September Term 2005 Docket No. 58,879 STATE OF NEW

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SUPREME COURT OF NEW JERSEYSeptember Term 2005Docket No. 58,879STATE OF NEW JERSEY,Plaintiff,v.JANE H. CHUN, DARIA L.DE CICCO, JAMES R. HAUSLER,ANGEL MIRALDA, JEFFREY R.WOOD, ANTHONY ANZANO, MEHMETDEMIRELLI, RAJ DESIA,JEFFREY LOCASTRO, PETERLIEBERWIRTH, JEFFREY LING,HUSSAIN NAWAZ, FREDERICKOGBUTOR, PETER PIASECKI,LARA SLATER, CHRISTOPHERSALKOWITZ, ELINA TIRADO,DAVID WALKER, DAVID WHITMANand JAIRO J. YATACO,Defendants.FINDINGS AND CONCLUSIONS OF REMAND COURTOn remand from the SupremeJersey:December 14, me Court: February 13, 2007toJessica S. Oppenheim, Assistant AttorneyGeneral,ChristineA.Hoffman,DeputyAttorney General, Stephen H. Monson, DeputyAttorney General and John A. Dell'Aquilo,Jr., Deputy Attorney General, appeared onbehalf of the State of New Jersey.1

Samuel L. Sachs of the firm Sachs & Sachsappeared on behalf of Jeffrey R. Wood andJames R. Hausler.Matthew W. Reisig appeared on behalf ofChristopher Salkowitz, Peter Lieberwirth,Raj Desai and Peter Piasecki.John Menzel of the firm Moore & Menzelappeared on behalf of Anthony Anzano, DavidWhitman, David Walker, Hussain Nawaz andJeffrey Ling.Evan M. Levow of the firm Levow & Costelloappeared on behalf of Jane H. Chun, LaraSlater, Elina Tirado, and Frederick Ogbutor.Jonathan A. Kessous and Christopher G.Hewitt, co-counsel, of the firm Garces &Grabler appeared on behalf of Jairo Yatacoand Angel Miralda.Bartholomew BaffutoDaria L. DeCicco.appearedonbehalfofArnold N. Fishman of the firm Fishman,Littlefield & Fishman appeared on behalf ofamicuscuriaeNewJerseyStateBarAssociation.Jeffrey E. Gold of the firm Gold & Laineappeared on behalf of amicus curiae NewJersey State Bar Association.Peter H. Lederman of the firm LomurroDavison Eastman & Munoz appeared on behalfof amcius curiae Association of CriminalDefense Lawyers.KING, P.J.A.D., SPECIAL MASTERTABLE OF CONTENTSI.PROCEDURAL HISTORY . . . . . . . . . . . . . . . . . 4II.STANDARD OF PROOF. . . . . . . . . . . . . . . . .142

III. THE FACTSIV.V.1.CHEMISTRY AND PHYSIOLOGY . . . . . . . . . . . 192.HISTORY3.THE INSTRUMENT . . . . . . . . . . . . . . . . 33. . . . . . . . . . . . . . . . . . . 23EXPERT TESTIMONY1.HANSUELI RYSER . . . . . . . . . . . . . . .472.THOMAS A. BRETTELL, Ph.D.733.SGT. KEVIN M. FLANAGAN4.EDWARD CONDE5.ROD G. GULLBERG6.SAMUEL E. CHAPPELL, Ph.D.7.BARRY K. LOGAN, Ph.D.8.J. ROBERT ZETTL9.PATRICK M. HARDING10.NORMAN J. DEE11.STEPHEN B. SEIDMAN, Ph.D. . . . . . . . . . . 20212.GERALD SIMPSON, Ph.D.13.MICHAEL PETER HLASTLA, Ph.D. . . . . . . . . . . . . . . . . . . 103. . . . . . . . . . . . . . . . 134. . . . . . . . . . . . . . 143. . . . . . . . . 156. . . . . . . . . . . 162. . . . . . . . . . . . . . 175. . . . . . . . . . . . . 185. . . . . . . . . . . . . . . 196. . . . . . . . . . . 210. . . . . . . . 219FINDINGS AND CONCLUSIONS OF LAW. . . . . . . . . . . 2281.IN THE WAKE OF DOWNIE2.ADMINISTRATIVE SAFEGUARDS . . . . . . . . . . 2383.SOURCE CODES4.RFI-EMI INTERFERENCE5.FOUNDATIONAL EVIDENCE. . . . . . . . . . . . . . . . 2413. . . . . . . . . . . . 248. . . . . . . . . . . 250

