2012-2013 Sobriety Checkpoint Program Pre-Operational Training

1

2012-2013 Sobriety 2012-2013 Sobriety Checkpoint Checkpoint

Program ProgramPre-Operational TrainingPre-Operational Training

By the By the California Office of Traffic Safety California Office of Traffic Safety

October – November 2012October – November 2012

2

AgendaAgenda

Mobilization PeriodsMobilization Periods Media ObjectivesMedia Objectives Data Collection/ReportingData Collection/Reporting Checkpoint OperationsCheckpoint Operations Checkpoint SuppliesCheckpoint Supplies OTS ContactsOTS Contacts

3

Funding for this program was provided by a Funding for this program was provided by a grant from thegrant from the

California Office of Traffic SafetyCalifornia Office of Traffic Safety

National Highway Traffic Safety National Highway Traffic Safety AdministrationAdministration

Through the

4

2012-20132012-2013Mobilization PeriodsMobilization Periods

Winter Holiday MobilizationWinter Holiday Mobilization December 14th – January 1, 2013December 14th – January 1, 2013

Summer/Labor Day MobilizationSummer/Labor Day Mobilization August 16 – September 2, 2013August 16 – September 2, 2013

5

Media Objective – Media Objective –

Should issue a kick off press release Should issue a kick off press release using the template that will be supplied using the template that will be supplied by UCB prior to your first checkpoint.by UCB prior to your first checkpoint.

6

Media ObjectivesMedia Objectives for thefor the

Mobilization PeriodsMobilization Periods If thereIf there’’s an AVOID campaign in your county, s an AVOID campaign in your county,

notify the AVOID Regional Coordinator of notify the AVOID Regional Coordinator of locations/dates/times locations/dates/times as early as possibleas early as possible

The AVOID Coordinator will release a joint The AVOID Coordinator will release a joint multi-agency press release to all major multi-agency press release to all major media in the region.media in the region.

7

Media Objectives for the Media Objectives for the Mobilization PeriodsMobilization Periods

Should distribute to local community Should distribute to local community papers, a press release for each papers, a press release for each checkpoint operationcheckpoint operation

If there are multiple checkpoints within a If there are multiple checkpoints within a 7-day period, use a single press release7-day period, use a single press release

Media Objectives for the Media Objectives for the Mobilization PeriodsMobilization Periods

8

Media Objectives for Media Objectives for OutsideOutside the Mobilization Periodsthe Mobilization Periods

Distribute to Distribute to local medialocal media, a press release , a press release for each checkpoint operationfor each checkpoint operation

If there are multiple checkpoints within a 7-If there are multiple checkpoints within a 7-day period, use a single press releaseday period, use a single press release

9

Media ObjectivesMedia Objectives

To enhance overall general deterrence, To enhance overall general deterrence, OTS recommends that the exact OTS recommends that the exact

checkpoint location or an approximate checkpoint location or an approximate location location not not be given to the mediabe given to the media..


Reporting of Drugs and DUI Reporting of Drugs and DUI Drugs to the Media Drugs to the Media

Any DUI Drug-impaired arrests made as the Any DUI Drug-impaired arrests made as the result of the checkpoint operation should be result of the checkpoint operation should be incorporated into the after-action media news incorporated into the after-action media news release.release.

If itIf it’’s marijuana be sure to list it out separately.s marijuana be sure to list it out separately.

10

11


Should use CaliforniaShould use California’’s DUI tagline on all s DUI tagline on all news releases and checkpoint publication news releases and checkpoint publication materials:materials:

Report Drunk Drivers. Call 911.Report Drunk Drivers. Call 911.


12

Media ObjectivesMedia Objectives If using the OTS press release template, there If using the OTS press release template, there

is no need to obtain OTS approval in advance.is no need to obtain OTS approval in advance.

If a non-OTS press release format/copy is If a non-OTS press release format/copy is used, it is recommended you submit to OTS used, it is recommended you submit to OTS Public Information Officer at Public Information Officer at [email protected]@ots.ca.gov at least 14 days in advance of the operation at least 14 days in advance of the operation (or ASAP before each checkpoint).(or ASAP before each checkpoint).

Media ObjectivesMedia Objectives If using the OTS press release template, If using the OTS press release template,

there is no need to obtain OTS approval in there is no need to obtain OTS approval in advance.advance.

If a non-OTS press release format/copy is If a non-OTS press release format/copy is used, it is recommended you submit to OTS used, it is recommended you submit to OTS Public Information Officer at Public Information Officer at [email protected]@ots.ca.gov at least 14 days in at least 14 days in advance of the operation (or ASAP before advance of the operation (or ASAP before each checkpoint).each checkpoint).

Media ObjectivesMedia Objectives If using the OTS press release template, If using the OTS press release template,

there is no need to obtain OTS approval in there is no need to obtain OTS approval in advance.advance.

If a non-OTS press release format/copy is If a non-OTS press release format/copy is used, it is recommended you submit to OTS used, it is recommended you submit to OTS Public Information Officer at Public Information Officer at [email protected]@ots.ca.gov at least 14 days in at least 14 days in advance of the operation (or ASAP before advance of the operation (or ASAP before each checkpoint).each checkpoint).

13


Should send to SafeTREC:Should send to SafeTREC:

All press releases, media advisories, alerts All press releases, media advisories, alerts and other press materialsand other press materials

Copies of all newspaper articles and short Copies of all newspaper articles and short descriptions of broadcast news storiesdescriptions of broadcast news stories


14


For combination DUI/DL checkpoints, For combination DUI/DL checkpoints, agencies should issue press releases agencies should issue press releases that indicates Drivers Licenses will be that indicates Drivers Licenses will be

checked at the DUI/Drivers License checked at the DUI/Drivers License checkpoint.checkpoint.


Media Media Potential News Release Potential News Release MaterialMaterial

According to NHTSA, sobriety checkpoint programs According to NHTSA, sobriety checkpoint programs can yield considerable cost savings: $6 for every $1 can yield considerable cost savings: $6 for every $1 spent.spent.

According to NHTSA, sobriety checkpoints have According to NHTSA, sobriety checkpoints have provided the most effective documented results of provided the most effective documented results of any of the DWI enforcement strategies.any of the DWI enforcement strategies.

The DMV reports unlicensed drivers are 4.9 times The DMV reports unlicensed drivers are 4.9 times more likely to cause a fatal crash than a licensed more likely to cause a fatal crash than a licensed driver.driver.

15


According to NHTSA, sobriety checkpoint programs According to NHTSA, sobriety checkpoint programs can yield considerable cost savings: $6 for every $1 can yield considerable cost savings: $6 for every $1 spent.spent.

According to NHTSA, sobriety checkpoints have According to NHTSA, sobriety checkpoints have provided the most effective documented results of provided the most effective documented results of any of the DWI enforcement strategies.any of the DWI enforcement strategies.

The DMV reports unlicensed drivers are 4.9 times The DMV reports unlicensed drivers are 4.9 times more likely to cause a fatal crash than a licensed more likely to cause a fatal crash than a licensed driver.driver.


The checkpoint will be staffed by officers The checkpoint will be staffed by officers trained in the detection of alcohol and drug trained in the detection of alcohol and drug impairment to provide on-the-spot impairment to provide on-the-spot assessments of drivers suspected of drug assessments of drivers suspected of drug impairment.impairment.

The primary purpose of a DUI Checkpoint is The primary purpose of a DUI Checkpoint is to increase awareness, deter impaired driving to increase awareness, deter impaired driving and to arrest those drivers who are found to and to arrest those drivers who are found to be under the influence. be under the influence.

16

Media Media Potential News Release Potential News Release Material Material All checkpoints are conducted in accordance with All checkpoints are conducted in accordance with

the guidelines for DUI checkpoint operations the guidelines for DUI checkpoint operations outlined in the California Supreme Court decision, outlined in the California Supreme Court decision, Ingersoll v. Palmer. Ingersoll v. Palmer.

The checkpoint location was chosen because it has The checkpoint location was chosen because it has a history of having a high incidence of alcohol a history of having a high incidence of alcohol crashes and/or arrests - safety was also an crashes and/or arrests - safety was also an important consideration important consideration

17

Future OTS Funding Future OTS Funding Decisions Decisions

When making funding decisions for the next round of When making funding decisions for the next round of proposals, OTS will look more closely at the number of proposals, OTS will look more closely at the number of vehicles through the checkpoint, drivers interviewed, vehicles through the checkpoint, drivers interviewed, SFSTSFST’’s, and DUI arrests taking into account the cost of the s, and DUI arrests taking into account the cost of the checkpoint operationcheckpoint operation

According to a new NHTSA report, checkpoint According to a new NHTSA report, checkpoint ““contactscontacts”” would be the best measure of checkpoint effectivenesswould be the best measure of checkpoint effectiveness

18

Future OTS Funding Future OTS Funding Decisions Decisions

19

Speaking the Same Language

Schedule C – Data Reporting Schedule C – Data Reporting RequirementsRequirements


Speaking the Same Language


20

Alcohol-involved Fatalities – Alcohol-involved Fatalities – Victims killed in collisions Victims killed in collisions where a party (driver, pedestrian or bicyclist) was where a party (driver, pedestrian or bicyclist) was classified as Had Been Drinking (HBD-under influence, classified as Had Been Drinking (HBD-under influence, HBD-not under influence or HBD-impairment unknown - HBD-not under influence or HBD-impairment unknown - CHP).CHP).

