United States v. Otero

849 F. Supp. 2d 425, 87 Fed. R. Serv. 1258, 2012 WL 893077, 2012 U.S. Dist. LEXIS 53198
CourtDistrict Court, D. New Jersey
DecidedMarch 15, 2012
DocketCriminal No. 11-23 (SRC)
StatusPublished
Cited by25 cases

This text of 849 F. Supp. 2d 425 (United States v. Otero) is published on Counsel Stack Legal Research, covering District Court, D. New Jersey primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. Otero, 849 F. Supp. 2d 425, 87 Fed. R. Serv. 1258, 2012 WL 893077, 2012 U.S. Dist. LEXIS 53198 (D.N.J. 2012).

Opinion

OPINION

CHESLER, District Judge.

This matter comes before the Court on the separate motions filed by Defendant Nelson Otero and by Defendant Maxcime Cagan (collectively, “Defendants”) to preclude the testimony of the expert witness proffered by Plaintiff the United States of America (the “Government”) on the subject of firearms and toolmark identification [docket entries 40 & 41]. The Government has opposed the motion. For the reasons that follow, the Court will deny Defendants’ motions.

I. Background

A. Firearms and Toolmark Identification

The Daubert motions before the Court revolve around the reliability of forensic toolmark examination employed to identify the firearm from which discharged ammunition originated. By way of background, the Court begins with some relevant definitions. The Third Circuit has observed that the general category of forensic identification evidence “serves to ‘connect a crime scene object or mark to the one and only source of that object or mark.’ ” United States v. Ford, 481 F.3d 215, 219 n. 5 (3d Cir.2007) (quoting Michael J. Saks, Banishing Ipse Dixit: The Impact of Kumho Tire on Forensic Identification Science, 57 Wash. & Lee L. Rev. 879, 881 (2000)). Forensic toolmark identification is a discipline that is concerned with the matching of a toolmark to the specific tool that made it. Firearm identification is a specialized area of toolmark identification dealing with firearms, which involve a specific category of tools. Richard Grzybowski, et al., Firearm/Toolmark Identification: Passing the Reliability Test Under Federal and State Evidentiary Standards, AFTE Journal, Vol. 35, No. 2, Spring 2003, at 211. “Toolmarks are generated when a hard object (tool) comes into contact with a relatively softer object.” National Research Council, Strengthening Forensic Science in the United States: A Path Forward, at 150 (National Academies Press 2009). Toolmarks associated with a firearm may occur in the commission of a crime when “the internal parts of a firearm make contact with the brass and lead [or other materials] that comprise ammunition.” Id. “The manufacture and use of firearms produces an extensive set of specialized toolmarks.” Id. at 150-51.

Toolmark identification is based on the theory that tools used in the manufacture of a firearm leave distinct marks on various firearm components, such as the barrel, breech face or firing pin. The theory further posits that the marks are individualized to a particular firearm through changes the tool undergoes each time it cuts and scrapes metal to create an item in the production of the weapon. Toolmark identification thus rests on the premise that any two manufactured products, even those produced consecutively off the same production line, will bear microscopically different marks. With regard to firearms, these toolmarks are transferred to the sur[428]*428face of a bullet or shell casing in the process of firearm discharge. Depending on the tool and the type of impact it makes on the bullet or casing, these surface marks consist of either contour scratch lines, known as striations (or striae), or impressions. For example, rifling (spiraled indentations) inside of a gun barrel will leave raised and depressed striae, known as lands and grooves, on the bullet as it is fired from the weapon, whereas the striking of the firing pin against the base of the cartridge, which initiates discharge of the ammunition, will leave an impression but not striae.

Comparing a test bullet or cartridge fired from a firearm of known origin to another bullet or cartridge of unknown origin, the examiner seeks to determine congruence in the pattern of marks left on the examined specimens. This process is known as “pattern matching.” When the marks consist of striations, the identification process can involve a method that observes and counts consecutively matching striae (“CMS”).1 An examiner observes three types of characteristics on spent bullets or cartridges: class, subclass and individual. Class characteristics are gross features common to most if not all bullets and cartridge cases fired from a type of firearm, for example, the caliber and the number of lands and grooves on a bullet. Individual characteristics are microscopic markings produced in the manufacturing process by the random imperfections of tool surfaces (the constantly changing tool as described above) and by use of and/or damage to the gun post-manufacture. According to the theory of toolmark identification espoused by the Association of Firearms and Toolmark Examiners (“AFTE”), individual characteristics “are unique to that tool and distinguish it from all other tools.” Theory of Identification as it Relates to Toolmarks, AFTE Journal, Vol. 30, No. 1, Winter 1998, at 87. Subclass characteristics generally fill the gap between the class and individual characteristics categories. They are produced incidental to manufacture but apply only to a subset of the firearms produced, for example, as may occur when a batch of barrels is formed by the same irregular tool.

B. Proposed Expert Testimony in this Case

In relevant part, the Superseding Indictment in this case charges that on or about May 10, 2010, Defendants used and discharged handguns to rob the Exxon/Tiger Mart located at 1440 Route 23 North in Wayne, New Jersey. The proposed testimony of the Government’s expert would give the opinion that spent ammunition recovered from that crime scene was fired from certain specific firearms recovered from Defendants. In particular, based on his comparison of test bullets and shells fired from the recovered firearms to the crime scene bullet and shells, the expert [429]*429would testify that a discharged 45 caliber bullet and a spent 45 caliber shell casing and a spent 9mm shell casing originated from, respectively, the 45 caliber Fabrinor pistol and the 9mm Glock pistol seized in connection with Defendants’ arrest. Defendants move that the testimony be precluded for failure to meet the standard of admissibility under Federal Rule of Evidence 702. They take the position that the firearms and toolmark identification examination conducted by the expert lacks both a sufficient factual basis and established scientific methodology to support the opinion that a discharged bullet or shell was fired from a specific weapon. Defendants’ argument, summarized briefly, is that the opinion is not reliable because it is not based on objective standards but rather on the examiner’s subjective observations and conclusions.

The Government has produced two expert reports: one prepared in July 2010 by Lieutenant James Ryan of the New Jersey State Police (“NJSP”) and another prepared on February 21, 2012 by Stephen Deady, an AFTE-certified firearms and toolmark examiner and retired detective sergeant formerly with the NJSP, based on Deady’s own independent examination.2 Defendants’ motions, as filed, sought to preclude the testimony of Lieutenant Ryan, who had conducted what was at the time the only firearms and toolmark identification examination of the evidence at issue in this case. Subsequently, the Government had a second, independent examination of the firearms evidence conducted by Deady, who has since been identified as the Government’s expert.

The Court conducted a

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Bluebook (online)
849 F. Supp. 2d 425, 87 Fed. R. Serv. 1258, 2012 WL 893077, 2012 U.S. Dist. LEXIS 53198, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-otero-njd-2012.