VI.6.BREATH VOLUME AND FLOW RATE7.CENTRALIZED DATA MANAGEMENT . . . . . . . . . 2538.NON-OPERATOR DEPENDENT9.BREATH TEMPERATURE SENSOR10.TOLERANCES FOR THE TWO BREATH TESTSCONCLUSION. . . . . . . . 251. . . . . . . . . . 254. . . . . . . . . 255. . . . 256. . . . . . . . . . . . . . . . . . . 258APPENDIX A - TRANSCRIPTS. . . . . . . . . . . . . . 260APPENDIX B - BIBLIOGRAPHY1.RECOMMENDED2.ANCILLARY. . . . . . . . . . . . . . . . 262. . . . . . . . . . . . . . . . . 269I. PROCEDURAL tyfordriving while under the influence of alcohol in violation ofN.J.S.A. 39:4-50.Defendants challenged the admissibility andreliability of breath test results obtained from the Alcotest7110 MKIII-C, firmware version NJ 3.11 (Alcotest 7110).On October 14, 2005 the Law Division granted the State'smotion to consolidate the cases pending as of May 23, 2005 inseveral Middlesex County municipal courts.Among other things,Judge Cantor denied the State's motion to take judicial noticeof the opinion in State v. Foley, 370 N.J. Super. 341, 359 Cwas

dreadings would be admitted into evidence without the need forexpert testimony.At the time of Foley, New Jersey was usingfirmware version 3.8.In her written statement of November 10, 2005 Judge Cantorexplained that the Alcotest 7110 MKIII-C was a new instrumentadopted throughout New Jersey on a county-by-county basis on reliable and that Judge Orlando, in dictum, had concluded nstrument which had never been vetted by an appellate court orour Supreme Court, Judge Cantor concluded that its scientificreliability remained a justiciable heState's motion for leave to appeal and denied its motion for asummary reversal.The Appellate Division remanded the matter tothe trial court for an accelerated hearing on the validity ofbreath tests for alcohol, obtained through the use of Alcotestinstruments.On December 14, 2005 our Supreme Court certified the appealpending in the Appellate Division on its own motion pursuant to5

R. 2:12-1.The Court vacated the remand to the Law Division andremanded the matter to retired Appellate Division Judge MichaelPatrick King, to preside as a Special Master.The Court orderedthe Special Master to conduct a hearing and report his findingsand conclusions on an accelerated basis.The Court ordered the Special Master to:1.Conduct a plenary hearing on thereliabilityofAlcotestbreathtestinstruments, including consideration of thepertinent portions of the record in State v.Foley, 370 N.J. Super. 341 (Law Div. 2003),and the within matters in the withsuchadditionalexperttestimony and arguments as may be presentedby the hepartiesshouldbesupplemented by that of independent expertsselected by the Special Master;3.Grant,intheSpecialMaster'sdiscretion, motions by appropriate entitiesseeking to participate as amici curiae, saidmotions to be filed with the Special Masterwithin ten days of the filing date of thisOrder;4.Invite,intheSpecialMaster'sdiscretion, the participation of entities orpersons as amici curiae or, to the extentnecessary in the interests of justice, asintervenors to assist the Special Master inthe resolution of the issues before him; and5. Within thirty days of the completion ofthe plenary hearing, file findings andconclusions with the Clerk of the Court andcontemporaneouslyserveacopyonthe6

parties and amici curiae, which service maybe effectuated by the posting of the reporton the Judiciary's website . . . .The Court also ordered the parties, and permitted all amicicuriae who participated in the plenary hearing, to serve andfile initial briefs within fourteen days of the filing of theSpecial Master's report as well as responses, if any, within tendays.It further ordered the Clerk to set the matter for oralargumentonthefirstavailablebriefing by the parties.dateaftercompletionofFinally, the Court ordered the stay ofN.J.S.A. 39:4-50 proceedings pending in Middlesex County, anddirected all Superior and Municipal Court judges before whomsuch proceedings were pending, to ensure strict enforcement ofthe Court's Guidelines for Operation of Plea Agreements in theMunicipal Courts of New Association of Criminal Defense Lawyers of New Jersey (ACDL)leave to appear as amicus curiae.SpecialMasteralsoadmittedtheOn January 23, 2006 theNewJerseyStateBarAssociation (NJSBA) as amicus curiae, under R. 1:13-9, in viewof the matter's public importance.On January 10, 2006 the Court sua sponte issued an orderaddressingissuesthataffected39:4-50 offenses statewide.theprosecutionofN.J.S.A.The Court ordered all prosecutions7

