COMMONWEALTH OF KENTUCKY V. TERRY ROBERTS and COMMONWEALTH OF KENTUCKY V. DAVID R . SMITH
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RENDERED: DECEMBER 18, 2003
TO BE PUBLISHED
,Suprnar (gourf of
2002-SC-0691-DG
COMMONWEALTH OF KENTUCKY
JA
APPELLANT
ON REVIEW FROM COURT OF APPEALS
2002-CA-1125-D & 2002-CA-1202-D
ADAIR CIRCUIT COURT NO. 2001-XX-02
V.
APPELLEE
TERRY ROBERTS
2002-SC-0326-DG
COMMONWEALTH OF KENTUCKY
APPELLANT
ON REVIEW FROM COURT OF APPEALS
2000-CA-2630-DG
MARION CIRCUIT COURT NO. 1999-XX-08
V.
DAVID R. SMITH
APPELLEE
OPINION OF THE COURT BY JUSTICE WINTERSHEIMER
AFFIRMING IN COMMONWEALTH V. ROBERTS , 2002-SC-0691-DG
REVERSING AND REMANDING IN COMMONWEALTH V. SMITH, 2002-SC-0326-DG
We have considered these two appeals together because they concern a
principal issue that is common to both cases. That issue involves the foundation
requirements for admission of a breath alcohol test . The question also involves how
service records are to be presented in a case concerning verification of a self-calibrated
instrument .
In Commonwealth v. Roberts , 2002-SC-0691-DG, the Commonwealth appeals
from a decision of the Court of Appeals denying its motion for discretionary review . The
case involves an opinion of the Adair circuit court reversing a judgment of the district
court based on a jury verdict convicting Roberts of first offense DUI . He was fined
$200.
In Commonwealth v . Smith, 2002-SC-0326-DG, the Commonwealth appeals
from a decision of the Court of Appeals reversing an order of the Marion circuit court
that had affirmed the judgment of the district court based on a jury verdict convicting
Smith of first offense DUI . He was fined $500 .
The principal issue in both cases is whether the Adair circuit court in Roberts ,
supra, and the Court of Appeals in Smith , supra , erred in reversing the respective
convictions based on the failure of the Commonwealth to lay the proper foundation for
the admission of the breath tests. Another issue unique to Smith is whether the Court
of Appeals should have dismissed his appeal for his failure to designate evidence in the
record .
We will briefly summarize the facts in the two cases . Roberts was arrested in
October 2000 for operating a motor vehicle under the influence of alcohol, first offense .
He submitted to a breath test that measured a .096 blood alcohol content . At that time,
the legal limit was .080 . In 2001, he was tried before a jury in district court where he
was found guilty of the charge and was fined $200.00 .
At trial, counsel for Roberts objected to the admission of the breath test based
on an improper foundation. The test was administered by a Kentucky state police
trooper using a Breathalyzer machine at the Columbia city police department and
identified as an Intoxilyzer 5000. The state trooper read from the machine's
maintenance record, but he had no personal knowledge of those records and was not
the custodian of them . He could not testify as to the authenticity or accuracy of the
records and the Commonwealth offered no other witness to do so. The trooper testified
that the machine worked properly when he used it.
On appeal, the circuit judge determined that the testimony of the state trooper
standing alone was insufficient to establish that the machine had been properly
maintained and serviced regularly. The circuit judge concluded that the requirements of
Commonwealth v. Wirth, Ky., 936 S.W.2d 78 (1997) were not satisfied and reversed
the conviction . The Court of Appeals denied discretionary review, but this Court
accepted discretionary review.
Smith was arrested in 1997 for operating a motor vehicle under the influence of
alcohol, first offense . He submitted to a breath test that measured a .131 blood alcohol
content. Smith was tried in 1999 before a jury in district court, which found him guilty of
the charge. He was fined $500 . The circuit court affirmed his conviction, but the Court
of Appeals reversed because it stated that the Commonwealth failed to meet the
foundation requirements for admission of the breath test. This Court accepted
discretionary review.