Alcohol-involved InjuriesAlcohol-involved Injuries – Victims injured in collisions – Victims injured in collisions where a party (driver, pedestrian or bicyclist) was where a party (driver, pedestrian or bicyclist) was classified as Had Been Drinking (HBD-under influence, classified as Had Been Drinking (HBD-under influence, HBD-not under influence or HBD-impairment unknown HBD-not under influence or HBD-impairment unknown

(CHP-SWITRS).(CHP-SWITRS).. .

Data CollectionData CollectionAlcohol-involved Fatalities – Alcohol-involved Fatalities – Victims killed in Victims killed in

collisions where a party (driver, pedestrian or collisions where a party (driver, pedestrian or bicyclist) was classified as Had Been Drinking bicyclist) was classified as Had Been Drinking (HBD-under influence, HBD-not under influence or (HBD-under influence, HBD-not under influence or HBD-impairment unknown - CHP).HBD-impairment unknown - CHP).

Alcohol-involved InjuriesAlcohol-involved Injuries – Victims injured in – Victims injured in collisions where a party (driver, pedestrian or collisions where a party (driver, pedestrian or bicyclist) was classified as Had Been Drinking bicyclist) was classified as Had Been Drinking (HBD-under influence, HBD-not under influence or (HBD-under influence, HBD-not under influence or

HBD-impairment unknown (CHP-SWITRS).HBD-impairment unknown (CHP-SWITRS).. .

Data CollectionData Collection

21

Traffic Fatalities Traffic Fatalities – Deaths resulting from motor – Deaths resulting from motor vehicle traffic collisions, where the victim dies within vehicle traffic collisions, where the victim dies within 30 days for the collision (CHP- SWITRS). 30 days for the collision (CHP- SWITRS).

Traffic InjuriesTraffic Injuries – Victims sustaining injuries as a result – Victims sustaining injuries as a result of a motor vehicle traffic collision. This would of a motor vehicle traffic collision. This would include victims with the extent of injury classified as include victims with the extent of injury classified as severely wounded, other visible injuries, or severely wounded, other visible injuries, or complaint of pain. Victims killed are not included as complaint of pain. Victims killed are not included as injured (CHP - SWITRS). injured (CHP - SWITRS).

Data CollectionData CollectionTraffic Fatalities Traffic Fatalities – Deaths resulting from motor – Deaths resulting from motor

vehicle traffic collisions, where the victim dies within vehicle traffic collisions, where the victim dies within 30 days for the collision (CHP- SWITRS). 30 days for the collision (CHP- SWITRS).

Traffic InjuriesTraffic Injuries – Victims sustaining injuries as a – Victims sustaining injuries as a result of a motor vehicle traffic collision. This would result of a motor vehicle traffic collision. This would include victims with the extent of injury classified as include victims with the extent of injury classified as severely wounded, other visible injuries, or severely wounded, other visible injuries, or complaint of pain. Victims killed are not included as complaint of pain. Victims killed are not included as injured (CHP - SWITRS). injured (CHP - SWITRS).


22

Vehicles passing through DUI checkpoints – Vehicles passing through DUI checkpoints – Total number of vehicles that passed Total number of vehicles that passed through the checkpoint, regardless of through the checkpoint, regardless of

whether or not drivers were contacted.whether or not drivers were contacted.

Data CollectionData CollectionData CollectionData Collection

23

Drivers Contacted – The initial driver contact by an Drivers Contacted – The initial driver contact by an officer on the line to observe possible signs of officer on the line to observe possible signs of impairment (brief verbal greeting/observation, not impairment (brief verbal greeting/observation, not secondary screening/FSTs) secondary screening/FSTs)

Field Sobriety Tests (FST) Administered – Number of Field Sobriety Tests (FST) Administered – Number of drivers displaying signs of being under the drivers displaying signs of being under the influence, who are pulled aside to determine level influence, who are pulled aside to determine level

of impairment by administering an FST.of impairment by administering an FST.

Data CollectionData CollectionData CollectionData CollectionData CollectionData Collection

24

DUI Arrests (Alcohol) - Drivers arrested for DUI DUI Arrests (Alcohol) - Drivers arrested for DUI when alcohol is presumed/determined to be the when alcohol is presumed/determined to be the intoxicant (When unknown if drugs also a factor of intoxicant (When unknown if drugs also a factor of impairment) impairment)

DUI Drug Impairment Arrest - Drivers arrested for DUI Drug Impairment Arrest - Drivers arrested for DUI when drugs presumed/determined to be an DUI when drugs presumed/determined to be an intoxicant. 23152 (a) VCintoxicant. 23152 (a) VC


25

Drug Arrests - Any arrest/citations issued for Drug Arrests - Any arrest/citations issued for illegal drugs: i.e.- possession, illegal drugs: i.e.- possession, transportation, possession for sale, etc... transportation, possession for sale, etc... (Does not include under the influence of (Does not include under the influence of drugs - non-DUI related, nor Marijuana drugs - non-DUI related, nor Marijuana Infraction) Infraction)

Criminal Arrests (Felony in custody) - Those Criminal Arrests (Felony in custody) - Those Felony Arrests not associated with a driving Felony Arrests not associated with a driving violation nor a drug arrestviolation nor a drug arrest


26

Repeat DUI Warrant Service OperationRepeat DUI Warrant Service Operation – A program – A program consisting of pulling DUI warrants and visiting the consisting of pulling DUI warrants and visiting the address on record in an attempt to contact the address on record in an attempt to contact the person named on the warrant.person named on the warrant.

Warrant Service AttemptsWarrant Service Attempts – A DUI warrant is pulled – A DUI warrant is pulled and a visit to the address on record is made in an and a visit to the address on record is made in an attempt to contact the person named on the warrant. attempt to contact the person named on the warrant.

Warrants ServedWarrants Served – A DUI warrant is pulled, and the – A DUI warrant is pulled, and the person on the warrant is contacted & arrested.person on the warrant is contacted & arrested.


27

Court Sting –Court Sting – An operation targeting DUI offenders An operation targeting DUI offenders with suspended or revoked drivers' licenses who, with suspended or revoked drivers' licenses who, upon leaving court, are observed driving. If the upon leaving court, are observed driving. If the offender is observed driving, he/she is offender is observed driving, he/she is

cited/arrestedcited/arrested..

Data CollectionData CollectionData CollectionData Collection

Checkpoint Supplies Checkpoint Supplies (recommended)(recommended)

4848””X48X48””, , ““DUI /DriverDUI /Driver’’s License Checkpoint Aheads License Checkpoint Ahead””, black , black lettering on orange background, with spring post stand or lettering on orange background, with spring post stand or tripod stand. tripod stand.

Other signs must be MUTCD compliant and retro-reflective, Other signs must be MUTCD compliant and retro-reflective, with spring stand, Tripod stand or A-frame barricade with spring stand, Tripod stand or A-frame barricade

Maximum Reimbursable Cost Per Item $400.00Maximum Reimbursable Cost Per Item $400.00

28

2929


Traffic Control Cones – 28Traffic Control Cones – 28”” minimum, Orange w/reflective sleeves. minimum, Orange w/reflective sleeves.

Maximum Reimbursable Cost per item $30Maximum Reimbursable Cost per item $30

Traffic Control Vests – FHWA federal guideline compliant. Traffic Control Vests – FHWA federal guideline compliant. Maximum Reimbursable Cost per item $45Maximum Reimbursable Cost per item $45

PAS Devices / Supplies PAS Devices / Supplies

Maximum Reimbursable Cost per item $1,500Maximum Reimbursable Cost per item $1,500

30



Lighting System / GeneratorLighting System / Generator Lighting stands or carts Lighting stands or carts Heavy duty extension cablesHeavy duty extension cables GeneratorGenerator May not exceed $4999.00 totalMay not exceed $4999.00 total

31


3232


Your grant Your grant agreement will give agreement will give you the total you the total amount that can be amount that can be claimed in the grant claimed in the grant period for period for checkpoint supplies.checkpoint supplies.

