九 十三 年道 路交通

安全與執法國際研討會
中華民國 93 年 9 月

Scientific Principles of Evidential Breath-Alcohol Testing

Up-to-date Technologies and Procedures
Hansueli Ryser 1

Abstract
To ensure traffic safety, law enforcement dedicates considerable time & resources to
control drunk-driving (DUI, driving under the influence). It is often questionable whether
the law is carried out properly and due process followed. Therefore, it is necessary for us
to consider more appropriate and more advanced breath analytical procedures of other,
more DUI experienced countries.
It will be demonstrated through advanced scientific knowledge the deficiencies in the
current breath alcohol testing programs and the equipment in use. Legal guidelines and
applicable per-se-laws set the legal stage in most industrialized countries, yet, regulations,
procedures and laws in other countries often lack sufficiency and complexity. This causes
lack of faith by the subjects, prosecutors, judges and forensic experts regarding the program
guidelines and the equipment in use. Often, the alcohol offender asks for a second test or
challenges the system’s analytical capabilities and integrity.
To improve the total program, research is directed to evaluate advanced and evidentially
solid breath test programs and technologies in use. In summary, this paper’s conclusion
shall guide the program administration in implementing state-of-the-art standards and
regulations for modern, evidential breath alcohol analysis and procedures for the police
forces.

1.Introduction
Many humans are attracted to the psychoactive effects of alcohol on the body thus, it is the
most common, legal (in most countries) drug of choice. However, the influence of alcohol
or the over-consumption of alcoholic beverages by humans is often the cause of crimes and
violence, including fatal traffic accidents. Worldwide, five percent of all deaths of people
in the age group 5 to 29 (1990 National Highway and Traffic Safety Administration,
NHTSA statistics) were attributable to alcohol use. Traffic deaths rank highest among all
causes of death & alcohol related traffic fatalities rank highest within this category. Law
Enforcement Agencies are challenged to locate intoxicated drivers and to remove them
from the public roadways.
In the late 1940’s, the forensic community was challenged to search for more objective,
non-invasive methods to determine a vehicle operator’s impairment level and ability to
safely operate a vehicle on public roads. While analysis of bodily fluids such as blood or
urine for measuring the subject’s intoxication levels are scientifically suitable, the sample
collection is invasive for the subject, the analytical process is costly and not appropriate for

1 Draeger Safety Diagnostics, Inc.

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handling by police forces. Its analytical inefficiency is further accentuated because its
processes require additional laboratory personnel and elaborate analytical instrumentation
(GC and/or MS).
Consequently, the analysis of alcohol in breath was considered a very desired and objective
test specimen for determination of a vehicle operator’s breath-alcohol concentration and
impairment level for evidential purposes. In the early 1950s, the Breathalyzer® 900 set the
basis for the scientific acceptance of analyzing alcohol in breath. Law-Enforcement
personnel implemented and administered these noninvasive and efficient tests as part of
their drunk-driving enforcement. Furthermore, it allowed the criminal justice system to set
the basis for conviction of subject’s who have exceeded punishable limits of alcohol
concentration in their body.

2. Technical Challenges for Breath-Alcohol Testers

Physiological factors and the dynamic factors in the expired breath’s composition have
been challenging the research and manufacturing community to produce the best scientific
breath testers possible. In addition, it is required that a breath tester’s integrity can’t be
influenced by the operator’s or the subject’s actions, cooperation or limitations. Foremost,
an evidential breath-alcohol tester must comply with local laws and local specifications, be
accepted in the forensic community, and be scientifically reliable to stand firm against all
facets of court challenges brought upon by the legal defense.
A Physiological Aspects
Significant physiological factors which can affect the validity of a breath test
measurement must be considered by the instrument when utilized in evidentiary and
legal applications. It must be noted that “Standardized Operator Procedures” can
reduce the occurrence of certain physiological effects:
Vital lung volume versus expired breath volume.
It is essential that the breath tester samples only the end of a prolonged exhalation
(alveolar air) for analysis. Sampling and measurement of pre-alveolar breath will
give measurements which aren’t in equilibrium with the actual blood alcohol
concentration.
Mouth-alcohol.
Mouth-alcohol represents high concentration, residual alcohol in the mouth cavity
from the beverage consumed or use of alcohol containing medication or breath spray.
Such measurements lead to falsely high readings. In addition, the “Standardized
Operator Procedure” should mandate a > 15 minutes wait period prior to any
evidential breath test.
Regurgitation of stomach contents.
Vapors stemming from regurgitation (burping) are of extremely high alcohol
concentration. Unfortunately, even a 15 minute waiting period cannot prevent this
situation. This phenomena leads to erroneous high alcohol measurements and must
be addressed when testing for legal purposes.
Breathing patterns.
A subject’s breathing pattern prior to the test can greatly alter the breath test result.
Rapid inhalations and exhalations (hyperventilation) by the subject either
intentionally or because of nervousness will lower the exhaled breath temperature