and appeals which did not involve the Alcotest 7110 to proceedin the normal course.prosecutionsandThe Court, however, ordered the stay ofappealsinvolvingrepeatoffendersandtheexecution of their sentences where the convictions were basedsolely on Alcotest readings.offenderprosecutionsThe Court also ordered that first-proceedtotrialbasedevidence when available and on Alcotest readings.onclinicalIt ordered,however, that the execution of sentences for all first offendersbe stayed pending disposition of the Court's final decision onthe Alcotest 7110's reliability, unless public interest requiredtheir immediate tor,JudgeCarchman, in a clarifying memorandum to municipal court ofanAlcotest reading, over the objection of defense counsel, ificHe further explained that under N.J.S.A. 39:4-reliability.50(a)(2) and (3), the penalty for repeat offenders was the samewhether the finding of guilt was based on observation or bloodalcohol levels.vary,makingHowever, for first offenders, the penalty ortance.On March 15, 2006 the Court entered an order directing theSpecial Master to designate an independent expert or experts.8

Upon deliberation and consultation with the parties and ppointedexpert was not necessary for proof purposes, especially becauseof the quasi-criminal nature of the proceedings.Meanwhile, discovery proceeded.On February 3, 2006 theSpecial Master entered an order directing the State to ongother things, the discovery order recognized that the exchangeof firmware and software might require a protective order to besubmitted by the State or manufacturer for court supplementaldiscovery order directing the State to lend three Alcotest 7110sto defense counsel and one to counsel for the amicus eciallybecause of the issue of "trade secrets."Draeger objected to the discovery orders claiming that lproperty counsel prepared a proposed protective order and sentit to the State for submission to the court.9Draeger's proposal

included a request for indemnification from defense counsel.Inresponse to defendants' objections to Draeger's initial draft especially to the request for indemnity and a revised proposalby the State, the Special Master requested defense counsel tosubmit a proposed protective order.Draeger then offered to make copies of the Alcotest 7110'ssource codes available to the Special Master and explain them testimonial record and the data would be returned after ted,explaining that the purpose of requesting the source codes andalgorithms was to allow their expert to review and test them.OnApril19,protective order.2006defendantssubmittedtheirproposedIn anticipation of a court-issued protectiveorder, the State provided to defense counsel and the amicus thefour Alcotest 7110 instruments for their inspection.On April 26, 2006 the Special Master entered a protectiveorder which required all discovery information in which Draegerasserted an intellectual property right so marked.With regardto the marked discovery, the protective order required:(1)that the information could not be disclosed by parties or amicicuriae, or by consultants and experts given access to it; and(2) that the information must be returned to Draeger followingthe conclusion of all litigation.10The protective order also

extended its terms and restrictions for three years from eddiscovery information entered the public domain, whichever camefirst, and stated that the violation or breach of any conditionwould be grounds for court contempt action, civil damages orother appropriate sanctions after a hearing where the accusedwould be afforded due process under R. 1:10.Additionally, ifDraeger did not cooperate with discovery, the protective gativeinferences in his decision on the Alcotest 7110's eStatecomments on its revised proposed protective order.submittedIn part, theState explained that the indemnification provision would requirethose defendants who received the instruments to indemnify andhold harmless the State from any damage that might result fromthe firmware's use or hitsobjections noting that it would not cooperate with discoveryunless the court entered a "satisfactory" protective pressedobjections, the Special Master amended the protective order by:further limiting access to the information disclosed; extending11

