RULING ON APPLICATION FOR HABEAS CORPUS
BLUMENFELD, Senior District Judge.
These applications for writs of habeas corpus are before the court on remand from the Court of Appeals for the Second Circuit.
Reardon v. Manson,
644 F.2d 122 (1981). Familiarity with the Court of Appeals’ opinion, with the previous opinion of this court,
Reardon v. Manson,
491 F.Supp. 982 (1980), and with the opinions of the Connecticut Supreme Court,
State v.
Reardon,
172 Conn. 593, 376 A.2d 65 (1977);
State v. Hawkins,
173 Conn. 431, 378 A.2d 534 (1977), is assumed. The issue presented by these applications is whether petitioners’ constitutional right to confront and cross-examine adverse witnesses, guaranteed by the sixth and fourteenth amendments to the Constitution, was violated by the admission at their trials on drug charges of certain testimony by a state toxicologist, one Dr. Charles Reading.
Prior Proceedings
Petitioners were each convicted in state court of drug offenses, Reardon’s involving marijuana, and Hawkins’ involving cocaine. The convictions were affirmed by the Connecticut Supreme Court. In each case, Dr. Reading testified, over defendant’s objection on the ground that the testimony was hearsay, as to the nature of substances seized from the defendant and tested in the state toxicological laboratory. In
State v. Reardon,
the Connecticut Supreme Court upheld Reardon’s conviction, declaring:
The jury’s consideration of Dr. Reading’s testimony, which we have held was admissible and which bore strong indicia of reliability, and upon which the defendant had a full and fair opportunity to cross-examine, did not deprive the defendant of the right of confrontation guaranteed by our state or federal constitutions.
172 Conn. at 599-600, 376 A.2d 65. Hawkins’ conviction was affirmed in reliance on
Reardon.
173 Conn. at 438, 378 A.2d 534.
On petitioners’ applications for writs of habeas corpus, this court held, after a hearing, that petitioners’ sixth amendment rights had been violated by the admission of Dr. Reading’s testimony. Dr. Reading testified that in reaching his opinion as to the nature of the tested substances, he relied on tests performed by chemists under his supervision. I first determined that Dr. Reading’s testimony was hearsay.
The testimony of Dr. Reading, in effect, merely repeated the information given him by his chemists. As to some of the tests, he simply reiterated the chemists’ analysis with no first-hand knowledge of the test results. By passing along a chemist’s assurance that a particular test yielded a positive result, Dr. Reading was only narrating hearsay. As to other tests where he himself observed the results of the experiments, he still was required to assume that the substances tested were in fact the substances in question, that the tests had been performed correctly, and that the appropriate standards had been used. When he examined the slides created by his chemists and then based his conclusion on the slides, he nonetheless still passed along the chemist’s hearsay declaration that the tests were in fact properly conducted on the appropriate substances. As to these facts Dr. Reading had no independent knowledge.
491 F.Supp. at 985. Next, I held that Dr. Reading’s testimony was crucial to the state’s case (the parties having stipulated that Dr. Reading’s testimony was the only evidence as to the nature of the substances), that the prosecution had not demonstrated the unavailability of the hearsay declarants, and that the other indicia of reliability necessary to satisfy the Confrontation Clause were not present. 491 F.Supp. at 986-88.
See, e.g., United States v. Oates,
560 F.2d 45, 81 (2d Cir.1977). I therefore ordered that the writ issue unless petitioners were granted new trials within 60 days.
While the state’s appeal from this court’s decision was pending, the Supreme Court decided
Sumner v. Mata,
449 U.S. 539, 101 S.Ct. 764, 66 L.Ed.2d 722 (1981). In that case, it was held that a habeas court should include in its decision the reasoning which led it to decline to defer to the state court’s factfinding. The Court referred specifically to 28 U.S.C. § 2254(d), which is set forth in the margin.
After
Sumner,
it is clear
that a federal district court granting a habeas application must explain which of the eight factors listed in section 2254(d) justifies its lack of deference to the state court’s factual determinations.
The Court of Appeals, in its decision remanding these petitions, noted that this court’s ruling did not cpmply with
Sumner’s
requirement. The Court of Appeals found that this court’s factual determinations conflicted with those of the Connecticut Supreme Court in several respects.
