United States v. Kristen SmithUnited States v. Kristen Smith
Case Information
*1 Before DUNCAN, AGEE, and DIAZ, Circuit Judges. Affirmed by published opinion. Judge Diaz wrote the opinion, in which Judge Duncan and Judge Agee joined.
COUNSEL ARGUED: William A. Mitchell, Jr., BRENNAN, SULLI- VAN & MCKENNA, LLP, Greenbelt, Maryland, for Appel- lant. Hollis Raphael Weisman, OFFICE OF THE UNITED STATES ATTORNEY, Greenbelt, Maryland, for Appellee. ON BRIEF: Timothy J. Sullivan, BRENNAN, SULLIVAN & MCKENNA, LLP, Greenbelt, Maryland, for Appellant. Rod J. Rosenstein, United States Attorney, Baltimore, Mary- land, for Appellee.
OPINION
DIAZ, Circuit Judge:
Kristen Deanna Smith was convicted by a jury of involun-
tary manslaughter during the commission of an unlawful act
not amounting to a felony, in violation of
Smith advances three arguments on appeal. First, she con-
tends the district court erred by admitting expert testimony
that she claims exceeded the scope of the government’s pre-
trial disclosure. Second, Smith challenges the sufficiency of
the government’s evidence, arguing that the district court
erred when it denied her motion for judgment of acquittal pur-
suant to
I.
On appeal from a criminal conviction, we view the evi-
dence in the light most favorable to the government.
United
States v. Herder
,
A.
At about 3:00 a.m. on October 31, 2009, Amber Howard was driving south from Maryland into the District of Colum- bia along the Baltimore-Washington Parkway, a federal area maintained by the National Park Service. As she approached D.C., she saw a car’s lights coming toward her from the northbound side of the highway. She watched that car drive over the median, flip several times, and crash into the high- way’s southbound-side embankment.
Howard pulled over and dialed 911, then ran to check on the accident. She approached the car and heard a woman screaming for help. As Howard tried to indicate that help was on the way, the woman, appellant Kristen Smith, exited the wrecked vehicle through its rear passenger window and walked toward Howard. As Smith approached, Howard heard her say: "I never drink. I never drink. I didn’t want to go out. I never drink. I only had one drink." Howard also saw the arm of Smith’s passenger, Jabari Outz, hanging out the car win- dow.
While waiting for the police to arrive, a distressed and dis- oriented Smith repeatedly wandered onto the highway, forc- ing Howard to pull her out of the road several times. Howard also smelled the odor of "white liquor" emanating from Smith. "White liquor," as Howard explained at trial, is alcohol such as vodka, gin, or tequila, and in Howard’s experience as a bartender, has a smell distinct from dark liquor or beer.
United States Park Police Officer Gary Hatch arrived on the scene at about 3:30 a.m. and found Smith’s car on its side, leaning against a stone wall. By this time, Outz had been pro- nounced dead on the scene by emergency medical services. Officer Hatch, who had some experience as an accident reconstructionist, analyzed the scene and determined that Smith’s car had left the northbound roadway, flipped after crossing the median, and crashed into the stone wall.
Smith was taken to Prince George’s County Hospital, where she submitted to a routine blood test. [1] U.S. Park Police [1] Because the government was unable to establish the chain of custody of this blood sample, it did not attempt to introduce any evidence of its blood alcohol results. Officer David Lorde was dispatched to stay with Smith while she received treatment in the emergency room. He testified that Smith was writhing in bed and making unsolicited state- ments, three of which he recalled in particular: "Don’t ever drink and drive," "I just hope he’s okay," and "Lock me up and throw away the key."
Some time later, U.S. Park Police Officer Ernest Patrick arrived at the emergency room to oversee a second blood draw, which was conducted at 5:47 a.m. The blood sample from this draw, which showed a blood alcohol content of .09 grams per 100 milliliters, was furnished to Lucas Zarwell, the Deputy Chief Toxicologist at the Office of the Chief Medical Examiner in Washington, D.C.
B.
The government charged Smith in a single-count indict-
ment for homicide during the commission of an unlawful act
not amounting to a felony, in violation of
Deputy Chief Toxicologist Zarwell testified as an expert witness on the results of the 5:47 a.m. blood sample, stating that it contained .09 grams of alcohol per 100 milliliters of blood. Over the defense’s objection, Zarwell also gave gener- alized testimony about how the human body metabolizes alco- hol, including the average duration of alcohol absorption and rate of elimination. He indicated that typically people con- tinue to absorb alcohol for "about 30 minutes" after they stop drinking and that females eliminate alcohol at an average rate of about .017 grams per 100 milliliters per hour. J.A. 120-21.