the term and restrictions from three years to as long as themarked discovery information remained a trade secret or until itentered the public domain; and providing that other sanctionsmight be appropriate in cases where Draeger demonstrated at ahearing that it would suffer irreparable harm and there was noadequate remedy at ottotheorderadequateStatewasanprotection.Draeger continued to insist that the Special Master adopt anordersubstantiallysimilarexample, Draeger contended:toitsinitialproposal.Forit should be provided with theidentity of experts who would be given the marked information lMaster at a hearing to demonstrate irreparable harm; it shouldbe allowed to demonstrate its intellectual property rights before Judge King; and it should not be forced to comply with anorder essentially based upon a proposal by defendants who didnot have any trade secrets or proprietary information to beprotected.Draeger also advised the Special Master and the State thatit "recently" had adopted a "new policy" regarding confidentialdisclosure of the Alcotest 7110's source codes and other trade12

secrets to those individuals including parties involved in theChun litigation who accepted the following conditions:(1)individuals who agreed to sign appropriate non-disclosure andconfidentiality agreements prepared by Draeger; (2) individualswho agreed to review the information in a room at hoagreedtoallow a Draeger representative to be present in the room whenthey reviewed the information; and (4) individuals who agreednot to take photographs, make copies by writing or other means,or make any recordings of the information.To maintain its"non-party status," Draeger again declined the Special ences.Incidentally, Draeger has no United States or foreign patentprotection on the Alcotest 7110.Neither the State nor defendants expressed any interest incomplyingwithDraeger'scodes' disclosure.fastidiousofonthesourceThe Special Master also declined to furtheramend the protective order.exchangeconditionsdocumentsDraeger's participation.andConsequently, discovery and theexpertreportsproceededwithoutThis created an anomalous situation:the manufacturer was not a party to the defense of its product.The State had to defend the Alcotest 7110 derivately.Pursuant to N.J.R.E. 104, the Special Master held forty-onefull days of evidentiary hearings which commenced on September13

18, 2006 and concluded on January 10, 2007.The parties andamicus NJSBA submitted proposed findings of fact and lityoftheAlcotestAs further ordered by the Court, the Special Master hasissued his findings and conclusions in this matter within thirtydays of the completion of the hearings.II.STANDARD OF fically reliable instrument for determining the hisquestion will assist the Supreme Court in determining whetherthe results of Alcotest 7110 readings generally may be admittedin evidence and support convictions under N.J.S.A. 39:4-50 andcognate statutes.Under New Jersey's statutory scheme, a driver of a motorvehicle is guilty of a so-called "per se" violation of N.J.S.A.39:4-50(a) at a "blood alcohol concentration of 0.08% or more byweight of alcohol in the defendant's blood."isa"blood"alcoholalcohol jurisdiction.jurisdictionasThus, New Jerseyopposedtoa"breath"See State v. Downie, 117 N.J. 450, 469-71(1990) (Stein, J., dissenting).A person "under the legal age[twenty-one] to purchase alcoholic beverages" while operating amotor vehicle "with a blood alcohol concentration of 0.01% or14

more" is subject to special penalties imposed by N.J.S.A. facommercial vehicle "with an alcohol concentration of 0.04% Interestingly, this latter statute defines alcohol concentrationeither by "blood" or "breath," not by "blood" alone, as doesN.J.S.A. 39:4-50.See N.J.S.A. 39:3-10.11.All agree that this"commercial vehicle" section is rarely, if ever, invoked by theseveral states under pain of withholding of federal highway-aidfunds.See 23 U.S.C.A. §§ 163 and 410; 23 C.F.R. § 1225.Weunderstand that New Jersey is in compliance with the federalmandate as of 2004.See L. 2004, c. 8 § 2 (amending N.J.S.A.39:4-50(a), eff. April 26, 2004); State v. Chambers, 377 N.J.Super. 365, 371 (App. Div. 2005).To allow the admission of scientific evidence in criminalcases,theremustscientific community.begeneralacceptancebytherelevantState v. Harvey, 151 N.J. 117, 169-70(1997) (citing Frye v. United States, 293 F. 1013, 1014 (D.C.Cir. 1923); Romano v. Kimmelman, 96 N.J. 66, 80 (1984); State v.Johnson, 42 N.J. 146, 170-71 (1964); Foley, 370 N.J. Super. at349.To establish general acceptance, test results must have"'sufficient scientific basis to produce uniform and reasonably15