Judge Blumenfeld treated the chemists as extrajudicial declarants. The Supreme Court of Connecticut regarded them to be collectors of trustworthy scientific data who performed testing procedures in keeping with their prescribed duties. The Connecticut court found the scientific facts gathered by the chemists under the direction and supervision of the expert toxicologist were reliable and trustworthy. The district court found that no indicia of reliability could be assigned to the extra-judicial declarations of the claimants who performed the tests. The state court found the results of the thin layer chromatography and chemical tests were personally observed by Dr. Reading. The district court found that Dr. Reading’s opinion, based on these results, was founded on assumptions that were unsupported in the evidence. The state court determined there was reasonable necessity for Dr. Reading’s reliance on the findings of the chemist Pernitis. The federal court was persuaded that the witnesses were deliberately by-passed by the State to advance the interests of the prosecution.
644 F.2d at 127-28.
In the interim since the decision of the Court of Appeals, petitioners and the state have submitted new memoranda, and the court has carefully considered whether the Connecticut Supreme Court’s factual determinations were “fairly supported by the record.” 28 U.S.C. § 2254(d)(8). The court will first consider this issue, then turn to the constitutional question raised by petitioners.
Factfinding in the State Court
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RULING ON APPLICATION FOR HABEAS CORPUS
BLUMENFELD, Senior District Judge.
These applications for writs of habeas corpus are before the court on remand from the Court of Appeals for the Second Circuit.
Reardon v. Manson,
644 F.2d 122 (1981). Familiarity with the Court of Appeals’ opinion, with the previous opinion of this court,
Reardon v. Manson,
491 F.Supp. 982 (1980), and with the opinions of the Connecticut Supreme Court,
State v.
Reardon,
172 Conn. 593, 376 A.2d 65 (1977);
State v. Hawkins,
173 Conn. 431, 378 A.2d 534 (1977), is assumed. The issue presented by these applications is whether petitioners’ constitutional right to confront and cross-examine adverse witnesses, guaranteed by the sixth and fourteenth amendments to the Constitution, was violated by the admission at their trials on drug charges of certain testimony by a state toxicologist, one Dr. Charles Reading.
Prior Proceedings
Petitioners were each convicted in state court of drug offenses, Reardon’s involving marijuana, and Hawkins’ involving cocaine. The convictions were affirmed by the Connecticut Supreme Court. In each case, Dr. Reading testified, over defendant’s objection on the ground that the testimony was hearsay, as to the nature of substances seized from the defendant and tested in the state toxicological laboratory. In
State v. Reardon,
the Connecticut Supreme Court upheld Reardon’s conviction, declaring:
The jury’s consideration of Dr. Reading’s testimony, which we have held was admissible and which bore strong indicia of reliability, and upon which the defendant had a full and fair opportunity to cross-examine, did not deprive the defendant of the right of confrontation guaranteed by our state or federal constitutions.
172 Conn. at 599-600, 376 A.2d 65. Hawkins’ conviction was affirmed in reliance on
Reardon.
173 Conn. at 438, 378 A.2d 534.
On petitioners’ applications for writs of habeas corpus, this court held, after a hearing, that petitioners’ sixth amendment rights had been violated by the admission of Dr. Reading’s testimony. Dr. Reading testified that in reaching his opinion as to the nature of the tested substances, he relied on tests performed by chemists under his supervision. I first determined that Dr. Reading’s testimony was hearsay.
The testimony of Dr. Reading, in effect, merely repeated the information given him by his chemists. As to some of the tests, he simply reiterated the chemists’ analysis with no first-hand knowledge of the test results. By passing along a chemist’s assurance that a particular test yielded a positive result, Dr. Reading was only narrating hearsay. As to other tests where he himself observed the results of the experiments, he still was required to assume that the substances tested were in fact the substances in question, that the tests had been performed correctly, and that the appropriate standards had been used. When he examined the slides created by his chemists and then based his conclusion on the slides, he nonetheless still passed along the chemist’s hearsay declaration that the tests were in fact properly conducted on the appropriate substances. As to these facts Dr. Reading had no independent knowledge.