3333

Checkpoint Checkpoint OperationsOperations

• According to NHTSA, two-thirds of all According to NHTSA, two-thirds of all motor vehicle fatalities between the hours motor vehicle fatalities between the hours

of midnight and 3 a.m. occurred in of midnight and 3 a.m. occurred in alcohol-impaired-driving crashes, and alcohol-impaired-driving crashes, and

more than half (55%) of drivers involved in more than half (55%) of drivers involved in fatal crashes at those hours, were fatal crashes at those hours, were

alcohol-impaired. So……alcohol-impaired. So……

Checkpoint OperationsCheckpoint Operations

3535

……..If at all practicable it is ..If at all practicable it is recommended that recommended that checkpoint operations run checkpoint operations run until 0300 hours.until 0300 hours.


3636

Because checkpoint operations Because checkpoint operations limit the interview to (30 to 60 limit the interview to (30 to 60 seconds), up to half of the over-seconds), up to half of the over-the-limit drivers passing the-limit drivers passing through a sobriety checkpoint through a sobriety checkpoint are not apprehended – Alcohol are not apprehended – Alcohol and Highway Safety – A Review and Highway Safety – A Review of the State of Knowledge of the State of Knowledge (NHTSA 2011). So……(NHTSA 2011). So……


3737

…………To better identify and apprehend Drug To better identify and apprehend Drug impaired drivers in addition to Alcohol impaired drivers in addition to Alcohol impaired drivers, it is highly recommended impaired drivers, it is highly recommended that all personnel assigned to staff the that all personnel assigned to staff the greeting lane of the checkpoint be Drug greeting lane of the checkpoint be Drug Recognition Experts (DRE's) and/or Advanced Recognition Experts (DRE's) and/or Advanced Roadside Impaired Driving Enforcement Roadside Impaired Driving Enforcement (ARIDE) trained sworn officers. At the (ARIDE) trained sworn officers. At the very minimum, all officers contacting drivers very minimum, all officers contacting drivers in the greeting lane should be NHTSA in the greeting lane should be NHTSA Standardized Field Sobriety Test (SFST) Standardized Field Sobriety Test (SFST) trained and certified. trained and certified.


3838


Each checkpoint Each checkpoint should be highly should be highly publicized and publicized and visible.visible.

OTS does not fund or OTS does not fund or support independent support independent DL checkpoints.DL checkpoints.

3939


Unless approved by Unless approved by OTS in advance, OTS in advance,

grant funds cannot grant funds cannot be used for DUI/DL be used for DUI/DL

checkpoints checkpoints operating before operating before

1800 hours1800 hours

4040

Checkpoint OperationsCheckpoint Operations OTS does not fund (i.e., no OTS does not fund (i.e., no

reimbursements for) planned reimbursements for) planned saturation patrols in DUI Mini saturation patrols in DUI Mini Grant programs. Grant programs.

EXCEPTION: Inclement WeatherEXCEPTION: Inclement Weather

If inclement weather occurs after If inclement weather occurs after overtime expenses have been overtime expenses have been contractually obligated AND the contractually obligated AND the weather compromises the safety weather compromises the safety of the officers or the public, then of the officers or the public, then the checkpoint(s) may be switched the checkpoint(s) may be switched to saturation patrolsto saturation patrols

4141

According to an opinion by According to an opinion by the California State Attorney the California State Attorney

GeneralGeneral’’s Office and your s Office and your OTS grant agreement, all OTS grant agreement, all

DUI/DL checkpoint DUI/DL checkpoint operations should have at operations should have at least one sign with these least one sign with these

words:words:

““DUI/Drivers License DUI/Drivers License Checkpoint Ahead.Checkpoint Ahead.””

Note: While additional warning signs can and should be Note: While additional warning signs can and should be used as necessary or as desired, there should be at least used as necessary or as desired, there should be at least one sign in use in advance of the checkpoint operation one sign in use in advance of the checkpoint operation

that uses these words on a single sign.that uses these words on a single sign.

4242

4343

Checkpoints, AB353 and Checkpoints, AB353 and 12500s12500s

January 1, 2012 among the new January 1, 2012 among the new sections of the California Vehicle sections of the California Vehicle

was §2814.2. was §2814.2.

§2814.2 restricts the ability of law §2814.2 restricts the ability of law enforcement to seize a vehicle at a enforcement to seize a vehicle at a checkpoint when the drivercheckpoint when the driver’’s only s only offense is driving without a valid offense is driving without a valid

license. license.

4444

§2814.2§2814.2

The key language of the The key language of the statute is §2814.2(b): statute is §2814.2(b):

Notwithstanding Section Notwithstanding Section 14602.6 or 14607.6, a 14602.6 or 14607.6, a peace officer or any other peace officer or any other authorized person authorized person shall shall notnot cause the cause the impoundment of a vehicle impoundment of a vehicle at a sobriety checkpoint if at a sobriety checkpoint if the driverthe driver’’s only offense is s only offense is a violation of Section a violation of Section 12500. 12500.


4545

First, §2814.2 only First, §2814.2 only applies at applies at

checkpoints. It is not checkpoints. It is not the law during routine the law during routine traffic stops or other traffic stops or other interactions between interactions between law enforcement and law enforcement and the motoring public. the motoring public.

It is a checkpoint It is a checkpoint specific provision of specific provision of

the vehicle code.the vehicle code.


4646

Second, §2814.2 only Second, §2814.2 only applies to drivers applies to drivers

who are in violation who are in violation of California Vehicle of California Vehicle Code section §12500 Code section §12500 and only §12500. If and only §12500. If the driver is subject the driver is subject to any other offense to any other offense that may invoke an that may invoke an impound process, impound process, then §2814.2 does then §2814.2 does

not apply.not apply.


4747

Third, §2814.2 only Third, §2814.2 only prevents the prevents the

impoundment of a impoundment of a vehicle. It does vehicle. It does

not block the not block the removal of a removal of a

vehicle.vehicle.


4848

So, what can you do?So, what can you do?

§2814.2 sets up a §2814.2 sets up a procedure that procedure that

officers must follow officers must follow when confronted with when confronted with a §12500 driver at a a §12500 driver at a

checkpoint. checkpoint.

4949

So, what can you do?So, what can you do?When an officer encounters When an officer encounters

a driver at a checkpoint a driver at a checkpoint who is §12500, and only who is §12500, and only

§12500, the officer should §12500, the officer should issue the driver a citation issue the driver a citation

for a violation of CVC for a violation of CVC §12500. The driver §12500. The driver

should not be permitted should not be permitted to continue driving the to continue driving the vehicle down the road. vehicle down the road.

So, whatSo, what’’s to be done with s to be done with the vehicle?the vehicle?

5050


§2814.2 provides that the §2814.2 provides that the registered owner of a vehicle registered owner of a vehicle

seized at a checkpoint without seized at a checkpoint without a valid driver because of a a valid driver because of a

§12500 violation (note: §12500 §12500 violation (note: §12500 violation only, not §23152 or violation only, not §23152 or

any other section) has until the any other section) has until the conclusion of the checkpoint to conclusion of the checkpoint to

claim the vehicle. (See, claim the vehicle. (See, §2814.2(c))§2814.2(c))

5151


Law enforcement should Law enforcement should attempt attempt reasonable reasonable efforts efforts

to locate the registered to locate the registered owner in order to owner in order to

effectuate the authorized effectuate the authorized release of the vehicle to a release of the vehicle to a properly licensed driver.properly licensed driver.

5252

SummarySummary

•In keeping with your departmentIn keeping with your department’’s s policies, law enforcement can and policies, law enforcement can and

should still impound vehicles seized at should still impound vehicles seized at checkpoints from drivers with checkpoints from drivers with suspended or revoked licensessuspended or revoked licenses•Under §2814.2, law enforcement is no Under §2814.2, law enforcement is no

longer permitted to impound a longer permitted to impound a vehicle pursuant to §14602.6 if the vehicle pursuant to §14602.6 if the

sole offense is §12500 (driving without sole offense is §12500 (driving without a valid license) at a checkpoint. The a valid license) at a checkpoint. The vehicle may only be removed, and vehicle may only be removed, and

then only once the registered owner is then only once the registered owner is given an opportunity to rescue the given an opportunity to rescue the

vehicle prior to the conclusion of the vehicle prior to the conclusion of the checkpoint.checkpoint.

5353

SummarySummary

•Law enforcement should Law enforcement should not, except at its own not, except at its own peril, release a vehicle peril, release a vehicle

seized pursuant to seized pursuant to §2814.2 at the direction §2814.2 at the direction of the driver. Only when of the driver. Only when

the driver and the the driver and the registered owner are one registered owner are one

in the same can the in the same can the driver direct what is to driver direct what is to

be done with the vehicle.be done with the vehicle.