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 thus, lower the breath-alcohol measurement. Contrary, a subject holding the breath
(hypoventilation) prior to the test will increase the breath temperature thus, increasing
the expired alcohol in breath. The ambient air temperature in the testing vicinity can
magnify this effect due to the cooling or warming of the upper respiratory system.
Breath temperature.
It has long been assumed that a subject’s exhaled breath temperature is at a steady
34°C. However, rather recent studies suggest that the average breath temperature is
between 34.5°C and 35°C. Thus, deviation of the actual end-respiratory breath
temperature from the assumed 34°C will either over or underestimate the true alcohol
measurement by 6.58% per one degree Celsius. Breath temperature variations can be
influenced by subjects exposed to hypothermia/hyperthermia, fever, hey-fever,
menstrual cycles, ambient temperature, anxiety, hypo- and hyperventilation, etc.
These test dynamics must be addressed by breath-alcohol instruments if used for legal and
evidentiary testing. Most recent developments in evidential breath-alcohol instruments
incorporate monitoring and sensing features which monitor these physiological and
influential factors.

3. Technology-History of Breath-Alcohol Analyzers

The technology of breath-alcohol testing has changed fundamentally over the years. This
was partially driven by general technology advancements and in part due to defense
challenges. The most evolutionary advancements in technology can be seen predominantly
in Western, industrialized countries where evidential breath alcohol testing started over 50
years ago. The following is a chronicle describing the most recognized technologies used
for preliminary (“screening”) and evidentiary breath-alcohol analysis as well as its
advantages and disadvantages:
A. Wet-chemical Oxidation technology:
The first significant breakthrough in evidential breath testing technology began with the
Breathalyzer® 900 in 1954. The analytical principle was based on chemical oxidation
by alcohol within a mixture of dichromate and sulfuric acid in vials. It paved the way
for scientific acceptance of evidential breath alcohol testing by the international
forensic community and the courts.
Advantages:
Compact table-top package.
Relatively quick analysis.
Accurate and specific to alcohol.
Disadvantage:
Minimum required breath volume < 60mL.
The handling of the vials is critical as they contain sulfuric acid.
The Breathalyzer’s biggest short-coming however, was the fact that the system was
operator dependent.
Growing legal attacks in the eighties rendered the Breathalyzer® 900 vulnerable to
manipulation by the operator thus; the equipment was rapidly replaced by newer
and less operator dependent instruments.
The last Breathalyzer® 900 was manufactured in 1992.