491 F.Supp. at 985. Next, I held that Dr. Reading’s testimony was crucial to the state’s case (the parties having stipulated that Dr. Reading’s testimony was the only evidence as to the nature of the substances), that the prosecution had not demonstrated the unavailability of the hearsay declarants, and that the other indicia of reliability necessary to satisfy the Confrontation Clause were not present. 491 F.Supp. at 986-88.
See, e.g., United States v. Oates,
560 F.2d 45, 81 (2d Cir.1977). I therefore ordered that the writ issue unless petitioners were granted new trials within 60 days.
While the state’s appeal from this court’s decision was pending, the Supreme Court decided
Sumner v. Mata,
449 U.S. 539, 101 S.Ct. 764, 66 L.Ed.2d 722 (1981). In that case, it was held that a habeas court should include in its decision the reasoning which led it to decline to defer to the state court’s factfinding. The Court referred specifically to 28 U.S.C. § 2254(d), which is set forth in the margin.
After
Sumner,
it is clear
that a federal district court granting a habeas application must explain which of the eight factors listed in section 2254(d) justifies its lack of deference to the state court’s factual determinations.
The Court of Appeals, in its decision remanding these petitions, noted that this court’s ruling did not cpmply with
Sumner’s
requirement. The Court of Appeals found that this court’s factual determinations conflicted with those of the Connecticut Supreme Court in several respects.
Judge Blumenfeld treated the chemists as extrajudicial declarants. The Supreme Court of Connecticut regarded them to be collectors of trustworthy scientific data who performed testing procedures in keeping with their prescribed duties. The Connecticut court found the scientific facts gathered by the chemists under the direction and supervision of the expert toxicologist were reliable and trustworthy. The district court found that no indicia of reliability could be assigned to the extra-judicial declarations of the claimants who performed the tests. The state court found the results of the thin layer chromatography and chemical tests were personally observed by Dr. Reading. The district court found that Dr. Reading’s opinion, based on these results, was founded on assumptions that were unsupported in the evidence. The state court determined there was reasonable necessity for Dr. Reading’s reliance on the findings of the chemist Pernitis. The federal court was persuaded that the witnesses were deliberately by-passed by the State to advance the interests of the prosecution.
644 F.2d at 127-28.
In the interim since the decision of the Court of Appeals, petitioners and the state have submitted new memoranda, and the court has carefully considered whether the Connecticut Supreme Court’s factual determinations were “fairly supported by the record.” 28 U.S.C. § 2254(d)(8). The court will first consider this issue, then turn to the constitutional question raised by petitioners.
Factfinding in the State Court
According to the Court of Appeals, this court “treated the chemists as extra-judicial declarants,” while “[t]he Supreme Court of Connecticut regarded them to be collectors of trustworthy scientific data who performed testing procedures in keeping with their prescribed duties.” 644 F.2d
at 127-28. A close reading of the Connecticut Supreme Court’s opinion in
Reardon,
however, reveals that although that court considered Dr. Reading’s testimony admissible, it recognized that the chemist was an extra-judicial declarant. The Connecticut Court held that Dr. Reading’s testimony was admissible as expert testimony, although his opinion was based in part on information given him by the chemist, whom the court also considered to be an expert. The Connecticut Court concluded its discussion of the admissibility of Dr. Reading's testimony by stating:
It has been held that there is no rule that facts proven under exceptions to the hearsay rule, though received in evidence, must be denied all evidentiary value where there is a reasonable necessity for such an exception, and where it is supported by an adequate basis for assurance that that evidence has those qualities of reliability and trustworthiness attributed to other evidence admissible under long-established
exceptions to the hearsay rule
without violating constitutional rights.
Kay v. United States,
255 F.2d 476, 480-81 (4th Cir. [1958]).
172 Conn. at 598, 376 A.2d 65 (emphasis added).
The Connecticut Supreme Court evidently recognized that Dr. Reading’s narration of the results of tests performed by another was admissible, if at all, only under an exception to the hearsay rule; and that Dr. Reading’s expert opinion, to the extent it was based on information obtained from others, likewise could come in only under such an exception. The Connecticut Court thus recognized the chemists as extra-judicial declarants, a factual determination in which this court concurs.