Prior to cross-examination, Smith renewed her objection to Zarwell’s statements on alcohol metabolization, moving to strike this line of testimony on the ground that it exceeded the scope of the pretrial notice provided by the government. Pointing to a series of letters exchanged between counsel before trial, the defense charged that the government had rep- resented that Zarwell’s testimony would be limited to the results of Smith’s 5:47 a.m. blood test. The defense argued that without explicit notice that Zarwell would be testifying about metabolization rates more generally, it was unprepared to effectively cross-examine Zarwell and unable to realisti- cally procure a rebuttal witness. Smith did not move for a continuance or otherwise indicate that she wanted time to pro- cure her own expert witness regarding blood alcohol absorp- tion rates, although the court indicated that she could call her own witness in response to Zarwell’s broadened testimony.
The district court denied the motion to strike, holding that the government’s disclosures were sufficient. Zarwell’s generic testimony, the court explained, was within his area of expertise and served as necessary background to his testimony on Smith’s blood test result. Nor did the court find the admis- sion of Zarwell’s testimony to be unduly prejudicial, since Smith had the opportunity to cross-examine him and to find her own toxicology expert.
The district court also rejected the defense’s alternative contention that Zarwell’s testimony on generic human alcohol metabolization was irrelevant as to Smith’s blood alcohol content at the time of the accident. Even though Zarwell had not offered an opinion as to Smith’s blood alcohol content at 3:00 a.m., the court reasoned that the jury was not prohibited from making inferences on that issue based on Zarwell’s generic metabolization testimony and the results of the 5:47 a.m. test.
During cross-examination, Zarwell confirmed that his blood alcohol analysis showed the quantity of alcohol in Smith’s blood only at the time of the 5:47 a.m. test, not beforehand. He also conceded, notwithstanding his earlier tes- timony about typical alcohol absorption and elimination rates, that those rates are highly variable among individuals. Zar- well stated that although he would have been able to conduct an individualized analysis of Smith’s absorption and elimina- tion rates, he had not done so. Zarwell also confirmed that he had not performed a retrograde extrapolation of Smith’s blood alcohol level at the time of the crash and did not offer any opinion about her blood alcohol level at that time.
At the close of the government’s case in chief, Smith
moved for a judgment of acquittal under
At the charge conference, Smith requested several supple- mental jury instructions, one of which proposed to instruct the jury, in relevant part, as follows:
As you heard, the rates of alcohol absorption and elimination can vary between persons. Therefore, the practice of extrapolating a person’s blood alcohol level at the time of driving from a test of a blood sample taken at a later time requires careful consid- eration of many factors . . . . I instruct you that you should not attempt to extrapolate the blood alcohol of the accused at the time of driving from the result of a blood test from samples taken at a later time unless sufficient evidence has been presented to you with regard to the aforementioned factors . . . . You may not infer from the test of defendant’s blood samples taken at 5:47 a.m. on October 31, 2009, in this case—without more, as I have described above—what defendant’s blood alcohol content at the time of driving around 3:00 a.m. might have been.
S.J.A. 3; J.A. 141.
The district court rejected this instruction. It explained that
the jury already knew that there was no piece of evidence,
standing alone, showing that Smith’s blood alcohol content
exceeded .08 at the time of the crash—an element the existing
jury instructions already established was essential to the
crime. But because there were other facts in the record from
which the jury might reasonably infer the
The jury returned a guilty verdict on the sole count of the indictment. Prior to sentencing, Smith renewed her motion for judgment of acquittal and moved for a new trial. The district court denied both motions and imposed its sentence. This appeal followed.
II.
The issues before us are (1) whether the district court erred in permitting the government’s toxicology expert to testify about generic alcohol metabolization rates; (2) whether Smith was entitled to a judgment of acquittal due to insufficient evi- dence; and (3) whether the district court erred in refusing to give Smith’s requested jury instruction concerning blood alcohol level extrapolation. We consider each issue in turn.
A.
Smith contends the district court erred in permitting the
government’s toxicology expert to testify about generic alco-
hol metabolization rates. We review the district court’s evi-
dentiary rulings for abuse of discretion,
United States v.
Basham
,
Smith argues that she was unfairly surprised by toxicologist
Lucas Zarwell’s testimony regarding average human alcohol
metabolization rates because this testimony exceeded the
scope of the pretrial notice provided by the government pur-
suant to
[2]
"Relation-back" science attempts to extrapolate—or relate back—the
results of a blood alcohol test administered after a person’s arrest to his
or her blood alcohol level at the time of operation of the vehicle.