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 Currently, there are still about 500-700 instruments in operation mainly in the State
of New Jersey, USA and a few in Canada.
B. Solid-state sensor technology:
Commonly called “Taguchi” cells, a metal oxide semiconductor based sensor
manufactured by Figaro located in Japan. The Taguchi cell operates by adsorption of
gas molecules on the surface of a semi-conductor. This transfers electrons due to the
differing energy levels of the gas molecules on the semi-conductor’s surface.
These types of instruments are sold mainly to the consumer markets as opposed to law
enforcement. None of these sensor-type instruments are approved by the National
Highway Safety Administration as evidential breath testers.
Advantages:
The sensors are small in size and rather inexpensive to manufacture. Lowest priced
breath testers.
These instruments are sold in convenience stores and mail-order-catalogs.
Disadvantages:
The sensor is very unstable, drifty and non-specific to alcohol.
It reads all hydrocarbons (organic vapors) and will habitually produce false positive
alcohol readings caused by smoker’s and car exhaust CO as well as many other
environmental vapors and gases.
This senor is partial pressure sensitive and therefore changes sensitivity with change
in altitude and elevation.
This sensor is sensitive to changes in ambient temperature, humidity and breath-
flow patterns.
For these and other reasons, solid-state sensor instruments can’t be employed in
evidential and legal applications.
C. Electro-chemical cell technology (“EC”):
Most commonly called “fuel-cell”. Fuel-cell technology for alcohol analysis was first
introduced in the early 1970s by an Austrian researcher. The EC sensor requires a
sampling system consisting of a piston or bellow pump assembly, applying a very
precise amount (~ 1 ccm) of breath to the sensor. The volume consistency is highly
important because the current produced by the sensor is proportional to the total number
of alcohol molecules converted in the sensor. The sensor is composed of an
immobilized electrolyte, flanked by an active and a passive electrode. The electrolyte
and the electrode material are selected such that the alcohol to be measured is
electrochemically oxidized and converted at the active electrode. The change in the
electronic conductivity causes a rise in current flowing from the active to the passive
electrode. The total electrochemical reaction is evaluated by time integration of the
sensor’s current. This analytical process is referred to as coulometry. A further benefit
of this method is the test result stability throughout the sensor’s life. The sensor’s life
expectancy is approximately 4-5 years.
Advantages:
The sensor is highly specific to alcohol.
The measurement cannot be biased or influenced by endogenous substances such as
acetone (diabetics and starving people), CO or Toluene.

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 The sensor is highly sensitive, down to 0.1 ppm.
Accuracy meets specifications for evidential instruments (NHTSA) and remains
stable ≥ 6 months before having to calibrate it again.
Its expected life term is approximately 5 years.

Disadvantages:
EC based instruments cannot observe the breath alcohol concentration throughout
the subject’s exhalation (see “Physiological Factors” above). This doesn’t allow
detection of alveolar breath (“deep lung air”), mouthalcohol, belching, burping,
Gastro Esophageal Reflux Disease (GERD) and residual alcohol trapped under
dentures or alcohol from bleeding gums.
The EC sensor is cross sensitive to other alcohols such as methanol and isopropanol.
The EC sensor’s output is temperature dependent and suffers short term fatigue if
the sensor is exposed to a series of successive alcohol containing tests.
EC based instruments are not accepted for evidential use in many countries, states
and jurisdictions.
D. Infrared Spectroscopy (“IR”):
IR technology (IR Spectra-photometry) based breath-alcohol testers were first
introduced in the mid 1970s. IR instruments have become the standard worldwide for
legal, evidential breath analysis.

The analytical concept is based on the Beer-Lambert Law of physics, the “Law of
absorption”. It addresses the linear relationship between absorbance and concentration
of an absorber of electromagnetic radiation. Alcohol vapor introduced into an
absorption chamber will absorb some of that IR radiation transmitted through the
chamber. The amount of IR absorption is in direct proportion to the quantity of alcohol
present (breath-alcohol). However, only IR-radiation of a specific wavelength will
absorb alcohol. The two predominantly utilized wavelengths are centered at 3.39 and
9.5 µm. From this technology’s inception, the IR absorption wavelength was in the 3.4
µm range. The latest generation instrumentation monitors IR absorption at 9.5 µm
because the measurements are far less prone to interference from any hydrocarbons and
acetone which absorb IR energy at 3.4 µm.
The most significant benefits of “real-time” IR absorption analysis (continuous
measurement) requires understanding the dynamics of alcohol in the human breath.
Some of these dynamics relate to gas exchange in the mucus membranes, residual
alcohol in the upper respiratory tracks, belching, burping, Gastro Esophageal Reflux
Disease (GERD), exhaled air volume, breath flow rates and the subject’s breathing
pattern.
Only IR technology is capable of addressing these dynamic, physiological factors to
determine a legitimate, rightful and legally as well as forensically justifiable breath-
alcohol measurement.
Advantages:
IR based equipment observes the breath-alcohol concentration throughout the
subject’s exhalation. This allows the plot of the entire IR-absorption curve and the
instrument’s intelligence to assure that:

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 • The breath sample was of alveolar nature
• No residual or mouthalcohol was present
• The subject did not belch, burp or experience GERD
• The recorded absorption curve can be presented in court if the case is challenged
The IR system does not have a limited life expectancy, will not fatigue with
successive, high alcohol concentration test series and remains extremely stable for
years.
These instruments are equipped with many other important peripherals and
functionalities (please observe “Other required performance features for evidential
breath testers” below)
IR instruments are today’s standard worldwide for legal, evidential breath-alcohol
analysis and consequently face fewer legal challenges than all other breath testing
devices and technologies.
The following international standards highlight IR technology in their specifications:
• OIML, Europe
• NHTSA, USA
• CSA, Canada
• AS, Australia
• Numerous country specific requirements.
Disadvantages:
IR instruments are larger in size thus, not suitable for portable, handheld operation.
These instruments are more expensive than handheld (screening) equipment
employing solid-state or EC sensors.