5454

But, what about those stopped But, what about those stopped by chase motors, rovers or those by chase motors, rovers or those outside of the checkpoint lane?outside of the checkpoint lane?

The "checkpoint" is not The "checkpoint" is not defined in the statute. defined in the statute. One opinion is One opinion is

that it is the point in that it is the point in space and time where space and time where the vehicle is stopped the vehicle is stopped

and the driver is and the driver is contacted. contacted.

Could there be others?Could there be others?

5555

Three primary case Three primary case laws related to DUI laws related to DUI

CheckpointsCheckpoints

•Ingersoll v Palmer – State of California - 1987Ingersoll v Palmer – State of California - 1987

•People v Banks – State of California - 1993People v Banks – State of California - 1993

•Michigan State Police v Sitz – US Supreme Court - 1990Michigan State Police v Sitz – US Supreme Court - 1990

5656

Of the three primary Of the three primary cases, Ingersoll is the cases, Ingersoll is the one we rely upon the one we rely upon the

most here in most here in CaliforniaCalifornia

There are 8 basic requirements in Ingersoll

5757

(1) Whether the decision to establish the checkpoint, (1) Whether the decision to establish the checkpoint, the selection of the site, and the procedures for the selection of the site, and the procedures for operation are established by supervisory law operation are established by supervisory law enforcement personnelenforcement personnel(2) Whether motorists are stopped according to a neutral formula;(2) Whether motorists are stopped according to a neutral formula;

(3) Whether adequate safety precautions are taken, (3) Whether adequate safety precautions are taken, such as proper lighting, warning signs, and signals, such as proper lighting, warning signs, and signals, and whether clearly identifiable official vehicles and and whether clearly identifiable official vehicles and personnel are used;personnel are used;(4) Whether the location of the checkpoint was (4) Whether the location of the checkpoint was determined by a policymaking official, and was determined by a policymaking official, and was reasonable;reasonable;(5) Whether the time the checkpoint was conducted (5) Whether the time the checkpoint was conducted and its duration reflect and its duration reflect ““good judgmentgood judgment”” on the part of on the part of law enforcement officials;law enforcement officials;(6) Whether the checkpoint exhibits sufficient indicia (6) Whether the checkpoint exhibits sufficient indicia of its official nature (to reassure motorists of the of its official nature (to reassure motorists of the authorized nature of the stop);authorized nature of the stop);(7) Whether the average length and nature of detention is minimized(7) Whether the average length and nature of detention is minimized

(8) Whether the checkpoint is preceded by publicity.(8) Whether the checkpoint is preceded by publicity.

Ingersoll Ingersoll 88

5858

In these cases the Courts held In these cases the Courts held that advanced publicity that advanced publicity is notis not necessary for a checkpoint to necessary for a checkpoint to

be valid but……be valid but……

Michigan v Sitz Michigan v Sitz (US Supreme Court)(US Supreme Court)

People v Banks People v Banks (California Supreme Court)(California Supreme Court)

&&

About That Publicity Requirement……

After Ingersoll, there were two After Ingersoll, there were two cases that directly addressed the cases that directly addressed the

publicity issue and they are:publicity issue and they are:

About That Publicity About That Publicity Requirement……Requirement……

5959

.... Extensive research .... Extensive research has shown that a high has shown that a high

level of publicity is level of publicity is essential to a successful essential to a successful

impaired driving impaired driving enforcement program.enforcement program.

6060

NEW RECENT CASE San Francisco

PEOPLE v. ALVARADOPEOPLE v. ALVARADOThe PEOPLE, Plaintiff and The PEOPLE, Plaintiff and

Respondent, v. Walter ALVARADO, Respondent, v. Walter ALVARADO, Defendant and Appellant.Defendant and Appellant.

No. 2404632.No. 2404632. February 07, 2011February 07, 2011

NEW RECENT CASE NEW RECENT CASE San FranciscoSan Francisco

6161

Alvarado contended that the prosecution failed to:

(1) Establish that the selection of the (1) Establish that the selection of the checkpoint site and the procedures for the checkpoint site and the procedures for the checkpoint operation were made and checkpoint operation were made and established by supervisory personnelestablished by supervisory personnel(2) Establish that the officers employed a (2) Establish that the officers employed a neutral formula for stopping vehicles neutral formula for stopping vehicles during the checkpointduring the checkpoint(3) Demonstrate that the checkpoint (3) Demonstrate that the checkpoint location was reasonable and effective in location was reasonable and effective in achieving the government interest of achieving the government interest of deterring drunk drivingdeterring drunk driving(4) Offer any evidence as to the length and (4) Offer any evidence as to the length and nature of the checkpoint detentionsnature of the checkpoint detentions(5) Offer any evidence as to the length and (5) Offer any evidence as to the length and nature of the checkpoint detentionsnature of the checkpoint detentions





Alvarado contended that the prosecution Alvarado contended that the prosecution failed to:failed to:

AlvaradoAlvarado

Role of Supervisory Personnel

The People introduced evidence that a captain ordered the checkpoint. Undisputed evidence showed that it was the Traffic Sergeant who endorsed and approved the procedures actually used. The procedures apparently endorsed by the sergeant differed appreciably from those (1) Specified by the captain

(2) On the forms used by officers at the scene


The People introduced evidence that a captain ordered the checkpoint. Undisputed evidence showed that it was the Traffic Sergeant who endorsed and approved the procedures actually used. The procedures apparently endorsed by the sergeant differed appreciably from those (1) Specified by the captain


The People introduced evidence that a captain ordered the checkpoint. Undisputed evidence showed that it was the Traffic Sergeant who endorsed and approved the procedures actually used. The procedures apparently endorsed by the sergeant differed appreciably from those

(2) On the forms used by officers at the scene(2) On the forms used by officers at the scene

(1) Specified by the captain(1) Specified by the captain

Role of Supervisory PersonnelRole of Supervisory Personnel

The People introduced evidence that a The People introduced evidence that a captain ordered the checkpoint. captain ordered the checkpoint. Undisputed evidence showed that it was Undisputed evidence showed that it was the Traffic Sergeant who endorsed and the Traffic Sergeant who endorsed and approved the procedures actually used. approved the procedures actually used. The procedures apparently endorsed by The procedures apparently endorsed by the sergeant differed appreciably from the sergeant differed appreciably from thosethose

AlvaradoAlvarado

Alvarado argued that the trial court erred in finding that the checkpoint operated under a neutral formula because the Officer did not follow the instructions on the official “Sobriety Checkpoint Form.” But it appears that the officer on the scene did employ neutral criteria, albeit a combination of two systems employed as traffic conditions dictated.

Neutral Formula

Alvarado argued that the trial court erred in finding Alvarado argued that the trial court erred in finding that the checkpoint operated under a neutral formula that the checkpoint operated under a neutral formula because the Officer did not follow the instructions on because the Officer did not follow the instructions on the official the official ““Sobriety Checkpoint Form.Sobriety Checkpoint Form.”” But it appears But it appears that the officer on the scene did employ neutral that the officer on the scene did employ neutral criteria, albeit a combination of two systems employed criteria, albeit a combination of two systems employed as traffic conditions dictatedas traffic conditions dictated. .

Neutral FormulaNeutral Formula

Alvarado

While the Officer testified he used While the Officer testified he used this this ““five cars at a timefive cars at a time”” method method ““through the entire evening,through the entire evening,”” there there were occasions when he gathered were occasions when he gathered cars in groups of less than five. The cars in groups of less than five. The Officer did this due to the nature of Officer did this due to the nature of traffic flow, i.e., there may not have traffic flow, i.e., there may not have been five cars available and the been five cars available and the police could not wait for an additional police could not wait for an additional one or two more cars.one or two more cars.

Neutral Formula

Alvarado Neutral FormulaNeutral Formula

AlvaradoAlvarado

AlvaradoAlvarado

Ingersoll stated: “The sites chosen [for sobriety checkpoints] should be those which will be most effective in achieving the governmental interest; i.e., on roads having a high incidence of alcohol related accidents and/or arrests. Safety factors must also be considered in choosing an appropriate location.” (Ingersoll, supra, 43 Cal.3d at p. 1343.) “[A] sobriety checkpoint would be improper at a location without any significant traffic or incidence of drunk driving․” (Id. at p. 1344.)