reliableresults[which]willcontributeascertainment of the eriallytotheRomano, 96 N.J. at 80 thegeneralscientificmethod, which requires the extraordinarily high level of ey, 151 N.J.consistent,andvalidatedat 171 (quoting Rubanick v.Witco Chem. Corp., 125 N.J. 421, 436 (1991)).Given the rapidly changing nature of modern science, unity's acceptance of a novel technology.thescientificId. at 167-68.Thus, newly-devised scientific technology essentially achievesgeneral acceptance only after it passes from an experimental toa demonstrable ilityoftheitsId. at s.Nor does it require the exclusion of the possibility rtsrecognize that "[e]very scientific theory has its detractors."Harvey, 151 N.J. at ecution's attempt to introduce a novel type of scientificevidence, a court may conduct a hearing under N.J.R.E. 104 to16

determine whether the scientific evidence is generally accepted.Id. at 167.throughId.Proof of its general acceptance can be obtainedexperttestimony,publicationsorat 172-76; Foley, 370 N.J. Super.judicialat 350.opinions.The partyoffering the evidence has the burden to "clearly establish" eachof these methods.Super.at349scientificHarvey, 151 N.J. at 170; Foley, 370 tancemustmeetwithintheclearandtheconvincing standard of proof.").At aN.J.R.E. 104 hearing, however, proofs need not complywith the other rules of evidence, except that N.J.R.E. 403 maybe invoked and valid rules of privilege are recognized.Biunno,Current N.J. Rules of Evidence, comment 4 on N.J.R.E. 104(a)(2006).Thus, hearsay evidence is admissible.Ibid.When ashowing of general acceptability has been made, courts will yzer'sgeneral acceptance within the scientific community demonstratedits scientific reliability and that such reliability was thesubject of judicial notice in all cases under N.J.S.A. 39:4-50).The State must prove by clear and convincing evidence tscientific community even if such acceptance is not unanimous for the purpose of determining the concentration of alcohol in17

the blood.If the Alcotest 7110 is a scientifically reliableinstrument for measuring blood alcohol, the test results areadmissibleinevidenceonlyclearly establishes that:inthosecaseswheretheState(1) the instrument was in properworking order; (2) the operator was qualified to administer theinstrument; and (3) the test was administered in accordance withofficial instructions and New Jersey State Police protocol forthe instrument's use.See Romano, 96 N.J. at 81.III. THE FACTS1.Chemistry and hol(ethanol) in the brain causes cerebral dysfunction leading toautomobile accidents.the brain is the blood.The medium through which alcohol reachesIf we could directly sample blood fromthe brain, the amount of alcohol it contains could be easily andaccurately known.But we can not.Alcohol comes into the human body through the stomach andpasses to the small intestines.It is absorbed into the bloodpartly in the stomach but principally from the small eslowly,depending on the contents of the stomach and the strength andquantity of the alcohol ingested.The alcohol-laden blood thenpasses to the liver and circulates through all parts of the18

body.It is found in all water in the body.Freshly formedurine, saliva or other body fluids receive alcohol in proportionto their water content.takenaftertimeBlood from many parts of the body,allowedforabsorption,alcohol present throughout the body.samplesarenotparticularlywillreflecttheUrine specimens and salivaaccurateandaredifficulttoobtain, especially on a repeat basis over a short period oftime.They are unsatisfactory for field work.The taking of blood samples poses some inconveniences butnot of great magnitude.With blood the first issue is from whatpart of the body is the sample taken.The amount of alcoholpresent in the blood will vary between venous blood from thecubitalorelbowveinintheblood, or from arterial blood.arm,fromfingertipcapillaryEven arterial blood will providedifferent readings on the amount of alcohol present depending onthe site where the blood sample is taken.Arterial blood passes through the lungs into the heart andfrom there goes to the brain through the carotid arteries.Onleaving the brain it travels through the venous system, goesback through the liver, and continues through the heart where itis again pumped into the arterial system and lungs.Returning to the problem of determining how much alcohol isin the brain, the immediate source of blood supply to the brainis through the carotid arteries.19If we could simply and safely