4. Additional Performance Requirements For Evidential Breath Testers

Evidential breath tests are prone to criminal defense challenges simply because its results
may have legal consequences for the person accused of having offended laws or statutes.
The legal defense community therefore contests the authority’s overall program quality, the
integrity of the breath tester and the test-administration. This condition encouraged
instrument manufacturers and program administrators to relentlessly expand and improve
upon their applied methodology and the applied analytical technology. The following IR-
instrument features are incorporated and standard in all advanced and well established,
international, evidential breath test programs:
A. Observation of a Deprivation Period:
Adapted by virtually all evidential breath test programs, a deprivation or observation
period of at least 15 minutes is required prior to the test. This eliminates any potential
interference by recently ingested alcohol residing in the oral cavity and upper
respiratory system. Sources of residual alcohol include beverages, mouth sprays,
medication, breath deodorants, etc. Some jurisdictions require a time-down-counter by
the instrument to assure that the breath test cannot initiate prior to observing the subject
for ≥ 15 minutes.
B. Air Blank Test:
An ambient air check should be performed prior to an evidential breath test. The
significance of this test is to eliminate the possibility of an exogenous substance in

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 room-air interfering with the breath test. Such substances include exhaled breath-
alcohol from subjects waiting to be tested, air pollutants, solvents, finger-print wipes,
etc. This feature ensures proper purging of the absorption chamber and the imperative
zeroing of the IR detection system prior to a subsequent analysis. The breath test
instrument analyzes the ambient air for any absorbing substance, alerts the operator of
an interferent in the air, and halts the continuation of the test sequence.
C. Heated Breath Paths:
All tubing, hoses, absorption chamber, valves and any other breath-passages shall be
heated to > 39 degrees Celsius to prevent internal condensation. Condensation may
result in low readings (alcohol being trapped) or wrongful positive readings (release of
trapped alcohol). Furthermore, correct heating and the temperature shall be monitored
by the instrument and the instrument shall disable itself if the temperature is out of
range.
D. Duplicate Breath Analysis:
Most jurisdictions and international breath test standards (incl. OIML) mandate the
analysis by two independent measurements of duplicate breath samples. The two
breath tests should be part of the instrument’s automatic test sequencing and > 2
minutes, but < 10 minutes apart. The purpose of duplicate analysis is to further
suppress any potential bias due to RFI, mouth alcohol, instrument failure, intermittent
errors). Both test results shall be within acceptable agreement in order to validate the
test. The lowest of the two readings is commonly used for legal reporting.
E. Mouthalcohol Detection
The potential presence of Mouthalcohol has been a popular defense maneuver in court
for decades. Real-time observation of the IR absorption curve by a sophisticated
algorithm can detect the presence of residual mouthalcohol. “Mouthalcohol” includes
alcohol sources from recently ingested alcoholic beverages, trapped alcohol under
dentures, alcohol in blood from bleeding gums and tongue/lip/cheek piercing, belching,
burping, GERD, etc. Only IR based breath testers can detect mouthalcohol.
F. Slope Detection
“Slope” detection refers to the IR absorption profile generated during the delivery of an
alcohol containing breath sample. At the beginning of the exhalation the absorption is
near zero. As exhalation progresses, the breath-alcohol-concentration increases rather
sharply and as the air from the alveolar region of the lungs reaches the system the
concentration increase slows down significantly. In other words, once alveolar air
reaches the IR chamber, the absorption slope becomes nearly level. The instrument’s
algorithm observes the IR absorption slope from the beginning to the end of the
subject’s exhalation. If the breath-alcohol-concentration is still increasing at a rate
greater than specified (at the time the subject stops blowing into the instrument), the test
will be nullified and must be repeated. This is a fundamental analytical feature of
evidential breath testers.
G. Minimum Exhalation Volume
The preferred specimen for breath analysis is expired alveolar breath as it represents
most reliably the subject’s actual blood alcohol concentration. International forensic
scientists suggest that a minimum breath volume of 1 – 1.5 liters must be delivered

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 before the sample is taken for analysis. A subject’s maximum exhaled breath volume
(vital capacity) can vary from approximately 2 – 7 liters, depending on physical
condition, gender and age.