Site Selection Ingersoll stated: Ingersoll stated: ““The sites chosen [for The sites chosen [for sobriety checkpoints] should be those which sobriety checkpoints] should be those which will be most effective in achieving the will be most effective in achieving the governmental interest; i.e., on roads having a governmental interest; i.e., on roads having a high incidence of alcohol related accidents high incidence of alcohol related accidents and/or arrests. Safety factors must also be and/or arrests. Safety factors must also be considered in choosing an appropriate considered in choosing an appropriate location.location.”” (Ingersoll, supra, 43 Cal.3d at p. (Ingersoll, supra, 43 Cal.3d at p. 1343.) 1343.) ““[A] sobriety checkpoint would be [A] sobriety checkpoint would be improper at a location without any significant improper at a location without any significant traffic or incidence of drunk driving․traffic or incidence of drunk driving․”” (Id. at p. (Id. at p. 1344.)1344.)

Site Site SelectionSelection

AlvaradoAlvarado

There was no evidence explaining the selection of the specific checkpoint site used here. To be sure, there was evidence that the site had been used before. But there was no evidence that the intersection at issue had a high incidence of alcohol-related accidents.

Site Selection

There was no evidence explaining the selection There was no evidence explaining the selection of the specific checkpoint site used here. To be of the specific checkpoint site used here. To be sure, there was evidence that the site had been sure, there was evidence that the site had been used before. But there was no evidence that the used before. But there was no evidence that the intersection at issue had a high incidence of intersection at issue had a high incidence of alcohol-related accidents. alcohol-related accidents.

Site Site SelectionSelection

AlvaradoAlvarado

Alvarado argued that the trial court erred by finding that the issue of timing and duration did not apply in the present case, and that there was no evidence proffered below on the length and nature of the checkpoint detentions. (Compare Ingersoll, supra, 43 Cal .3d at p. 1327 [28 seconds for average detention, six minutes for those given field sobriety tests].) The trial court found that the factor did not apply in this case. The trial court was in error.

Length and Nature of Detention Alvarado argued that the trial court erred by Alvarado argued that the trial court erred by

finding that the issue of timing and duration did finding that the issue of timing and duration did not apply in the present case, and that there not apply in the present case, and that there was no evidence proffered below on the length was no evidence proffered below on the length and nature of the checkpoint detentions. and nature of the checkpoint detentions. (Compare Ingersoll, supra, 43 Cal .3d at p. 1327 (Compare Ingersoll, supra, 43 Cal .3d at p. 1327 [28 seconds for average detention, six minutes [28 seconds for average detention, six minutes for those given field sobriety tests].) The trial for those given field sobriety tests].) The trial court found that the factor did not apply in this court found that the factor did not apply in this case. case. The trial court was in error. The trial court was in error.

Length and Nature of Length and Nature of DetentionDetention

AlvaradoAlvarado

“Advance publicity is important to the maintenance of a constitutionally permissible sobriety checkpoint. Publicity both reduces the intrusiveness of the stop and increases the deterrent effect of the roadblock.” (Ingersoll, supra, 43 Cal.3d at p. 1346.) No such evidence was presented below.

Lack of Advance Publicity

Alvarado, citing Banks, supra, 6 Cal.4th 926, agrees that the lack of advance publicity alone will not render a sobriety checkpoint unconstitutional, but suggests that, in conjunction with other failures, the lack of advance publicity renders the sobriety checkpoint in this case unreasonable. Where lack of advance publicity is the sole infirmity in a checkpoint procedure, Banks instructs us to deny the motion to suppress; but where other problems are found, this factor may tip the scales in favor of granting the motion.


Lack of Advance Publicity Lack of Advance Publicity Lack of Advance Lack of Advance PublicityPublicity

Where lack of advance publicity is the sole infirmity in a checkpoint procedure, Banks instructs us to deny the motion to suppress; but where other problems are found, this factor may tip the scales in favor of granting the motion.


Alvarado, citing Banks, supra, 6 Cal.4th 926, Alvarado, citing Banks, supra, 6 Cal.4th 926, agrees that the lack of advance publicity alone agrees that the lack of advance publicity alone will not render a sobriety checkpoint will not render a sobriety checkpoint unconstitutional, but suggests that, in unconstitutional, but suggests that, in conjunction with other failures, the lack of conjunction with other failures, the lack of advance publicity renders the sobriety advance publicity renders the sobriety checkpoint in this case unreasonable.checkpoint in this case unreasonable. Where lack of advance publicity is the sole infirmity Where lack of advance publicity is the sole infirmity in a checkpoint procedure, Banks instructs us to deny in a checkpoint procedure, Banks instructs us to deny the motion to suppress; but where other problems the motion to suppress; but where other problems are found, this factor may tip the scales in favor of are found, this factor may tip the scales in favor of granting the motion.granting the motion.

““Advance publicity is important to the maintenance of a Advance publicity is important to the maintenance of a constitutionally permissible sobriety checkpoint. Publicity both constitutionally permissible sobriety checkpoint. Publicity both reduces the intrusiveness of the stop and increases the reduces the intrusiveness of the stop and increases the deterrent effect of the roadblock.deterrent effect of the roadblock.”” (Ingersoll, supra, 43 Cal.3d (Ingersoll, supra, 43 Cal.3d at p. 1346.) No such evidence was presented below.at p. 1346.) No such evidence was presented below.

Lack of Advance Publicity

AlvaradoAlvarado Court Ruling

1. The role of supervisory personnel in prescribing the procedures to be used at the checkpoint

2. The rationale for selecting the particular location used for the checkpoint2. The rationale for selecting the particular location used for the checkpoint.

3. The length of detentions

4. Advance publicity

The Court also noted the thin evidence of neutral criteria used when fewer than five cars were pulled over at a time.

Here, the record shows that the People did Here, the record shows that the People did not sustain their burden as to at least:not sustain their burden as to at least:

Court Court RulingRuling

1. The role of supervisory personnel in 1. The role of supervisory personnel in prescribing the procedures to be used at the prescribing the procedures to be used at the checkpointcheckpoint

3. The length of detentions3. The length of detentions

The Court also noted the thin evidence of neutral The Court also noted the thin evidence of neutral criteria used when fewer than five cars were criteria used when fewer than five cars were pulled over at a time.pulled over at a time.

4. Advance publicity4. Advance publicity

Alvarado Alvarado TSRP Legal Opinion as it relates to Alvarado TSRP Legal Opinion as it relates to Alvarado on the issues not addressed by the Court. on the issues not addressed by the Court. 1.1. Data has to drive the site selection process. Data is Data has to drive the site selection process. Data is

seen as "neutral." In Alvarado the people relied on a seen as "neutral." In Alvarado the people relied on a "we always do it here" argument. We all see how that "we always do it here" argument. We all see how that went. Data, data, data!went. Data, data, data!

2.2. The role of supervisory personnel. This is perhaps the most The role of supervisory personnel. This is perhaps the most troubling aspect of the case. The court points out that a troubling aspect of the case. The court points out that a Capt made decisions, but these decisions were not followed Capt made decisions, but these decisions were not followed by, and were in fact superseded by a Sergeant. by, and were in fact superseded by a Sergeant. Furthermore, what the Sgt. order differed from the Furthermore, what the Sgt. order differed from the directives in the hands of officers on scene. directives in the hands of officers on scene.

3.3. Yes, there are defense attorneys that challenge the chute Yes, there are defense attorneys that challenge the chute method as being non-neutral. This opinion says the chute method as being non-neutral. This opinion says the chute method is okay. It also okays switching between neutral method is okay. It also okays switching between neutral systems when traffic pattern changes. There are also other systems when traffic pattern changes. There are also other California appellate ruling that okays the chute method.California appellate ruling that okays the chute method.

AlvaradoAlvarado

1.1. Ingersoll notes, Ingersoll notes, ““no hard and fast rules as to timing no hard and fast rules as to timing or duration can be laid down, but law enforcement or duration can be laid down, but law enforcement officials will be expected to exercise good judgment officials will be expected to exercise good judgment in setting times and durations, with an eye to in setting times and durations, with an eye to effectiveness of the operation. (In Ingersoll, 28 effectiveness of the operation. (In Ingersoll, 28 seconds for average detention, six minutes for seconds for average detention, six minutes for those given field sobriety tests.) While the People's those given field sobriety tests.) While the People's brief suggests that such evidence was provided, it brief suggests that such evidence was provided, it consisted of nothing except a statement that the consisted of nothing except a statement that the procedures were designed to procedures were designed to ““keep traffic flowing.keep traffic flowing.”” 2.2. Where lack of advance publicity is the sole infirmity Where lack of advance publicity is the sole infirmity in a checkpoint procedure, Banks instructs us to in a checkpoint procedure, Banks instructs us to deny the motion to suppress; but where other deny the motion to suppress; but where other problems are found, this factor may tip the scales in problems are found, this factor may tip the scales in favor of granting the motion favor of granting the motion

Issues directly addressed by the Court Re: Issues directly addressed by the Court Re: Length and Nature of the Detentions and Length and Nature of the Detentions and PublicityPublicity

Fraud Awareness Fraud Awareness and and

Financial StewardshipFinancial Stewardship

Federal grant funds are awarded for a specific Federal grant funds are awarded for a specific ““public purposepublic purpose”” and grantees must use and grantees must use those funds within certain parameters.those funds within certain parameters.

