Merritt v. Arizona, State of et al, No. 2:2017cv04540 - Document 438 (D. Ariz. 2020)
Court Description: ORDER granting 390 Motion for Reconsideration to preclude testimony of Lisa Peloza. Signed by Senior Judge David G Campbell on 10/22/2020.(DGC, nvo)
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1 WO 2 3 4 5 6 IN THE UNITED STATES DISTRICT COURT 7 FOR THE DISTRICT OF ARIZONA 8 9 Leslie A. Merritt, Jr., 10 Plaintiff, 11 v. 12 State of Arizona, et al., 13 No. CV-17-04540-PHX-DGC ORDER Defendants. 14 15 16 Plaintiff moves the Court to reconsider its ruling that DPS criminalist Liza Peloza 17 may testify about the ballistics test she performed as documented in her report. Doc. 390. 18 The motion is fully briefed (Docs. 406, 408, 426), and oral argument has not been 19 requested. For reasons stated below, the Court will grant the motion. 20 I. Background. 21 On September 18, 2015, DPS criminalist Christopher Kalkowski determined that 22 the bullets from the I-10 freeway shootings were forensically linked to Plaintiff’s Hi-Point 23 C9 9mm handgun. Doc. 265-1 at 72. Because the Hi-Point 9mm has a slightly oversized 24 barrel, the gun is capable of firing both 9mm (.355) and .357 caliber bullets. Doc. 406 at 5. 25 Peloza test fired .357 caliber bullets from Plaintiff’s gun for purposes of her ballistics 26 comparison “in order to obtain a more complete representation of the individual 27 characteristics left on bullets fired from [Plaintiff’s gun.]” Doc. 383-3 at 90. Peloza used 28 procedures from a recent study by one of Plaintiff’s experts, Lucian Haag. Id. (citing 1 “Hi-Point C9 9mmL Study 5 Consecutive Barrels,” Association of Firearm and Tool Mark 2 Examiners (“AFTE”) Forum); see Doc. 426-1. 3 determined that firing a .357 caliber bullet . . . through the Hi-Point model C9 would result 4 in the bullet making complete contact with each of the lands of the barrel; thus, providing 5 a more complete ‘picture’ of the individual markings made by the firearm.” Doc. 383-3 6 at 90. 7 8 9 10 11 12 13 14 According to Peloza, “[t]he study In her report dated June 16, 2016, Peloza describes the results of her testing as follows: Using laboratory ammunition components, a 357 caliber bullet was loaded into a 9mm Luger caliber cartridge case and test fired. Two test bullets were collected and labeled[.] Comparison of [two 9mm caliber bullets identified as having been fired from Plaintiff’s gun] to the newly fired ‘357 bullets’ . . . revealed additional areas of agreement which further affirm the identifications made by [Christopher] Kalkowski[.] 15 Id.; see id. at 24 (Peloza’s June 13, 2016 report stating that “[t]he ‘357 bullets’ 16 were . . . compared to the previously test fired ‘9mm bullets’ . . . strictly for the purpose of 17 providing additional documentation of the identifications previously made by C. 18 Kalkowski[.]”) (internal references omitted). 19 Defendant identified Peloza as a fact witness and disclosed the report of the test she 20 performed using .357 caliber bullets. Docs. 383 at 3, 383-3 at 24. Plaintiff moved to 21 exclude Peloza’s opinions because she was never disclosed as an expert witness. Doc. 290 22 at 2. On September 4, 2020, the Court found that Peloza’s testimony about her report was 23 in fact expert testimony under Federal Rule of Evidence 702, but that Defendant’s failure 24 to disclose her as an expert witness was harmless and she therefore may testify at trial. 25 Doc. 387 at 3 (citing Fed. R. Civ. P. 37(c)(1)). The Court did not address whether her 26 proposed testimony satisfies the requirements of Rule 702. See Docs. 382 at 4-5, 387 at 3. 27 Plaintiff now moves to preclude Peloza’s testimony under Rule 702, arguing that it 28 is not based on an accepted methodology for firearms identification. Doc. 390 at 2-5. The 2 1 Court directed Defendant to file a response, and Defendant did so on September 25, 2020. 2 Doc. 406. Plaintiff replied one week later, and Defendant filed a sur-reply on October 14. 