See
Ransford v. District of Columbia
,
On the one hand, we do not fault Smith for taking issue
with the government’s less than fulsome pretrial summary of
Zarwell’s planned expert testimony.
[3]
On the other hand, con-
[3]
To be fair, the government’s
In any event, we need not decide whether the district court
erred in concluding that the Government did not violate
Smith fails to make that showing here. Although Smith
claims that the government’s incomplete
blood alcohol absorption rate, the nuances of his generalized direct testimony, and whether it was possible that a person’s blood alcohol level would continue to increase for a few hours after consumption. [4] And to the extent Smith disagreed with Zarwell’s testimony regarding general metabolization rates, the district court gave her ample opportunity to call her own rebuttal expert. Smith simply chose not to pursue that avenue or ask for a continuance to consider it.
For these reasons, we conclude that the district court did not commit reversible error in permitting Zarwell’s expert tes- timony.
B.
We next consider Smith’s argument that she was entitled to
a judgment of acquittal because the government offered insuf-
ficient evidence to support her conviction. We review de novo
the district court’s decision to deny a defendant’s
Smith concedes that the government presented evidence that she was under the influence of alcohol at the time of the accident. She also concedes that the government’s evidence established that her blood contained .09 grams of alcohol per 100 milliliters at 5:47 a.m., nearly three hours after the crash. Smith contends, however, that the government did not offer sufficient evidence upon which a rational finder of fact could [4] Indeed, some of the testimony Smith elicited from Zarwell on cross- examination was favorable to her case.
have determined beyond a reasonable doubt that,
at the time
she was operating her vehicle
, her blood alcohol concentra-
tion was .08 percent or more, as a
The government responds that its evidence was sufficient
to support the conviction. It argues that the fact that Smith had
a blood alcohol content exceeding .08 percent within a rea-
sonable period of the time after driving sufficed to show a
violation of the
Some courts have interpreted
Unlike some state DUI laws,36 C.F.R. § 4.23(a)(2) does not make it unlawful to have a blood alcohol level above the legal limit within a specified time after operating a motor vehicle. Nor does it contain a presumption regarding the person’s blood alcohol at the time he was operating or in physical control of a vehicle based on subsequently obtained breath or blood test results. Because there is no presumption based on the test results, the Government is required to prove that a defendant’s blood alcohol content was above the legal limit at the time of operating the vehicle and not merely at the time the breath or blood sample was taken.
2010 WL 1633456, at *6. Courts interpreting
had an obligation under the regulation to establish the alcohol concentration at the time of driving or actual physical control. The test result at 8:27 a.m. was insufficient, in and of itself, to establish what Defendant’s concentration was at 6:15 a.m., or even at 7:00 a.m. Once [the government] chose to proceed on the "per se" violation, it had to present qualified evidence that "related back" the test results to the time of driving or actual physical control.
Id. at 403.
Meanwhile, other courts dealing with similar "per se" stat-
utes have held that relation-back testimony is unnecessary to
prove the offense. And where, as here, those statutes impose
no time limit on the blood alcohol test, courts have also regu-
larly found that violations may be established as long as the
government produces evidence of blood alcohol levels within
a reasonable time after driving.
See, e.g.
,
Commonwealth v.
Colturi
, 864 N.E.2d 498, 500 (Mass. 2007);
State v. McGo-
wan
,
For example, in a case cited by the district court below, the
Montana Supreme Court concluded that a comparable state
"per se" statute could not be read literally "to require law
enforcement officers to determine a person’s alcohol concen-
tration while driving . . . , as it would be impossible for an
officer to administer a test while the suspect was driving."
McGowan
, 139 P.3d at 844. Nor,
McGowan
concluded,
should the government be required to meet what it character-
ized as the "impossible burden" of presenting relation-back
evidence.
Id.
at 845. Such extrapolation, the court explained,
would require difficult-to-obtain evidence falling within a
defendant’s constitutional right to remain silent, such as when
and in what amounts the defendant consumed alcohol, and
whether the defendant had recently consumed any food.
Id.
Another court, reaching the same conclusion, pointed out that
even if the prosecution could obtain this information, "conclu-
sive evidence of the blood alcohol content at the time of driv-
ing could still not be offered to the jury . . . because the rate
of absorption of alcohol varies between individuals."