H. Minimum Exhalation Time

Requiring a minimum exhalation time reduces the risk of creating to much back
pressure during the exhalation process. Excessive back pressure would influence the
alcohol concentration due to the partial pressure difference in the lungs versus the
ambient pressure.
I. Breath Temperature Compensation
The breath-alcohol-concentration is expired breath- temperature dependent. The
temperature coefficient of alcohol solubility for solutions in water and biological media
is 6.5% per degree Celsius change (Harger et al., 1950a; Jones, 1983a). The average
exhalation temperature has been presumed to be at about 34°C for many decades.
However, more recent studies reveal that the actual average exhalation temperature is
closer to 35°C with a variant of about ± 2°C.
The exhalation temperature is influenced mainly by the ambient temperature, and a
subject’s breathing patterns like hypoventilation (holding breath) and hyperventilation
(rapid breathing). The more common breathing maneuver is hyperventilation which
will lower the exhalation temperature and consequently the breath alcohol concentration
by as much as 20% (Jones, 1982c).
Yet, breath testing devices are calibrated to an alcohol concentration equivalent derived
from a water/alcohol standard at 34°C.
In order to compensate for the breath temperature variance, a breath tester must be
equipped with a low mass, fast responding temperature sensor near or within the
mouthpiece to allow the breath tester to correct the breath test result to the (instrument
calibrated) 34°C equivalent.
The exhaled breath temperature phenomenon has become the latest legal challenge
topic.
J. Interfering Substance Susceptibility/Detection
First generation IR instruments were not specific for alcohol. These instruments
observed IR absorption near the 3.4 µm wavelength range. Interfering substance
susceptibility has been a common target for defense challenges due to the system’s
cross-sensitivity (false high readings) to acetone. Acetone can be produced
endogenously by diabetics and starving individuals. Other potentially interfering
substances are acetaldehyde, toluene, methyl alcohol and isopropyl alcohol.
Second generation 3.4 µm-range IR instruments utilize multiple optical filters to allow
only specific IR energy wavelengths (IR channels) to reach the IR detector.
Complimentary algorithms enable these instruments to discriminate between alcohol
and other endogenous substances found in the human breath.
The latest advancements in IR spectrometry involves the absorption of IR energy at a
wavelength of 9.5 µm. This eliminates the risk of interference by acetone and any
volatile hydrocarbons found in human breath.
However, today’s highest degree of ethanol specificity is achieved by combining a 9.5
µm IR system with an Electro-Chemical Cell sensor within the same instrument.

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 Dual Technology
It is a common forensic practice to validate an analytical process by analyzing one and
the same specimen by two, independent analytical principals. Such chemical analysis is
validated if both independent measurements are in reasonable agreement. The most
advantageous combination of two independent analytical principals for breath-alcohol
testing is IR spectrometry at 9.5 µm paired with an Electro Chemical Cell sensor.
These instruments are able to produce two measurement readings from the same
specimen.
K. Accuracy Verification With Every Breath Test
The assurance of the evidential breath tester’s analytical accuracy, at the time a
subject’s breath is being tested, is of the utmost judiciary significance. Historically
however, evidential breath analyzers were calibrated and certified usually once every
year. And, during a one year period, a breath tester performs approximately 1,000
evidential breath tests (USA). If, during the process of running a yearly
calibration/certification procedure, an instrument reveals that it’s measuring accuracy
isn’t acceptable, the general course of action is to take this instrument out of service and
invalidate all breath test results and convictions for the past 12 months back to the time
when the last successful certification was performed. This is extremely detrimental for
the integrity of a breath test program, the Scientific Director and the responsible Law-
Enforcement departments.
Today, most experienced and advanced program administrators require an instrument-
accuracy-verification at the time of every breath test. This strengthens every single
DUI case and eliminates the risk of discreditation of the instrument and the program.
Accuracy verification tests are commonly performed with wet-bath simulators
containing a water/ethanol standard or with a dry-gas ethanol standard containing a
known concentration of certified ethanol/nitrogen mixture. These tests are
automatically performed during the breath test sequence by the instrument without
operator input. Furthermore, the instrument’s microprocessor will disable the
instrument immediately if the accuracy test result falls outside the regulated tolerance.
L. RFI (EMI) Detection
Some earlier breath testing devices were susceptible to Radio Frequency Interference
(RFI) or Electromagnetic Interference (EMI). Today’s evidential instruments offer RFI
detection features. If the preset field strength limit is exceeded the breath test is aborted
and must be repeated.
M. Instrumental Error Detection
Advanced microprocessor based instruments incorporate substantial internal error
detection features. Any detected hardware or software error will halt and abort the test.
N. Data Collection
All advanced evidential breath test programs require data collection in conjunction with
the breath test sequence. This includes specific data on the subject, the arresting officer,
the operator, place of arrest, operator certification, IR absorption curve, etc. and all the
test measurement data. All this information is printed by the instrument produced
record and uploaded to a remote computer via modem or via an intranet system. The
uploaded data is utilized to generate statistical reports, to focus DUI enforcement