draw a blood sample from one of those arteries this would be anexcellent measure of alcohol in the brain.Such a procedure isneither simple nor safe.Blood can be taken from other sites, commonly the fingertips or the cubital vein.thebrainanddonotBoth sites are much more remote fromgiveaprecisepresent in the brain at the time.indicationofwhatisThe alcohol content of bloodconstantly changes as it circulates through the body.It iseliminated through various parts of the circulatory system butgains more alcohol from the small intestines so long as alcoholremains in the odreadings depends, the fingertip blood or capillary blood is notsatisfactory.The size of the sample is quite small and thereis immediate danger of exposure to the air and evaporation ver, it does not always give an accurate reflection of thealcohol in the brain, especially during the period during whichalcohol is still being absorbed through the stomach and oscientists for a long time.Scientists also have long known that as the blood passesalong the alveolar or honey-comb-like cells in the lungs, some20

of the volatile alcohol in the blood will escape into the breathchambers on the other side of the thin membrane which makes upthose cells.This transfer of alcohol from blood to breath inthe lungs proceeds, in general, at a fairly predictable rate formost, but probably in no two people is that rate precisely thesame.This is because of biological variation.Since arterial blood passing through the lungs is the mostaccessible practical spot for testing prior to going through thecarotid arteries to the brain, it became apparent that if anaccurate form of detecting the amount of alcohol in the breathcould be developed and if the breath-alcohol level could berelated to an assumed amount of alcohol in the arterial bloodwhich produced it, a prediction could be made as to how muchalcohol must be present in the blood flowing through the therbreath-alcohol analyzing instruments.In our view, there is really no problem at all with thetechnology for measuring the amount of alcohol present in agiven sample of breath or vapor.The breathalyzer has been oneof a number of scientifically-proven instruments.With properworking order and a trained operator, it can read alcohol lyMost all experts agree on this.scientificThe problem isconverting that breath-alcohol reading or concentration (BrAC)21

into a blood alcohol concentration (BAC).This outcome dependson the process in the subject's lungs.2.HistoryEvidential breath testers (EBTs) have been in use sinceRobert F. Borkenstein invented the breathalyzer in idiaryDraegerwerk Aktiengesellschaft (Draeger AG), acquired Smith ytogainaccess to the United State’s market. Draeger AG was founded in1887 in Luebeck, sportation (USDOT), issued a notice converting the ublishingaconforming products list (CPL) of such instruments to assist49 Fed. Reg. 48854 (Dec.states in their purchasing decisions.14, 1984).The model specifications also added an minating the need to test with human subjects.capability,Ibid.NHTSAdefined EBT’s as "instruments that measure the alcohol contentofdeeplungbreathevidential purposes."sampleswithIbid.22sufficientaccuracyfor

In 1993, NHTSA published the amended Model Specificationsfor Devices to Measure Breath Alcohol and an updated CPL toaccommodate transportation workplace alcohol testing programs,to meet new zero tolerance laws for underage offenders, and toadd testing for acetone interference.17, 1993).The(Volpe)NHTSAThe updated CPL listed the "Alcotest 7110."USDOTinon58 Fed. Reg. 48705 tionMassachusettssubmittedtheir accuracy and A, through Volpe, alsodoes special testing for end-users upon ndtypeapproval"precisiontesting;powerAs olvoltagetesting;andelectrical safety nthisproceeding and Draeger's United States' principal, establishedthe Breathalyzer Division in the United States.Eight yearslater, the Breathalyzer Division merged with Draeger Interlock,Inc., and the name changed from National Draeger to dentofDraeger’s operations in Durango, Colorado, Ryser supervises the23

th-testing instruments.In 1995 Draeger introduced to the United States market theAlcotest 7110 MKIII, which used a dual sensor measuring systemconsisting of infrared spectroscopy (IR) and electrochemical orfuel cell technology (EC), to analyze breath alcohol results.From November 1995 through February 1996, personnel from theAlcohol Drug Testing Unit (ADTU) of the New Jersey State omasA.Brettell, Ph.D., performed various tests on four EBTs sforthepurpose of selecting a new bre

Samuel L. Sachs of the firm Sachs & Sachs appeared on behalf of Jeffrey R. Wood and James R. Hausler. Matthew W. Reisig appeared on behalf of Christopher Salkowitz, Peter Lieberwirth, Raj Desai and Peter Piasecki. John Menzel of the firm Moore & Menzel appeared on behalf of Anthony Anzano, David Whitman,

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