm and tool mark examination. (ECF No. 65). The Court heard testimony from Johnson on his background, training, and experience. He also testified regarding the process by which he linked the Aguitas bullet and the Taurus handgun found near defendant, commonly known as the Association of Firearm and Tool Mark Examiners method ("AFTE method"). Johnson also testified at length regarding recent developments and studies within the field prompted by two critical studies: a 2009 report from the National Research Council of the National Academy of Sciences ("NAS Report") and a 2016 report by the President's Council of Advisors on Science and Technology ("PCAST Report"). Following the hearing, the Court took the matter under advisement.
Federal Rule of Evidence 702 governs the admissibility of expert testimony in federal courts. It provides:
Rule 702 requires expert testimony to be both "relevant and reliable." U.S. v. Vallejo, 237 F.3d 1008, 1019 (9th Cir. 2001). The relevancy hurdle is a low one to meet: it simply requires that the evidence "logically advance a material aspect of the party's case." Cooper v. Brown, 510 F.3d 870, 942 (9th Cir. 2007). To determine if the principles and methods utilized are reliable, five factors have traditionally been used: (1) whether a theory or technique can be tested; (2) whether it has been subjected to peer review and publication; (3) the known or potential error rate of the theory or technique; (4) whether there are standards controlling the technique's operation; and (5) whether the theory or technique enjoys general acceptance within the relevant scientific community. Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579, 592-94, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993) (hereinafter "Daubert"). The reliability inquiry is not concerned with whether the expert's ultimate conclusions are "correct," but rather with the "soundness of his methodology." Primiano v. Cook, 598 F.3d 558, 564 (9th Cir. 2010).
Defendant attacks the AFTE method on two separate grounds. First, the defense points to the critical NAS and PCAST Reports as evidence that "firearms analysis" is not scientifically valid and fails to meet the requisite threshold for admission under Daubert and Federal Rule of Evidence 702. (ECF No. 51 at 8). Second, the defense asserts that the government's notice of intent to call Johnson should be stricken because it does not provide sufficient detail about the basis behind Johnson's conclusions or even what those conclusions are. (Id. at 8-9). The latter issue was resolved through the Daubert hearing, as Johnson testified at length regarding his methodology and conclusions and was subject to substantial cross examination. Therefore, the Court will restrict its discussion to whether the AFTE methodology meets the relevance and reliability requirements of Daubert.
For most of the twentieth century, courts generally allowed firearm examiners to testify, without many restrictions, that a bullet found at the scene of a crime was fired from a particular gun. David H. Kaye, Firearm-Mark Evidence: Looking Back and Looking Ahead, 68 CASE W. RES. L. REV. 723, 725-26 (2018). Some experts testified that that their judgments were not subject to any error rate and were essentially infallible, and others opined that it was merely possible for a particular bullet to have been fired by a particular gun. Id. But since the turn of the century, some federal courts have begun to question the AFTE methodology. In U.S. v. Green, the District of Massachusetts conducted a detailed inquiry into the AFTE method before ultimately concluding that the proposed expert's toolmark identification testimony was admissible under Daubert. 405 F.Supp.2d 104 (D. Mass. 2005). Although the court allowed the testimony into evidence, it limited the expert to only reporting his observations of the similarities and differences between the toolmarks. Id. at 124. He was prohibited from concluding that a spent shell casing came from the gun at issue in the case or even that it was likely that it did. Id. As Professor Kaye noted in his article, no other federal court has placed such severe restrictions on a firearm examiner's testimony, and the Court has not found any such cases in the year since the article was published.
But that is not to say that every federal court has allowed firearm examiners to have unfettered discretion in opining about their conclusions. In U.S. v. Monteiro, decided a year after Green, a different judge in the District of Massachusetts allowed a firearm examiner to testify with a "reasonable degree of certainty" that a particular gun fired two separate cartridges, but the examiner was prohibited from tying his conclusion to an exact statistical certainty. 407 F.Supp.2d 351, 355 (D. Mass. 2006). Three years later in U.S. v. Glynn, a judge in the Southern District of New York reached a similar conclusion. The court held that a firearm examiner could testify, but he was limited to opining that it was "more likely than not" that a particular gun fired a particular round; like the expert in Monteiro, he was prohibited from giving any degree of certainty to the validity of his conclusion. 578 F.Supp.2d 567, 574 (S.D.N.Y. 2009). In 2015, a judge in the Eastern District of New York reached the same conclusion as the Monteiro court, holding that a firearm examiner could testify, but he could not testify that he was "100% certain" that his conclusions were correct. U.S. v. Ashburn, 88 F.Supp.3d 239, 249 (E.D.N.Y. 2015). In each of these cases, including Green, the expert wishing to testify reached his conclusion through AFTE's methodology.