This Court is aware that there exists among some courts in the Commonwealth
conflicting interpretations surrounding certain language in this Court's opinion in Wirth,
supra, dealing with the foundation requirements of a breath test. We now seek to
clarify our holding in that case . In Wirth , we stated that the standards set forth in
Marcum v. Commonwealth , Ky., 483 S.W.2d 122 (1972) and Owens v. Commonwealth ,
Ky., 487 S.W.2d 897 (1972) remain the principal foundation requirement for admission
of a breath test. Those standards are as follows :
1) That the machine was properly checked and in proper
working order at the time of conducting the test.
2) That the chemicals employed were of the correct kind and
compounded in the proper proportions .
3) That the subject had nothing in his mouth at the time of
the test and that he had taken no food or drink within fifteen
minutes prior to taking the test.
4) That the test be given by an operator who is properly
trained and certified to operate the machine .
5) That the test was administered according to standard
operating procedures .
The court in Wirth went on to say that:
The only additional requirements are found in KRS
189A.103 (3)(a), KRS 189A .103(4), and 500 KAR 8:020(2),
which may be satisfied by means of business or public
records showing compliance with the additional
requirements . Provided the documentary evidence may be
properly admitted, it is unnecessary to produce the
testimony of the technician who serviced and calibrated the
machine .
We find it necessary to set out those statutes and the regulation referred to by
Wirth . KRS 189A .103(3)(a) states :
Tests of the person's breath, blood, or urine, to be valid
pursuant to this section, shall have been performed
according to the administrative regulations promulgated by
the secretary of the Justice Cabinet, and shall have been
performed, as to breath tests, only after a peace officer has
had the person under personal observation at the location of
the test for a minimum of twenty minutes .
KRS 189A.103(4) reads :
A breath test shall consist of a test which is performed in
accordance with the manufacturer's instructions for the use
of the instrument . The secretary of the Justice Cabinet shall
keep available for public inspection copies of these
manufacturer's instructions for all models of breath testing
devices in use by the Comonwealth of Kentucky.
500 KAR 8:020(2) states:
A breath alcohol instrument shall be accurate within plus or
minus 0.005 alcohol concentration units reading to be
certified . To determine accuracy of instruments, a technician
trained or employed by the Forensic Laboratory Section of
the Department of State Police shall perform analyses using
a certified reference sample at regular intervals .
(2) All breath alcohol analysis instruments shall be examined
by a technician trained or employed by the Forensic
Laboratory Section of the Department of State Police prior to
being placed into operation and after repairs of any
malfunctions.
Although not set forth in Wirth , we must also include 500 KAR 8 :030(2), which
reads:
A breath alcohol concentration test shall consist of the
following steps in this sequence:
(a) Ambient air analysis ;
(b) Alcohol simulator analysis ;
(c) Ambient air analysis ;
(d) Subject breath sample analysis ; and
(e) Ambient air analysis .
(3) Each ambient air analysis performed as part of the
breath alcohol testing sequence shall be less than 0.010
alcohol concentration units .
We must observe that the "additional requirements" stated in Wirth are not in fact
additions, but are modifications of the already existing standards set out in Marcum ,
supra, and Owens, supra . KRS 189A .103(3)(a) changes the standard in Marcum and
Owens concerning the fifteen minute time frame and now specifies that a peace officer
personally observe the subject for twenty minutes . See also 500 KAR 8 :020(1) . KRS
189A.103(4) effectuates no change. It requires the test to be performed in accordance
with the manufacturer's instructions . The language in Marcum and Owens states that
the test should be administered according to standard operating procedures . We find
this to be a distinction without a difference . 500 KAR 8 :020(2) only specifies the
standards involved in properly checking the machine . Finally, 500 KAR 8 :030(2)
modifies the requirement that the operator state that the "chemicals were of the correct
kind and compounded in the proper portions" and now sets forth the steps and
sequence to be followed when giving the test .