3 Docs. 408, 426.1 4 II. Relevant Legal Standards. 5 Under Rule 702, an expert may offer “scientific, technical, or other specialized 6 knowledge” if it “will assist the trier of fact to understand the evidence,” provided the 7 testimony rests on “sufficient facts or data” and “reliable principles and methods,” and 8 “the witness has reliably applied the principles and methods to the facts of the case.” 9 Fed. R. Evid. 702(a)-(d). The proponent of expert testimony has the ultimate burden of 10 showing that the proposed testimony is admissible. See Cooper v. Brown, 510 F.3d 870, 11 942 (9th Cir. 2007); Lust v. Merrell Dow Pharms., Inc., 89 F.3d 594, 598 (9th Cir. 1996). 12 The admissibility of expert testimony under Rule 702 is a preliminary question the 13 Court must decide under Federal Rule of Evidence 104(a), and the Rule 104(a) decision 14 must be made by a preponderance of the evidence. See Daubert v. Merrell Dow Pharms., 15 Inc., 509 U.S. 579, 592 & n.10 (1993); Bourjaily v. United States, 483 U.S. 171, 175-76 16 (1987). Some cases mistakenly suggest that some of the elements in Rule 702 are jury 17 questions – that whether an expert’s opinion is based on reliable principles and methods, 18 and whether those principles and methods have been applied to the facts of the case 19 reliably, go to the weight of the evidence and should be decided by the jury after cross 20 examination and argument at trial. But the requirements of Rule 702 are conditions for 21 admissibility, and the Supreme Court has made clear that “the trial judge must determine 22 at the outset, pursuant to Rule 104(a),” whether the expert’s testimony is admissible under 23 Rule 702. Daubert, 509 U.S. at 592; see id. at 597 (the trial court acts as a gatekeeper to 24 1 25 26 27 28 Plaintiff further argues that Peloza impermissibly seeks to testify about an examination of the evidence bullets using an Evofinder. Doc. 390 at 5-6. Ballistics evidence generally is analyzed manually using an optical microscope. See United States v. Johnson, No. (S5) 16 CR. 281 (PGG), 2019 WL 1130258, at *8 (S.D.N.Y. Mar. 11, 2019). An Evofinder is an automated ballistic identification system that assertedly allows an examiner to make a more accurate identification than a traditional microscope. See Docs. 390-5 at 4-5, 406 at 3 n.1; Evofinder, Automated Ballistic Identification, http://evofinder.com/technology/ (last visited Oct. 21, 2020). Defendant makes clear in its response that Peloza will not testify about use of an Evofinder. Doc. 406 at 2-3. 3 1 ensure that “an expert’s testimony both rests on a reliable foundation and is relevant to the 2 task at hand”). Thus, the Court’s task in this order is to determine whether Defendant has 3 shown by a preponderance of the evidence that the requirements of Rule 702 have been 4 satisfied with respect to Peloza’s testimony. See id. at 592 n.10; Bourjaily, 483 U.S. 5 at 175-76; Davis v. McKesson Corp., No. CV-18-1157-PHX-DGC, 2019 WL 3532179, 6 at *3-4 (D. Ariz. Aug. 2, 2019). 7 III. Discussion. 8 Plaintiff contends that Peloza’s comparison of evidence bullets with test-fired 9 bullets of a different caliber is an experimental methodology that is not generally accepted 10 in the forensic science community. Doc. 390 at 2-3. Plaintiff claims that Haag’s study 11 involving the use of a different caliber bullet, which Peloza cited in her report, was an 12 academic endeavor designed to find out, theoretically, whether a larger diameter bullet 13 would engage more snugly against the barrel of the gun when fired. Id. at 4 (citing 14 Doc. 390-5 at 11-12). Plaintiff notes that Haag merely shared the study “anecdotally with 15 colleagues in a chat room for members of [the AFTE,]” and that the study has not been 16 published and peer-reviewed. Id. 17 Defendant counters that Peloza’s report is based on a pattern-matching firearm 18 examination, which the AFTE has recognized as an approved forensic method. Doc. 406 19 at 5; see Peloza Decl., Doc. 426-7 at 7. Under the pattern-matching method, examiners use 20 a high-powered microscope to determine whether there is “sufficient agreement” between 21 the unique surface contours of two firearm toolmarks. Id. Defendant asserts that pattern- 22 matching is an accepted and reliable ballistics methodology, noting that federal courts have 23 found expert testimony based on the pattern-matching methodology admissible under 24 Rule 702 and Daubert. Docs. 406 at 6-7, 426 at 3-6. 