The second ppiftffoi. disagreement identified by the Coqrt(o| • Appeals concerns the reliability arid trustworthiness of the extrajudicial declarations, of the chemists. It is difficult to extract-,frpm the state court’s opinion the grounds ‘for its finding that the statements of thefch’emist in
Reardon
bore “strong indicia .of. reliability.” It appears, however, that the’(state court determined that the chemist'"was an “expert,” 172 Conn. at 597, 376 A.2d 65, that the tests were “routine,”
id.
at 598, 376 A.2d 65, and that Dr. Reading personally supervised the tests.
Id.
The record is absolutely devoid of any evidence as to ,.the- qualifications of the chemists who' actually performed the tests in either petitionary case. Moreover, although similar tests were frequently performed in the state toxicological laboratory, Dr. Reading’s detailed testimony concerning the testing procedures makes it clear beyond cavil that the tests themselves
were anything but “routine.” They were complicated tests requiring a high degree of skill and the use of sophisticated equipment, and the interpretation of the tests’ results required specialized knowledge and experience.
Cf. United States v. McClintock,
748 F.2d 1278, 1292 (9th Cir.1984). Finally, Dr. Reading’s testimony also establishes rather conclusively that he did not “supervise” the testing in any meaningful sense. He was present in the laboratory, but was attending to other work. He did not observe the tests being made, and could not verify from his own personal knowledge that the substances tested by the chemists were actually the substances seized from petitioners, which Dr. Reading had removed from the laboratory safe and given to the chemists. Indeed, it strains credulity to assert that Dr. Reading could personally “supervise” some 50 of these tests daily.
The Connecticut Court also appears to have assumed, without explicitly finding, that Dr. Reading and the chemists were neutral, and therefore trustworthy, witnesses.
Reardon,
172 Conn. at 595-98, 376 A.2d 65.
See also State v. Cosgrove,
181 Conn. 562, 576-77, 436 A.2d 33 (1980) (criticizing this court’s characterization of the chemists as important participants in the prosecutorial effort). The record shows that one of the state toxicological laboratory’s primary functions is to assist the state in prosecuting persons accused of crimes involving illegal drugs.
See
Conn. Gen.Stat. § 19-483. The fact that the chemist “owes no allegiance per se to the state’s attorney,”
Cosgrove,
181 Conn. at 577, 436 A.2d 33, cannot obscure the close relationship between the toxicological laboratory and prosecuting arm of the state government. Under such circumstances, the neutrality of Dr. Reading and his chemists cannot be presumed. In recognition of these circumstances, the Court of Appeals for this Circuit held in
United States v. Oates,
560 F.2d 45, 68 (2d Cir.1977), that chemists are “important participants in the prosecutorial effort.” Nothing in the record on these cases suggests otherwise.
Viewing the record as a whole, the court finds no support for the state court’s conclusion that the chemists’ extra-judicial declarations bore indicia of reliability and trustworthiness. In the absence of such record support, 28 U.S.C. § 2254(d) does not require deference to the state court’s factual determination.
Also unsupported by the record was the state court’s conclusion that Dr. Reading’s opinion was founded on “firsthand personal knowledge.” 172 Conn. at 598, 376 A.2d 65. Although Dr. Reading did testify that he had personally observed the results of the thin layer chromatography and chemical tests, he specifically stated at both trials that he based his opinion on all the tests, including the microscopic examinations performed only by the chemists. Moreover, as this court pointed out in its ruling granting the petitions, even in making his own observations, Dr. Reading necessarily relied on the declarations of the chemists that the substances tested were the substances seized from petitioners, that the plates were properly prepared with samples of the substances and of known standards, and that the tests procedures were properly carried out. At Hawkins’ trial, Dr. Reading acknowledged that he had no independent recollection of the analyses in question.