Unfortunately, fraud, waste and misuse of Unfortunately, fraud, waste and misuse of these funds can and does occur.these funds can and does occur.



United States Office of the United States Office of the Inspector General (OIG)Inspector General (OIG)

Investigations by the federal Office of the Investigations by the federal Office of the Inspector General (OIG) and NHTSA have Inspector General (OIG) and NHTSA have detected some cases of fraud involving detected some cases of fraud involving

grantees receiving federal highway grantees receiving federal highway safety grant funds.safety grant funds.

THE OIG INVESTIGATIONTHE OIG INVESTIGATION

How was the problem discovered?How was the problem discovered?– It was an accident!It was an accident!– Investigation involved: Local Police Investigation involved: Local Police

Department/HSO/FBI/OIG/NHTSADepartment/HSO/FBI/OIG/NHTSA– Focus on overtime STEP grants (OP, DWI,Focus on overtime STEP grants (OP, DWI,– Speeding & Other)Speeding & Other)– Significant Local/State/National media Significant Local/State/National media

coveragecoverage– OIG Investigation Broadened NationallyOIG Investigation Broadened Nationally

OIG INVESTIGATIONS RESULTSOIG INVESTIGATIONS RESULTS

$506,000 $506,000 identified as misused in 4 police identified as misused in 4 police departments.departments.

State has or will pay back to NHTSAState has or will pay back to NHTSA 24 Officers removed or resigned; 1 retired.24 Officers removed or resigned; 1 retired. 25 Officers indicted. Adjudication in process.25 Officers indicted. Adjudication in process. Investigations are continuing. The dollar Investigations are continuing. The dollar

amount and number of officers involved will amount and number of officers involved will likely increase.likely increase.

SCHEMES ASSOCIATED WITH SCHEMES ASSOCIATED WITH LAW ENFORCEMENTLAW ENFORCEMENT

GRANT FRAUDGRANT FRAUD

Falsification of Log sheetsFalsification of Log sheets Falsification of TicketsFalsification of Tickets Misuse of Misuse of ““Administrative TimeAdministrative Time””

FALSIFICATION OF LOG SHEETSFALSIFICATION OF LOG SHEETS

Officers misreport hours worked, time Officers misreport hours worked, time tickets were written, number of tickets tickets were written, number of tickets written to get paid for time not worked.written to get paid for time not worked.

Sometimes with tacit approval of supervisor.Sometimes with tacit approval of supervisor. Discovered when officersDiscovered when officers’’ log sheets were log sheets were

compared to actual time worked based on compared to actual time worked based on dispatch logs, ticket records, vehicle logs.dispatch logs, ticket records, vehicle logs.

FALSIFICATION OF TICKETSFALSIFICATION OF TICKETS

Discovered when an officerDiscovered when an officer’’s ticket book s ticket book was found with completed ticket was found with completed ticket information but no times noted.information but no times noted.

Times omitted from tickets until log Times omitted from tickets until log sheet completed.sheet completed.

False time entered on ticket to appear as False time entered on ticket to appear as if written during overtime shift.if written during overtime shift.

OTHER EXAMPLES OF FRAUD OTHER EXAMPLES OF FRAUD (CONTINUED)(CONTINUED)

FALSIFYING DOCUMENTS – FALSIFYING DOCUMENTS – THIRD PARTY CONTRACTSTHIRD PARTY CONTRACTS

State Highway Safety Office (SHSO) contracts with a government State Highway Safety Office (SHSO) contracts with a government for a highway safety grant who subcontracts with contractor for for a highway safety grant who subcontracts with contractor for services. services.

Grant Agreement specifies staff time to be billed at $125/HRGrant Agreement specifies staff time to be billed at $125/HR Also, work performed by subcontractor is to be billed at the actual Also, work performed by subcontractor is to be billed at the actual

subcontractor rate of $75/HRsubcontractor rate of $75/HR– Sub‐grantee contracts with a 3rd partySub‐grantee contracts with a 3rd party– Sub‐grantee submits voucher to SHSO at the $125/HRSub‐grantee submits voucher to SHSO at the $125/HR– Sub‐grantee submitted false invoices from sub‐contractorsSub‐grantee submitted false invoices from sub‐contractors– Formal complaint by a sub‐contractorFormal complaint by a sub‐contractor– Audit and forwarded to OIG for further investigationAudit and forwarded to OIG for further investigation

OTHER EXAMPLES OF FRAUD OTHER EXAMPLES OF FRAUD (CONTINUED)(CONTINUED)

CONTRACTOR FRAUDCONTRACTOR FRAUD SHSO contracted with non‐profit agency and individuals to do outreach, SHSO contracted with non‐profit agency and individuals to do outreach,

presentations and training.presentations and training. Contractor submitted false vendor invoicesContractor submitted false vendor invoices SHSO accountant identified inconsistenciesSHSO accountant identified inconsistencies State investigation uncovered numerous fraudulent issuesState investigation uncovered numerous fraudulent issues

– Two individuals indicted for felony theft, filing false public records and payroll Two individuals indicted for felony theft, filing false public records and payroll fraudfraud

– State to reimburse State to reimburse $265,000 $265,000 to NHTSAto NHTSA– Contractors submitted false activity reports for work that did not occurContractors submitted false activity reports for work that did not occur

First contractor discovered by anonymous tipFirst contractor discovered by anonymous tip State investigation broadened to other contractorsState investigation broadened to other contractors Four individuals indicted for felony theft, filing false public records and Four individuals indicted for felony theft, filing false public records and

payroll fraudpayroll fraud State to reimburse State to reimburse $89,000 $89,000 to NHTSAto NHTSA

OTHER EXAMPLES OF FRAUD (CONTINUED)OTHER EXAMPLES OF FRAUD (CONTINUED)LAW ENFORCEMENT – IMPROPER REIMBURSEMENTSLAW ENFORCEMENT – IMPROPER REIMBURSEMENTS

SHSO provided overtime dollars to a law SHSO provided overtime dollars to a law enforcement agencyenforcement agency– Chief used the funds to cover gaps in the Chief used the funds to cover gaps in the

departmentdepartment’’s general operating expensess general operating expenses– Audit resulted from an anonymous tipAudit resulted from an anonymous tip– State investigation found 281 discrepancies.State investigation found 281 discrepancies.– State to reimburse State to reimburse $45,664 $45,664 to NHTSAto NHTSA

Lack of Training to Supervisor Lack of Training to Supervisor and and

OfficersOfficers

Training Training

Grant ManagementGrant Management

Prevention Prevention

FRAUD RISK FACTORS:FRAUD RISK FACTORS:MANAGEMENT/INTERNAL MANAGEMENT/INTERNAL

CONTROLSCONTROLS

Two of the most common contributing Two of the most common contributing factors:factors:– Lack of communication regarding program Lack of communication regarding program

management.management.– Lack of supervision in grant procedures.Lack of supervision in grant procedures.

FRAUD RISK FACTORS:FRAUD RISK FACTORS:INTERNAL CONTROL INTERNAL CONTROL

WEAKNESSESWEAKNESSESLAW ENFORCEMENT GRANTSLAW ENFORCEMENT GRANTS

Lack of training to supervisors and Lack of training to supervisors and officers:officers:– Failure to emphasize the unique conditions Failure to emphasize the unique conditions

of specific grant programs in recruitment of specific grant programs in recruitment and in-service courses.and in-service courses.

FRAUD RISK FACTORS:FRAUD RISK FACTORS:INTERNAL CONTROL INTERNAL CONTROL

WEAKNESSESWEAKNESSESLAW ENFORCEMENT GRANTSLAW ENFORCEMENT GRANTS

Lack of supervision in grant procedures:Lack of supervision in grant procedures:– Failure to provide oversight during overtime Failure to provide oversight during overtime

patrols.patrols.– Absence of a time and attendance quality Absence of a time and attendance quality

control check that can easily identify log control check that can easily identify log sheet falsification.sheet falsification.

HOW DO INVESTIGATIONS HOW DO INVESTIGATIONS HAPPEN?HAPPEN?

Formal ComplaintsFormal Complaints Anonymous TipsAnonymous Tips Investigating AgencyInvestigating Agency OIGOIG FBIFBI State Auditor or Internal AuditorState Auditor or Internal Auditor District AttorneyDistrict Attorney ConsiderationsConsiderations Magnitude and ScopeMagnitude and Scope Duration, Number of instancesDuration, Number of instances

Building Supervision into Grant Building Supervision into Grant ProceduresProcedures

Effective Grant Activity Effective Grant Activity MonitoringMonitoring



Spread the wordSpread the word

A great partnershipA great partnership

Important ResponsibilityImportant Responsibility



Fraud was detected only in a small Fraud was detected only in a small sample of departments but the sample of departments but the investigation is expanding to additional investigation is expanding to additional regions.regions.