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 personnel to strategic, geographic problem areas, to provide defense lawyers with
documents (discovery law), to provide data to the license registration department, etc.
O. Ambient Barometric Pressure Detection
Recognition of the ambient barometric pressure at the time of the test allows automatic
measurement correction of a dry-gas based accuracy verification test.
P. One Button Operation
One button operation has become a desired feature as it eliminates doubts in the
operator’s proficiency or any intervention with the breath test sequence. The
instrument must follow a pre-programmed test routine specified by the local program
administration and in accordance of local laws and guidelines.
Due to the sophistication of these breath-analytical elements and the complexity of all
additionally required test features as mentioned above, only IR based instruments can
integrate these functions while meeting the local regulatory requirements.

5. Breath-Test-Program Quality Assurance

Evidential breath test results and all parties involved with these tests are often subject of
legal scrutiny. Aside from the integrity and sophistication of an advanced IR evidential
breath-alcohol-analyzer, there are other important, complimentary program quality
assurance aspects which must be considered and implemented. A written, comprehensive
Quality Assurance Plan (QAP) must be established and accredited by the local government.
This QAP should address at a minimum the following topics:

A. Rules and regulations describing every required step the law enforcement personnel
must follow, from the observation of a DUI subject to the subject’s conviction.
B. Administrative Rules describing operator’s training curriculum, operator certification
terms, instrument requirements, approval requirements, instrument maintenance
requirements, evidential breath test sequence, data collection requirements, record
keeping, etc.

6. Conclusion
Various human specimens can be considered for measuring a person’s alcohol
concentration level. All body fluids as well as expired breath are legitimate specimens for
alcohol concentration measurements. However, the two most popular methodologies for
medicolegal alcohol testing are blood analysis and breath analysis. Extensive scientific
studies have validated the close correlation between simultaneous measurements of alcohol
in blood and alcohol in breath.
For obvious reasons, breath-alcohol analysis has become the preferred evidential test
method dating back to the 1950s: By comparison, the breath test is non-invasive, can be
carried out and completed by the police staff without outside analysis, the entire test
procedure is swift and the per-test-cost is only a fraction of blood analysis.
Roadside tests or so called screening tests are conducted with handheld, mainly EC based
instruments. These instruments are portable, battery operated and provide quick test results.
The main objective of these tests are for confirmation of probable cause for submission to
an evidential test procedure.

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Yet, breath testing as opposed to blood testing appears to be of greater interest for attack
maneuvers by defense lawyers. The reason for this might be very subjective and simply
due to the fact that there are significantly more breath tests performed compared to blood
tests. It might also be that the defense sees easier prey in a policeman’s breath-test
proficiency compared to that of a University graduate operating a GC in a forensic
laboratory.
In conclusion, Infrared technology has established itself as the preferred technology for
breath-alcohol-analyzers in the US, Europe, Canada, Australia and many other countries.
Incorporation of both IR and electro-chemical cell technologies further increases analytical
specificity for ethanol and provides a second, technology-independent analysis. IR and EC
combined is today’s state-of-the-art method of evidential breath testing.

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