Based on the relevant cases, statutes and administrative regulations in this
opinion, we restate the evidence necessary to lay the proper foundation for admission
of a breath test :
1) That the machine was properly checked and in proper
working order at the time of conducting the test.
2) That the test consist of the steps and the sequence set
forth in 500 KAR 8 :030(2).
3) That the certified operator have continuous control of the
person by present sense impression for at least twenty
minutes prior to the test and that during the twenty minute
period the subject did not have oral or nasal intake of
substances which will affect the test.
4) That the test be given by an operator who is properly
trained and certified to operate the machine .
5) That the test was performed in accordance with standard
operating procedures .
Wirth noted that in Marcum and Owens "we held that the test results should be
admitted on the testimony of the operator ." As to what it termed additional
requirements found in the statutes and administrative regulations, Wirth stated that they
"may be satisfied by means of business or public records showing compliance with the
additional requirements ." Again, we clarify the language in Wirth , and note that there
were no additional requirements, but rather modifications of the previous requirements .
Wirth continued, "Provided the documentary evidence may be properly admitted, it is
unnecessary to produce the testimony of the technician who serviced and calibrated the
machine ."
Although Wirth did not overrule Marcum or Owens , it recognized the importance
of the records showing compliance with the foundation requirements . We now further
clarify our position in Wirth and hold that the Commonwealth can satisfy the foundation
requirements for introducing a breath test by relying solely on the testimony of the
operator so long as the documentary evidence, i .e., the service records of the machine
and the test ticket produced at the time of the test, are properly admitted . If the
documentary evidence is properly admitted, it is unnecessary to produce the testimony
of the technician who serviced and calibrated the machine . We overrule Marcum and
Owens to the extent that they are inconsistent with this opinion .
We now address the two cases before us. In reversing Roberts' conviction, the
circuit judge correctly noted that Wirth provides that proof a Breathalyzer machine is in
proper working order must be shown by either the testimony of the technician who
serviced it or by properly introducing the machine's maintenance records . He then
stated :
In this case, the state trooper read from the machine's
maintenance records, but he had no personal knowledge of
the machine's records and he was not the custodian of
those records . He could not testify to the authenticity or
accurateness of the records, and the Commonwealth offered
no other witness to do so either. Although the trooper
testified that the machine worked properly when he used it,
his testimony alone was insufficient to establish that the
machine had been properly maintained and serviced
regularly. Therefore, the requirements of Wirth were not
met.
The maintenance records are admissible under KRE 803(6), the business
records exception, or KRE 803(8), the public records exception . Cf. Wirth. It should be
noted that KRE 902(11) facilitates the introduction of the business records under KRE
803(6). Based on the language of the circuit judge set out above, it appears that he
only considered KRE 803(6) and not KRE 803(8) .
As we noted in Prater v. Cabinet for
Human Resources , Ky., 954 S .W .2d 954 (1997) :
. . . KRE 803(6) requires foundation testimony from a
"custodian or other qualified witness ." There is not such
requirement in KRE 803(8). A record is not admissible
under KRE 803(6) unless its maker or someone reporting to
the maker under a business duty to do so had personal
knowledge of the event recorded . Such is not required by
KRE 803(8) if the record is of a regularly conducted and
regularly reported activity. KRE 803(6) requires that the
entry be made at or near the time that the recorded event
occurs. Again, KRE 803(8) contains no such requirement .
Note that both rules contain a disclaimer that admission can
be denied if "the source of information or the method or
circumstances of preparation indicate lack of
trustworthiness ." (Internal citation omitted) .
Nevertheless, a review of the record demonstrates that the requirements of
neither rule of evidence were met in this case. Thus, we agree with the result reached
by the circuit judge.
We must observe an additional problem in this case in that there was no
testimony concerning the steps and the sequence set forth in 500 KAR 8:030(2). Nor is
the document contained in the record compliant with that regulation . That document
was apparently attached to the uniform citation, but it only shows a calibration check
and the subject test . It does not make reference to the two ambient air analysis tests or
the alcohol simulator analysis . The deficiency is all the more apparent when compared
to the test ticket in Smith , which does reflect the proper information .