As the Court of Appeals noted, the Connecticut Supreme Court also found in
Rear-don
that there was reasonable necessity for Dr. Reading’s reliance on the findings of the chemist. The
Reardon
opinion does not explain the ground for this finding except to state that the “laboratory procedures [were] adopted and undertaken pursuant to [Dr. Reading’s] supervision and direction.” 172 Conn. at 598, 376 A.2d 65. There is no evidence in the record that Dr. Reading established the procedures followed in the laboratory; and, as previously noted, Dr. Reading was unable to testify as to whether the usual procedures were actually followed in these cases.
The real issue, of course, is not whether there was a reasonable necessity for Dr. Reading’s reliance on the chemists, but
whether there was reasonable necessity for the state’s reliance on Dr. Reading’s hearsay testimony in lieu of producing the chemists to testify at trial. As
Ohio v. Roberts
makes clear, 448 U.S. 56, 66, 100 S.Ct. 2531, 2539, 65 L.Ed.2d 597 (1980), it was incumbent upon the state to make a showing that the hearsay declarants were unavailable. The state made no such showing at either trial, nor, so far as the court can determine, at any stage of the appeals. The state never suggested any reason at all for its choice of Dr. Reading, rather than the chemists who performed the tests, to testify.
In
State v. Cosgrove,
181 Conn. 562, 583, 436 A.2d 33 (1980), written expressly in response to this court’s decision, the Connecticut Supreme Court suggests that production of the chemist would place considerable administrative burdens on the state.
Such burdens do not justify the deprivation of a right guaranteed by the Constitution.
Cf. Mayer v. City of Chicago,
404 U.S. 189, 92 S.Ct. 410, 30 L.Ed.2d 372 (1971) (financial and administrative burdens on state do not justify refusal to provide an indigent with a free transcript on appeal). Although the court in
Cosgrove
characterized its reasoning as the type of interest-balancing employed by the Supreme Court of the United States in cases involving hearsay testimony and the Confrontation Clause, that Court has made clear that the state interests it considers significant in that context are the interests “in effective law enforcement, and in the development and formulation of the rules of evidence applicable in criminal proceedings.”
Ohio v. Roberts,
448 U.S. at 64, 100 S.Ct. at 2538. Such interests are not implicated in the state’s decision not to produce the chemists to testify in these cases. The court therefore finds that the record did not support the existence of a “reasonable necessity” for the state’s reliance on Dr. Reading’s narration of hearsay, in lieu of producing the hearsay declarant.
As the foregoing discussion makes clear, deference to the state court’s factfinding in these cases is not required because that court’s factual determinations were not fairly supported by the record. 28 U.S.C. § 2254(d)(8). I next consider whether admission of Dr. Reading’s testimony violated petitioners’ rights under the Confrontation Clause.
The Confrontation Clause
The discussion in the prior ruling of petitioners’ claim that admission of Dr. Reading’s testimony, whether or not permissible under Connecticut’s law of evidence, violated their right to confront and examine the witnesses against them, need not be repeated here. There the court determined first that Dr. Reading’s testimony was crucial to the state’s case against each petitioner, since it was the only evidence presented as to the nature of the allegedly illegal substances.
Second, the court found that the state had made no effort to
demonstrate the unavailability of the hearsay declarants, the chemists who actually tested the substances. Finally, the court determined, based on consideration of the record, that the state had not demonstrated indicia of reliability which would justify admitting Dr. Reading’s testimony despite the fact that the chemists were not presented. In the present opinion, I have made it clear that the Connecticut Supreme Court’s contrary finding, that adequate indicia of reliability were present, was not fairly supported by the record.
Little need be added to the discussion contained in the prior ruling. The court notes, however, that the Supreme Court’s decision in
Ohio v. Roberts
is entirely consistent with this court’s treatment of the Confrontation Clause issue. The Supreme Court’s discussion is worthy of quotation in full:
The Confrontation Clause operates in two separate ways to restrict the range of admissible hearsay. First, in conformance with the Framers’ preference for face-to-face accusation, the Sixth Amendment establishes a rule of necessity. In the usual case (including cases where prior cross-examination has occurred), the prosecution must either produce, or demonstrate the unavailability of, the declarant whose statement it wishes to use against the defendant. See