25 But Peloza, by her own admission, used a different method – comparing evidence 26 bullets with test-fired bullets of a different caliber. Peloza states in her June 9, 2016 27 worksheet that, “[b]ased on a method used and results obtained in a recent study [by Lucien 28 Haag,] it was decided to use that same method in order to obtain more complete markings 4 1 on test fired bullets.” Doc. 408-7 at 2. Defendant has not shown that this new method is 2 generally accepted by the community of firearms and toolmark examiners, that Haag’s 3 study has been published and peer-reviewed, or that there is a known or potential error rate 4 when comparing bullets with different calibers. See Daubert, 509 U.S. at 593-94. 5 Defendant notes that Plaintiff fails to identify a single case in which forensic 6 ballistics testimony was excluded under Daubert, and that the pattern-matching method 7 has been tested and has a very low error rate. Doc. 406 at 6 & n.2. But Plaintiff is not 8 challenging testimony based on the well-established pattern-matching method; he 9 challenges Peloza’s use of the new method purportedly proposed by Haag. Doc. 408 at 4. 10 Defendant further asserts that the AFTE Journal meets the Daubert peer review element 11 (Doc. 426 at 6), but Haag shared his study “informally with colleagues in an online forum” 12 (Doc. 408-2 at 3). Haag has made clear that his study “has not been peer-reviewed,” that 13 its purpose “was informational only[,]” and that the “technique of the study was not 14 intended or validated for any forensic use in actual criminal case work.” Doc. 408-2 at 3. 15 What is more, Haag’s study was a barrel-to-barrel comparison, not a bullet-to-bullet 16 comparison in which different size bullets were used. The study is titled “Hi Point C9 17 9mmL Study 5 Consecutive Barrels.” Doc. 426-1 at 8 (emphasis added). The purpose was 18 “[t]o investigate the possibility of carry-over (sub-class characteristics) between 19 consecutively manufactured 3-Left C9 High-Point barrels.” Id. at 10; see Doc. 408-2 at 2 20 (“In April 2016, I conducted an informal study to determine if bullets fired from 21 consecutively manufactured Hi-Point 9mm barrels would contain reproducible 22 markings.”). Peloza relies on a supplement to Haag’s study in which he used .357 caliber 23 bullets “as a means of obtaining the maximum amount of striated markings for the purpose 24 of evaluating sub-class or ‘carry-over’ from the rifling tool.” Doc. 426-1 at 275. The .357 25 bullets were not used to make a bullet-to-bullet comparison of different caliber bullets to 26 determine whether the same gun had fired the bullets. 27 Defendant relies on the AFTE’s “sufficient agreement” pattern-matching method. 28 Doc. 426 at 4; see AFTE, Theory of Identification as it Relates to Toolmarks, 5 1 https://afte.org/about-us/what-is-afte/afte-theory-of-identification) (last visited Oct. 21, 2 2020). “‘[S]ufficient agreement’ is related to the significant duplication of random 3 toolmarks as evidence by the correspondence of a pattern or combination of patterns of 4 surface contours. Significance is determined by the comparative examination of two or 5 more sets of surface contour patterns comprised of individual peaks, ridges and furrows. 