For the reasons stated above, we must conclude that the Commonwealth did not
satisfy the proper foundation requirements in order to admit the breath test. We
therefore affirm the circuit judge in so far as he reversed Roberts' conviction and we
remand this case to the district court for further proceedings consistent with this
opinion.
In Smith, we are presented with a rather unique issue. The Commonwealth
argues that Smith's appeal should have been dismissed by the Court of Appeals
because he failed to properly designate evidence in the record on appeal as required by
CR 75 .01 . We agree.
After Smith was convicted in district court, he appealed the judgment to the
Marion circuit court, which affirmed the conviction . Thereafter, Smith filed a motion for
discretionary review in the Court of Appeals which granted the motion and ordered that
the "evidence designated under CR 75.01 must be transcribed ." Smith failed to
transcribe the evidence and designate it for inclusion in the record . Nevertheless, the
Court of Appeals determined that the lack of testimony was not critical because, "it is
undisputed that the Commonwealth presented neither the records nor a technician's
testimony, and thus failed to meet the foundation requirements set forth in Wirth for the
introduction of the breathalyzer result ."
The record before this Court is the same record that was before the Court of
Appeals . It does not contain transcripts or audiotapes of the trial conducted in the
district court . In Oldfield v. Oldfield , Ky., 663 S .W .2d 211 (1983) we stated :
[I]f consideration of the transcript of evidence is necessary to
the determination of the issue raised by appeal, and the
transcript of evidence is not designated for inclusion in the
record, the appellate court finds itself unable to resolve the
issue because the record is insufficient, and the appeal must
be dismissed .
We believe the failure of Smith to transcribe the evidence was fatal to his appeal.
The record before this Court includes a proper test ticket produced after the peace
officer administered the breath test to Smith. Although the service logs are not
included, it is impossible to determine from the record whether the service technician
testified . We note that the district court judgment reflects that the peace officer who
administered the test testified, as well as the defendant and a third individual unknown
to this Court, Bernard Benningfield.
Here, without the testimony of the district court trial, a reviewing court could not
properly resolve the evidentiary questions presented . Thus, the Court of Appeals erred
in considering the evidentiary issue and should have dismissed the appeal and affirmed
the order of the Marion circuit court affirming the judgment of conviction . Accordingly,
based on the record before this Court, we reverse the opinion of the Court of Appeals
and reinstate the judgment of conviction .
It is the holding of this Court that the Commonwealth can satisfy the foundation
requirements for introducing a breath test by relying solely on the testimony of the
operator so long as the documentary evidence, i.e., the service records of the machine
and the test ticket produced at the time of the test, are properly admitted . If the
documentary evidence is properly admitted, it is unnecessary to produce the testimony
of the technician who serviced and calibrated the machine .
In Roberts , we affirm the opinion of the Adair circuit court reversing the judgment
of conviction and we remand this matter for further proceedings consistent with this
opinion . In Smith , we reverse the Court of Appeals opinion reversing the order of the
Marion circuit court, which had affirmed the judgment of conviction, and we reinstate
the judgment of conviction .
All concur.
COUNSEL FOR APPELLANT :
COUNSEL FOR APPELLEE ROBERTS:
A. B . Chandler III
Attorney General of Kentucky
Jonathan Ray Spalding
105 West Main Street
Lebanon, KY 40033
Perry T. Ryan
Assistant Attorney General
Criminal Appellate Division
Office of the Attorney General
1024 Capital Center Drive
Frankfort, KY 40601-8204
Joseph H. Mattingly III
Lisa K. Nally-Martin
PO Box 678
104 West Main Street
Lebanon, KY 40033
COUNSEL FOR APPELLEE SMITH:
Samuel Todd Spalding
105 West Main Street
Lebanon, KY 40033
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