Defendant rests much of his challenge on the NAS and PCAST Reports, so a brief explanation of both reports is necessary. The NAS Report, released in 2009, concluded that "[s]ufficient studies have not been done to understand the reliability and repeatability" of firearm and toolmark examination methods. (ECF No. 51-6 at 9). The Report's main issue with the AFTE method was that it did not provide a specific protocol for determining a match between a shell casing or bullet and a specific firearm. (Id. at 10). Instead, examiners were to rely on their training and experience to determine if there was a "sufficient agreement" (i.e. match) between the mark patterns on the casing or bullet and the firearm's barrel. (Id.) During the Daubert hearing, Johnson testified about his field's response to the NAS Report, pointing to a 2013 study from Miami-Dade County ("Miami-Dade Study"). The Miami-Dade Study was conducted in direct response to the NAS Report and was designed as a blind study to test the potential error rate for matching fired bullets to specific guns.
In addition to the NAS Report, the defense also heavily relies on the PCAST Report in defendant's motion to preclude. That report, published in September 2016, concluded that there was only one study done that "was appropriately designed to test foundational validity and estimate reliability," the Ames Laboratory Study ("Ames Study"). (ECF No. 51-7 at 18). The Ames Study, which was reported in 2014,
Turning to the Court's analysis under Daubert, Johnson's testimony will only be admissible if it is both relevant and reliable. U.S. v. Vallejo, 237 F.3d 1008, 1019 (9th Cir. 2001). There is no question that Johnson's testimony is relevant. Evidence is relevant if it has "any tendency to make the existence of any fact that is of consequence to the determination of the action more [or less] probable than it would be without the evidence." Fed. R. Evid. 401. At trial, as he did during the Daubert hearing, Johnson is expected to testify that the bullet fired into the ceiling of the Aguitas bar came from the same gun that was found following the high-speed police chase and car crash. As defense counsel stated at the Daubert hearing, the identity of the Aguitas shooter is one of the main factual issues that must be resolved at trial. Johnson's testimony, if presumed to be true and accurate, makes it more probable that defendant was the Aguitas shooter. It is therefore relevant to the matter at hand.
Turning now to reliability, the first Daubert reliability factor asks whether a theory or technique can be tested. Daubert, 509 U.S. 579, 592-94, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). As the Supreme Court stated in Daubert, the testability element is a "key question" in determining whether expert testimony should be admitted. Id. at 593, 113 S.Ct. 2786. There is little doubt that the AFTE method of identifying firearms satisfies this Daubert element. In addition to the Miami-Dade and Ames Laboratory studies discussed in the previous section, several federal
The second Daubert reliability factor asks whether the technique has been subjected to peer review and publication. Daubert, 509 U.S. 579, 593-94, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). Although this factor is relevant, it is not dispositive, as many valid scientific techniques are relatively new and have not yet been subject to peer review. Id. During the Court's Daubert hearing, Johnson testified that AFTE publishes its own journal, the appropriately named AFTE Journal, which is subject to peer review.
The third Daubert reliability factor asks whether the technique has a known or potential rate of error. Daubert, 509 U.S. 579, 594, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). One federal court has previously held that "it is not possible" to calculate an absolute error rate for firearms analysis because "the process is so subjective and qualitative." U.S. v. Monteiro, 407 F.Supp.2d 351, 367 (D. Mass. 2006). Even so, the studies cited by Johnson in his testimony and by other federal courts examining the issue universally report a low error rate for the AFTE method. For instance, the Miami-Dade Study reported a
Although it is not defendant's burden to submit evidence showing that the AFTE method has a high error rate, the defense has not submitted any studies to counter the studies proffered by Johnson and the government, which show that the error rate is very low. Instead, the defense relies upon the NAS and PCAST Reports, seemingly content to rest on their conclusions (or rather their non-conclusions in the case of the latter). While the Court is cognizant of the PCAST Report's repeated criticisms regarding the lack of true black box tests, the Court declines to adopt such a strict requirement for which studies are proper and which are not. Daubert does not mandate such a prerequisite for a technique to satisfy its error rate element. Therefore, this factor too weighs in favor of admissibility.
The fourth Daubert factor asks whether there are standards that control the technique's operation. Daubert, 509 U.S. 579, 594, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). The defense focused a large portion of defendant's argument at the hearing to this issue, repeatedly arguing that the AFTE method was not "scientific" because the results could not be objectively obtained or quantified with a numerical probability. This argument is premised on a faulty reading of Daubert and Federal Rule of Evidence 702. The mere fact that an expert's opinion is derived from subjective methodology does not render it unreliable. See U.S. v. Ashburn, 88 F.Supp.3d 239, 246-47 (E.D.N.Y. 2015) ("the subjectivity of a methodology is not fatal under Rule 702 and Daubert"); Cohen v. Trump, 2016 WL 4543481, at *11 (S.D. Cal. Aug. 29, 2016) ("subjective opinions based on an expert's experience are proper"). Federal Rule of Evidence 702 inherently allows for an expert with sufficient knowledge, experience, or training to testify about a particular subject matter. It does not impose a requirement that the expert must reach a conclusion via an objective set of criteria or that he be able to quantify his opinion with a statistical probability. Such requirements would, in most circumstances, exclude psychologists, physicians, and lawyers from testifying as expert witnesses. Of course, a litigant would be hard pressed to make a good faith argument that the methods used by mainstream medical and legal experts are unreliable under Daubert.