6 Specifically, the relative height or depth, width, curvature and spatial relationship of the 7 individual peaks, ridges and furrows within one set of surface contours are defined and 8 compared to the corresponding features in the second set of surface contours.” Id. 9 Defendant has not shown that this comparison of surface contours is a reliable 10 method of pattern-matching when different size bullets are compared. Nothing is offered 11 to account for the likely larger peaks, ridges, and furrows within the larger caliber bullet, 12 or to extrapolate from the smaller markings on the smaller caliber bullet. Defendant states 13 that “[t]he reason that Haag and the other forensic scientists in this case were able to make 14 an identification of the source gun is because the markings themselves are what matter for 15 the science of forensic firearm examination.” Doc. 426 at 4. But again, the markings on 16 different caliber bullets will have different sizes – this is the reason Peloza used larger .357 17 caliber test-fired bullets – and Defendant has not shown that a comparison of the 18 differently-sized markings is a reliable pattern-matching method to determine whether a 19 particular gun fired certain bullets. 20 Peloza states that “it is not uncommon to do ten or more test firings until an examiner 21 obtains a test fire that has good markings for comparison purposes.” Doc. 426-2 at 7-8. 22 But she does not say that these test fires commonly use different caliber bullets. Peloza 23 provides no persuasive explanation for her statement that “[t]he analysis of the striation, 24 markings, and patterns on the bullet are still done through the pattern-matching method 25 and do not change simply because [a] .357 bullet was used to obtain the test markings.” 26 Id. at 7. 27 Similarly, the Court finds the statement of DPS forensic scientist John Maciulla that 28 “there is nothing about the increase in the .002 [caliber] that changes the science itself of 6 1 pattern matching and comparing the markings on the fired bullets” to be conclusory. 2 Doc. 426-1 at 6. The statement purportedly is based Maciulla’s “training, knowledge, and 3 experience of the pattern matching method[,]” but he identifies no specific training, 4 knowledge, or experience using different caliber bullets to make a firearms toolmark 5 identification. Id.; see In re Bard IVC Filters Prods. Liab. Litig., No. MDL 15-02641-PHX 6 DGC, 2018 WL 495189, at *3 (D. Ariz. Jan. 22, 2018) (rejecting expert testimony where 7 the expert provided no information from which the court could conclude that his own 8 experiences or training as a physician provided “sufficient facts and data” to support an 9 opinion on complication rates) (quoting Fed. R. Evid. 702(b)). Maciulla further states in 10 conclusory fashion that Haag’s study was “adequate to serve as a validation study for 11 Peloza’s .357 analyses.” Doc. 426-1 at 6. The Court finds Haag’s statement to the contrary 12 (Doc. 408-2 at 3) to be more persuasive because he performed the study and knows better 13 than Maciulla the study’s scope and purpose. 14 DPS forensic scientist Aaron Brudenell has testified that Peloza’s analysis of the 15 test-fired .357 bullets “is consistent and in compliance with [his] training, experience, and 16 knowledge of the pattern matching method.” Doc. 426-2 at 3. But Brudenell also provides 17 no specific training, knowledge, or experience with using different caliber bullets to make 18 a firearms toolmark identification. 19 Defendants have failed to show, by a preponderance of evidence, that Peloza’s 20 testimony about her .357 analysis rests on sufficient facts and data, reliable principles and 21 methods, or reliable principles and methods applied reliably, as required by Rule 702(b)- 22 (d). The Court accordingly will grant Plaintiff’s motion and preclude Peloza’s testimony 23 in this regard. 24 25 26 IT IS ORDERED that Plaintiff’s motion to preclude testimony of Lisa Peloza (Doc. 390) is granted. Dated this 22nd day of October, 2020. 27 28 7
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