Fraud is not limited to enforcement Fraud is not limited to enforcement grants.grants.

The ability to detect, prevent and The ability to detect, prevent and respond to fraud is very important.respond to fraud is very important.

WHAT CAN GRANTEES DO!WHAT CAN GRANTEES DO!

Read your grant agreement and your Read your grant agreement and your terms and conditions in your grant. terms and conditions in your grant.

Maintain written correspondence Maintain written correspondence with OTS about any program with OTS about any program or budget changes. or budget changes.

Keep well-organized and complete Keep well-organized and complete accounting books and recordsaccounting books and records



QUESTIONS?QUESTIONS?

Ed Gebing Ed Gebing Law Enforcement LiaisonLaw Enforcement LiaisonNorthern California RegionNorthern California Region(916) 509-3027(916) [email protected] [email protected]

Bill EhartBill EhartLaw Enforcement LiaisonLaw Enforcement LiaisonSouthern California RegionSouthern California Region(916) 509-3028(916) [email protected]@ots.ca.gov

93

California Office of Traffic SafetyCalifornia Office of Traffic Safety LEL ContactsLEL Contacts

OTS Regional Coordinator OTS Regional Coordinator Contact information is available atContact information is available at

http://www.ots.ca.gov

2208 Kausen Drive, Suite 3002208 Kausen Drive, Suite 300Elk Grove, California 95758 Elk Grove, California 95758

916-509-3030916-509-3030

94

http://www.ots.ca.gov/

96

2012-2013 Sobriety Checkpoint 2012-2013 Sobriety Checkpoint Grant Program Pre-Operational Grant Program Pre-Operational

Training: Training: Contractual and Claim Contractual and Claim

Requirements Requirements

By the By the University of California, BerkeleyUniversity of California, Berkeley

Safe Transportation Research and Safe Transportation Research and Education Center Education Center

October – November 2012October – November 2012

97

AgendaAgenda

Grant contractGrant contract On-line reporting of post-operational On-line reporting of post-operational

datadata Due dates (post-operational data)Due dates (post-operational data) ClaimsClaims Due dates (claims)Due dates (claims) Fact BlastsFact Blasts SafeTREC contactsSafeTREC contacts

Your Grant Contains Instructions Your Grant Contains Instructions for Filing Claims with SafeTRECfor Filing Claims with SafeTREC

• The signatory page shows who can sign The signatory page shows who can sign claimsclaims

• Schedule A contains the Method of Schedule A contains the Method of Procedure, Agency Objectives and Procedure, Agency Objectives and Media Objectives which, if followed, Media Objectives which, if followed, ensures that your agency will remain in ensures that your agency will remain in compliance throughout the grant periodcompliance throughout the grant period

9898

Your Grant Contains Instructions Your Grant Contains Instructions for Filing Claims with SafeTRECfor Filing Claims with SafeTREC

•Schedule B contains the limits for Schedule B contains the limits for reimbursementsreimbursements•Schedule B-1 contains instructions for Schedule B-1 contains instructions for submitting a complete claims packagesubmitting a complete claims package

9999

You Must Submit Operational Data You Must Submit Operational Data to Be Reimbursedto Be Reimbursed

• Post-operational data must be reported on-Post-operational data must be reported on-line after the applicable quarterline after the applicable quarter

• SafeTrec will email instructions for reporting SafeTrec will email instructions for reporting the operational data the operational data

• Each agency will have a unique log-in and Each agency will have a unique log-in and passwordpassword

• Agencies will be notified when the reporting Agencies will be notified when the reporting system becomes available in Januarysystem becomes available in January

100100

Due Dates for Post-Operational Due Dates for Post-Operational Data Data

Submit post-operational data on-line by: Submit post-operational data on-line by:

• January 25, 2013January 25, 2013 for checkpoints conducted October – January 1 for checkpoints conducted October – January 1 (Quarter 1)(Quarter 1)

• April 30, 2013 April 30, 2013 for checkpoints conducted January 2 – March 31 for checkpoints conducted January 2 – March 31 (Quarter 2) (Quarter 2)

• July 31, 2013 July 31, 2013 for checkpoints conducted April 1 – June 30 (Quarter 3)for checkpoints conducted April 1 – June 30 (Quarter 3)• September 24, 2013 September 24, 2013 for checkpoints conducted July 1 – September 2 for checkpoints conducted July 1 – September 2

(Quarter 4)(Quarter 4)

(For checkpoints conducted September 2-30, please submit data by (For checkpoints conducted September 2-30, please submit data by October 31)October 31)

101101

IMPORTANTIMPORTANT: How to ensure a : How to ensure a smooth claims processsmooth claims process

• Coordinate with the finance department Coordinate with the finance department to to create a project code/account in the citycreate a project code/account in the city’’s s general ledger as soon as possiblegeneral ledger as soon as possible

• The finance department must generate a The finance department must generate a ledger report(s)ledger report(s) to to supportsupport each claim each claim (Excel spreadsheets only will not suffice)(Excel spreadsheets only will not suffice)

*The ledger report should support the claim amount. If the *The ledger report should support the claim amount. If the report does not match, please provide an explanation or it report does not match, please provide an explanation or it will significantly delay the reimbursement process.will significantly delay the reimbursement process.

102102

How to ensure a smooth claims How to ensure a smooth claims processprocess

• Use the Excel-based claim form for the Use the Excel-based claim form for the 2012-2012-2013 2013 Sobriety Checkpoint Program Sobriety Checkpoint Program

• Only SafeTREC can modify the claim formOnly SafeTREC can modify the claim form

• The claim form will be available in The claim form will be available in JanuaryJanuary at:at:

http://safetrec.berkeley.edu/checkpointgrants/2012_2013checkpoint.html

Typed or handwritten claims will Typed or handwritten claims will notnot be accepted! be accepted!

103103



Not to Exceed Contractual Not to Exceed Contractual Amounts (Part 1)Amounts (Part 1)

104104

Your agency Your agency cannot exceed cannot exceed the:the:

Grant award amount Grant award amount (grant signature (grant signature page and Schedule B)page and Schedule B)

Maximum reimbursable amount for Maximum reimbursable amount for checkpoint supplies checkpoint supplies (Schedule B)(Schedule B),, if if applicable applicable

Not to Exceed Contractual Amounts Not to Exceed Contractual Amounts (Part 2)(Part 2)

105105

Your agency should abide by the cost Your agency should abide by the cost per checkpoint contractual amount; per checkpoint contractual amount; however, with prior authorization, however, with prior authorization, your agency can exceed the cost per your agency can exceed the cost per checkpoint as long as the agency checkpoint as long as the agency completes all contractually obligated completes all contractually obligated checkpoints. Prior authorization can checkpoints. Prior authorization can be obtained by completing the Cost be obtained by completing the Cost per Checkpoint Exception form. per Checkpoint Exception form.

How to complete a claim How to complete a claim

106106

Complete these worksheets:Complete these worksheets:

o Agency Info worksheet (one time Agency Info worksheet (one time only)only)

o Claim Details for the applicable Claim Details for the applicable quarterquarter

o Checkpoint Supplies Details Checkpoint Supplies Details worksheet, if applicableworksheet, if applicable

The claim form for the quarter will be The claim form for the quarter will be populated automaticallypopulated automatically

How to complete a claimHow to complete a claim

Use the same Excel workbook Use the same Excel workbook (spreadsheets) throughout the grant (spreadsheets) throughout the grant period because:period because:

• The Agency Information populates all The Agency Information populates all quartersquarters’’ claims claims

• The amounts claimed are carried forward The amounts claimed are carried forward from one quarter to the nextfrom one quarter to the next

107107

Filling in the Filling in the Agency Info Agency Info WorksheetWorksheet

• Use the address listed in Box C of the Use the address listed in Box C of the grant contract, i.e., the Agency grant contract, i.e., the Agency Authorized to Receive Payments Authorized to Receive Payments (notify SafeTREC if the address has (notify SafeTREC if the address has changed)changed)

• SafeTREC will email the purchase SafeTREC will email the purchase order numberorder number

108108

Filling in the Filling in the Agency Info Agency Info WorksheetWorksheet

• Fill in all requested dollar amounts so Fill in all requested dollar amounts so the formulas programmed into the the formulas programmed into the spreadsheets will work!spreadsheets will work!