Rans-
ford
,
We need not decide whether, on its own, a blood alcohol
test taken within a "reasonable time" after driving can satisfy
the proof requirement of
In the instant case, we are satisfied that a rational finder of fact could have determined beyond a reasonable doubt that Smith violated the "per se" regulation. Even if Smith is cor- rect that, standing alone, her 5:47 a.m. blood alcohol result was insufficient to establish the violation, this evidence did not actually stand alone. The government presented myriad other evidence supporting the jury’s conclusion that Smith’s blood alcohol level was over the legal limit while she was driving. Most notably, Zarwell’s unrebutted testimony about typical alcohol absorption durations and elimination rates established that it was extremely unlikely that Smith could have registered a .09 percent blood alcohol content at 5:47 a.m. without having exceeded the .08 percent threshold at the time of the crash nearly three hours earlier. [5] Even accounting [5] As the district court noted and as the government told the jury in its closing argument, there was no evidence that Smith had consumed any for the wide range of individual alcohol metabolization rates to which Zarwell attested, and even assuming that Smith absorbs and eliminates alcohol much more slowly than the average woman, a rational juror could still have concluded beyond a reasonable doubt that a "per se" violation had occurred.
This is particularly true, as the district court noted, given the abundant other indicia of Smith’s guilt. The evidence established that Smith was driving erratically and that she flipped her car over the highway’s median strip. Howard testi- fied that Smith was behaving erratically, wandering into the road, and that she smelled strongly of "white liquor." Smith also made statements to two witnesses about her own drinking and driving. To be sure, none of this evidence points defini- tively to Smith’s precise blood alcohol level at the time of the accident. When coupled, however, with the result of the 5:47 a.m. blood alcohol test and Zarwell’s generic metabolization testimony, this evidence could lead a rational juror to deter- mine beyond a reasonable doubt that Smith had violated the regulation’s .08 threshold.
Accordingly, we conclude that Smith was not entitled to a judgment of acquittal.
C.
Finally, we address Smith’s contention that the district court erred in refusing to give her requested jury instruction concerning blood alcohol level extrapolation. We review a district court’s decision to give or refuse to give a jury alcohol between the time of the accident and the time her blood was drawn. The jury could therefore reasonably infer that any alcohol that appeared in her 5:47 a.m. blood sample had been in her system at the time she was operating the vehicle, and that apart from the absorption of previously-consumed alcohol that Zarwell had described, there was no reason why Smith’s blood alcohol concentration would have increased during that interim period.
instruction for abuse of discretion, and reverse only when the rejected instruction "(1) was correct; (2) was not substantially covered by the court’s charge to the jury; and (3) dealt with some point in the trial so important, that failure to give the requested instruction seriously impaired the defendant’s abil- ity to conduct his defense." United States v. Passaro , 577 F.3d 207, 221 (4th Cir. 2009) (internal quotation marks omit- ted). "Moreover, we do not view a single instruction in isola- tion; rather we consider whether taken as a whole and in the context of the entire charge, the instructions accurately and fairly state the controlling law." Id. (internal quotation marks omitted).
Smith contends that the district court erred in refusing to instruct the jury that it could not infer her guilt from the result of her 5:47 a.m. blood test, "without more." Absent this instruction, Smith argues, the jury was left to engage in con- jecture and speculation about the results of the blood sample and its evidentiary value to the elements of the crime charged. The government responds that the court’s instructions were complete and correct, and that they sufficiently explained to the jury that it could decide whether Smith had a .08 percent or more blood alcohol content at the time of the crash, based on all the evidence it heard.
We conclude that the district court did not abuse its discre-
tion in refusing to give Smith’s proposed instruction, because
that instruction was not necessarily correct and, in any event,
was "substantially covered by the court’s charge to the jury."
Passaro
,
The district court’s instructions set forth the elements of the crime and made clear the government’s burden of proving beyond a reasonable doubt that at the time of the accident Smith’s blood alcohol content was .08 or higher. Even as it recognized that there was no direct evidence that Smith’s blood alcohol content exceeded the .08 threshold while she was driving, the district court rightly concluded that there were facts in the record from which the jury might reasonably infer the violation and instructed the jury that it was free to either make that inference or not. Ultimately, when "[t]aken as a whole and in the context of the entire charge, the instruc- tions accurately and fairly state[d] the controlling law." Pas- saro , 577 F.3d at 221. As a result, the district court did not abuse its discretion in denying Smith’s proposed instruction.
III.
In sum, the district court did not abuse its discretion in admitting the toxicologist’s generic testimony on alcohol metabolization. Nor was Smith entitled to judgment of acquit- tal, because the government’s evidence was sufficient to sup- port the jury’s verdict. Finally, the district court did not abuse its discretion in denying Smith’s proposed jury instruction. Accordingly, we affirm the judgment of the district court.
AFFIRMED