Mancusi v. Stubbs,
408 U.S. 204 [92 S.Ct. 2308, 33 L.Ed.2d 293] (1972);
Barber v. Page,
390 U.S. 719 [88 S.Ct. 1318, 20 L.Ed.2d 255] (1968). See also
Motes v. United States,
178 U.S. 458 [20 S.Ct. 993, 44 L.Ed.2d 1150] (1900);
California v. Green,
399 U.S. [149] at 161-62, 165, 167, n. 16 [90 S.Ct. 1930 at 1936-37, 1938, 1939, n. 16, 26 L.Ed.2d 489 (1970) ].
The second aspect operates once a witness is shown to be unavailable. Reflecting its underlying purpose to augment accuracy in the factfinding process by ensuring the defendant an effective means to test adverse evidence, the Clause countenances only hearsay marked with such trustworthiness that “there is no material departure from the reason of the general rule.”
Snyder v. Massachusetts,
291 U.S. [97] at 107 [54 S.Ct. 330 at 333, 78 L.Ed. 674 (1934)]. The principle recently was formulated in
Mancusi v. Stubbs:
“The focus of the Court’s concern has been to insure that there ‘are indicia of reliability which have been widely viewed as determinative of whether a statement may be placed before the jury though there is no confrontation of the declarant,’
Dutton v. Evans, supra
[400 U.S. 74], at 89 [91 S.Ct. 210 at 220, 27 L.Ed.2d 213 (1970) ], and to ‘afford the trier of fact a satisfactory basis for evaluating the truth of the prior statement,’
California v. Green, supra
[399 U.S.], at 161 [90 S.Ct. at 1936]. It is clear from these statements, and from numerous prior decisions of this Court, that even though the witness be unavailable his prior testimony must bear some of these ‘indicia of reliability.’ ” 408 U.S., at 213 [92 S.Ct. at 2313].
The Court has applied this “indicia of reliability” requirement principally by concluding that certain hearsay exceptions rest upon such solid foundations that admission of virtually any evidence within them comports with the “substance of the constitutional protection.”
Mattox v. United States,
156 U.S. [237], at 244 [15 S.Ct. 337, at 340, 39 L.Ed. 409 (1895)].
This reflects the truism that “hearsay rules and the Confrontation Clause are generally designed to protect similar values,”
California v. Green,
399 U.S., at 155 [90 S.Ct., at 1933], and “stem from the same roots,”
Dutton v. Evans,
400 U.S. 74, 86 [91 S.Ct. 210, 218, 27 L.Ed.2d 213] (1970). It also responds to the need for certainty in the workaday world of conducting criminal trials.
In sum, when a hearsay declarant is not present for cross-examination at trial, the Confrontation Clause normally requires a showing that he is unavailable. Even then, his statement is admissible only if it bears adequate “indicia of reliability.” Reliability can be inferred without more in a case where the evidence
falls within a firmly rooted hearsay exception. In other eases, the evidence must be excluded, at least absent a showing of particularized guarantees of trustworthiness.
448 U.S. at 65-66, 100 S.Ct. at 2538-39 (note 9 omitted).
Under the standards enunciated in
Roberts,
it was incumbent on the state to make a showing at petitioners’ trials that the hearsay declarants were not available to testify. The state made no such showing. Nor, in the judgment of this court after a careful review of the record, did the state demonstrate that the out-of-court statements bore indicia of reliability adequate to justify their admission. This is not a case where the nature of the hearsay exception upon which the state relied is such that reliability can be inferred.
For the reasons discussed in this court’s prior ruling and in this decision, the court concludes that petitioners’ constitutional right to confront and cross-examine the witnesses against them was violated at their state court trials.
Conclusion
Because the Connecticut Supreme Court’s findings of fact relating to the reliability of the hearsay testimony admitted at petitioners’ trials were not adequately supported by the record, this court need not defer to those findings. 28 U.S.C. § 2254(d)(8). Having reviewed the record, this court finds that the extra-judicial statements did not bear such adequate indicia of reliability that they could be admitted without giving petitioners an opportunity to confront and cross-examine the declarants. The conclusion that petitioners’ rights under the sixth amendment were violated is inescapable.
It is therefore ORDERED that a writ of habeas corpus issue out of this court discharging the petitioners from custody, unless petitioners are afforded a new trial within 60 days.
SO ORDERED.