As to the AFTE method itself, a main criticism of both the NAS and PCAST Reports is that firearm examiners do not reach their conclusions via objective criteria. Instead, using their training and experience, examiners use a high-powered microscope to determine if there is "sufficient agreement" between the "unique surface contours" of two toolmarks.
The AFTE itself recognizes that this method is inherently subjective.
Johnson testified that there is an objective method of identification used by some firearm examiners called the consecutive matching striae ("CMS") method. The CMS method, which is more commonly used in the western half of the country, was first introduced in 1959 by Al Biasotti in the Journal of Forensic Sciences. DANIEL L. CLARK, ET AL., NAT'L RESEARCH COUNCIL OF THE NAT'L ACADEMIES, COMMITTEE TO ASSESS THE FEASIBILITY, ACCURACY, AND TECHNICAL CAPABILITY OF A NATIONAL BALLISTICS DATABASE 65 (2008). The CMS method was later modified and refined to establish a "conservative quantitative criteria for identification" when subclass characteristics are ruled out:
Id. at 66. In other words, if an examiner utilizing the CMS method observes two or more sets of three or more consecutive matching markings on a bullet or shell casing, then he can conclude that there is a match between the discharged bullet and firearm. The CMS method, standing alone, qualifies as an objective standard under Daubert. Johnson testified that in the instant case, he used CMS in addition to the
The fifth and final Daubert factor asks whether the theory or technique enjoys general acceptance within the relevant community. Daubert, 509 U.S. 579, 594, 113 S.Ct. 2786, 125 L.Ed.2d 469 (1993). The AFTE method certainly satisfies this element. See U.S. v. Ashburn, 88 F.Supp.3d 239, 247 (E.D.N.Y. 2015) ("The AFTE theory ... has been widely accepted in the forensic science community"); U.S. v. Otero, 849 F.Supp.2d 425, 435 (D.N.J. 2012) (noting that even courts that have been critical of the AFTE method have concluded that it is "widely accepted among examiners as reliable") (citing U.S. v. Taylor, 663 F.Supp.2d 1170, 1178 (D.N.M. 2009); U.S v. Monteiro, 407 F.Supp.2d 351, 372 (D. Mass. 2006); U.S v. Green, 405 F.Supp.2d 104, 122-24 (D. Mass. 2005)). The fact that the NAS and PCAST Reports reject (or in the latter's case, fails to draw a conclusion about) the AFTE method is relevant but not dispositive. This Daubert factor is designed to prohibit techniques that have "only minimal support" within the relevant community. Daubert, 509 U.S. at 594, 113 S.Ct. 2786. Techniques do not need to have universal acceptance before they are allowed to be presented before a court. See Daubert, 509 U.S. at 588-89, 113 S.Ct. 2786 (noting how the Frye "general acceptance" requirement is nowhere to be found in Federal Rule of Evidence 702). Moreover, it is unclear if the PCAST Report would even constitute criticism from the "relevant community" because the committee behind the report did not include any members of the forensic ballistics community (ECF No. 58-2 at 2). The acceptance factor therefore weighs in favor of admitting Johnson's testimony.
Balancing the Daubert factors, the Court finds that Johnson's testimony derived from the AFTE method is reliable and therefore admissible. The only factor that does not support the admission of the testimony is the lack of objective criteria governing the application of the AFTE method. But this lack of objective criteria is countered by the method's relatively low rate of error, widespread acceptance in the scientific community, testability, and frequent publication in scientific journals. The balance of the factors therefore weighs strongly in favor of the admission of Johnson's testimony. The Court also notes that the defense has not cited to a single case where a federal court has completely prohibited firearms identification testimony on the basis that it fails the Daubert reliability analysis. The lack of such authority indicates to the Court that defendant's request to exclude Johnson's testimony wholesale is unprecedented, and when such a request is made, a defendant must make a remarkable argument supported by remarkable evidence. Defendant has not done so here.
Having found that the AFTE method is relevant and reliable, the Court now turns to whether Johnson is competent to testify in the field. The government has provided Johnson's CV, which indicates that he holds a Bachelor of Science
During the Daubert hearing, Johnson testified confidently and demonstrated that he had a comprehensive and detailed understanding of the field of firearm and tool mark examination. Given his substantial training and experience, there is little doubt that he is competent to testify. See U.S. v. Williams, 506 F.3d 151, 161 (2d Cir. 2007) (holding that a firearm examiner was properly qualified to testify because, inter alia, she had 12 years of experience, had substantial hands-on training, attended seminars on firearms identification, had previously testified as an expert witness, and had examined approximately 2,800 different types of firearms); U.S. v. Monteiro, 407 F.Supp.2d 351, 373 (D. Mass. 2006) (police sergeant was qualified as a ballistics expert despite lack of college degree and scientific training when he had on the job training by an experienced examiner, attended armorer schools, conducted hundreds of examinations, and passed a proficiency test).
IT IS THEREFORE ORDERED that defendant's motion to exclude the testimony of Steven Johnson (ECF No. 51) is
IT IS FURTHER ORDERED that Johnson is competent to testify at trial in the field of firearm and tool mark examination.
IT IS SO ORDERED.