• Obtain the amounts from the grant Obtain the amounts from the grant contract documentcontract document

109109

See Sample Claim HandoutSee Sample Claim Handout

110110

Requirements for FY 2013 ClaimsRequirements for FY 2013 Claims

• Break out Break out overtime benefits for each overtime benefits for each individual, excluding contract citiesindividual, excluding contract cities

• Provide Provide ““unburdenedunburdened”” overtime costs, i.e., overtime costs, i.e., without benefitswithout benefits

• Ledger reports must support the claimed Ledger reports must support the claimed amountamount

111111

Requirements for FY 2013 ClaimsRequirements for FY 2013 Claims

• Complete a Checkpoint Supplies Form, if Complete a Checkpoint Supplies Form, if applicableapplicable

• Ledger reports must show expenditures Ledger reports must show expenditures for checkpoint suppliesfor checkpoint supplies

112112

IMPORTANT IMPORTANT

• ONLY OTS-approved checkpoint supplies ONLY OTS-approved checkpoint supplies will be reimbursed. If your agency would will be reimbursed. If your agency would like to purchase an item(s) that would be like to purchase an item(s) that would be invaluable to the checkpoint and is not on invaluable to the checkpoint and is not on the OTS-approved list, your agency will the OTS-approved list, your agency will need to contact SafeTREC for email need to contact SafeTREC for email approval. Prior approval must be obtained approval. Prior approval must be obtained before the item is purchased or the supply before the item is purchased or the supply cost will be disallowed. cost will be disallowed.

113113

Checkpoint Supplies FormCheckpoint Supplies Form

See Sample Claim HandoutSee Sample Claim Handout

114114

Completing the ClaimCompleting the Claim

Obtain the correct signatureObtain the correct signature::– Anyone who signed in Boxes B or D on the Anyone who signed in Boxes B or D on the

grant document can sign the claim formgrant document can sign the claim form– If the Authorizing Official changes, complete If the Authorizing Official changes, complete

the Change in Authorizing Official formthe Change in Authorizing Official form– To add another signatory, complete the To add another signatory, complete the

Additional Signatory form Additional Signatory form

*Please make sure that the signature is original *Please make sure that the signature is original (Copies or stamped signatures are not allowed)(Copies or stamped signatures are not allowed)

115115

After Completing the After Completing the Claim, Submit the Claims Claim, Submit the Claims

PackagePackage• ClaimClaim

• Claim DetailsClaim Details

• Checkpoint Supplies Form, if applicableCheckpoint Supplies Form, if applicable

• Overtime (OT) slipsOvertime (OT) slips

• Expenditure (or equivalent ledger) report Expenditure (or equivalent ledger) report supporting the claim amountsupporting the claim amount

• Checkpoint supplies invoices/receipts from Checkpoint supplies invoices/receipts from the vendor (should include tax)the vendor (should include tax)

• Cost per Checkpoint Exception Form, if Cost per Checkpoint Exception Form, if applicableapplicable 116116

The Claims Package for Contract The Claims Package for Contract Cities is DifferentCities is Different

• Contract cities, Contract cities, excluding those agencies where excluding those agencies where the sheriffthe sheriff’’s department is administering the s department is administering the grant, grant, must also provide:must also provide:– InvoiceInvoice from the from the sheriffsheriff’’s department s department to the to the

contract city for grant related services contract city for grant related services – The invoice (or attachment) must contain the The invoice (or attachment) must contain the

contract rates that are the basis for the contract rates that are the basis for the sheriffsheriff’’s department’s invoiced amounts department’s invoiced amount

117117

Overtime Slips Must be Overtime Slips Must be CompleteComplete

• Signed by the employee and supervisor Signed by the employee and supervisor (stamped signatures are not acceptable)(stamped signatures are not acceptable)

• Annotated, e.g., Sobriety Checkpoint Annotated, e.g., Sobriety Checkpoint Program, DUI Grant, or a finance depProgram, DUI Grant, or a finance dep’’t-t-designated numberdesignated number

• Show the start time, end time, and number Show the start time, end time, and number of overtime hoursof overtime hours

• Show the checkpoint dateShow the checkpoint date

118118

119119

Overtime Slips Must be CompleteOvertime Slips Must be Complete

• Any missing information on an OT slip will Any missing information on an OT slip will disqualify that slipdisqualify that slip

The overtime cost of the hours on The overtime cost of the hours on disqualified OT slip (s) will be subtracted disqualified OT slip (s) will be subtracted from the claim amount!!from the claim amount!!

120120

Electronic Timesheet System Electronic Timesheet System

• If your agency uses an electronic timesheet If your agency uses an electronic timesheet system, then submit the timesheets with a system, then submit the timesheets with a supervisor signature on the front of the packet supervisor signature on the front of the packet to certify the overtime hours were workedto certify the overtime hours were worked

121121

What Costs Are AllowableWhat Costs Are Allowable

• Actual overtime cost for checkpoint Actual overtime cost for checkpoint operation(s) operation(s)

• Benefits accrued to overtime hours, e.g., Benefits accrued to overtime hours, e.g., Social Security, Workers Compensation, Social Security, Workers Compensation, Medicare, state-run disability, unemployment Medicare, state-run disability, unemployment insuranceinsurance

• Costs of OTS-approved checkpoint supplies Costs of OTS-approved checkpoint supplies at or below OTS-set unit prices, if applicableat or below OTS-set unit prices, if applicable

122122

What About Administrative What About Administrative PersonnelPersonnel

• Administrative/clerical personnel are allowable Administrative/clerical personnel are allowable only if they worked on the checkpoint operation, only if they worked on the checkpoint operation, e.g., to process the larger than normal volume e.g., to process the larger than normal volume of citations and arrest/incident reports. These of citations and arrest/incident reports. These reports must be a result of the operation and reports must be a result of the operation and required to be processed quickly for distribution required to be processed quickly for distribution to the courts and the District Attorney's Office, to the courts and the District Attorney's Office, or to meet statutory time limits. Clerical or to meet statutory time limits. Clerical overtime incurred before the checkpoint or overtime incurred before the checkpoint or more than one business day after the last day more than one business day after the last day of the checkpoint is of the checkpoint is not allowablenot allowable

123123

What Costs Are What Costs Are NOTNOT Allowable Allowable

• Indirect costsIndirect costs• Contractual costs, e.g., the cost of a contract Contractual costs, e.g., the cost of a contract

dispatcher dispatcher (does not apply to contract city (does not apply to contract city arrangements)arrangements)

• Checkpoint supplies that are not OTS-approvedCheckpoint supplies that are not OTS-approved• Amounts of checkpoint supplies paid in excess Amounts of checkpoint supplies paid in excess

of OTS-set unit pricesof OTS-set unit prices

124124


• Retirement, vision insurance, life Retirement, vision insurance, life insurance, dental insurance, overhead insurance, dental insurance, overhead fees, and other benefits that are not fees, and other benefits that are not accrued to overtime hoursaccrued to overtime hours

• Meal allowances and uniform allowancesMeal allowances and uniform allowances

125125


• Unexpended funds cannot be transferred Unexpended funds cannot be transferred for use from one checkpoint operation to for use from one checkpoint operation to another without prior authorizationanother without prior authorization

126126

To be Reimbursed You MustTo be Reimbursed You Must

• Report your post-operational data on-lineReport your post-operational data on-line

• Submit the press release(s) Submit the press release(s)

• Mail in a complete claims package Mail in a complete claims package

Emailed/faxed claims are not accepted Emailed/faxed claims are not accepted because we need the original signaturebecause we need the original signature

127127

Claims Due DatesClaims Due Dates

February 15, 2013February 15, 2013 for Quarter 1 Claim for Quarter 1 Claim

May 15, 2013May 15, 2013 for Quarter 2 Claim for Quarter 2 Claim

August 15, 2013August 15, 2013 for Quarter 3 Claim for Quarter 3 Claim

October 31, 2013 October 31, 2013 for Quarter 4 Claim for Quarter 4 Claim(Be aware of your city(Be aware of your city’’s ledger/invoice administrative process s ledger/invoice administrative process timetable when timetable when

planning checkpoints in Quarter 4) planning checkpoints in Quarter 4)

DonDon’’t submit claims for $ 0 !!t submit claims for $ 0 !!

128128

Fact BlastsFact Blasts

Fact Blasts contain important information that Fact Blasts contain important information that pertains to the Sobriety Checkpoint Program pertains to the Sobriety Checkpoint Program and your agency will receive them throughout and your agency will receive them throughout the grant cycle. Please read each Fact Blast the grant cycle. Please read each Fact Blast thoroughly. thoroughly.

129129

SafeTREC ContactsSafeTREC ContactsAdrienne MooreAdrienne Moore SafeTRECSafeTREC2614 Dwight Way, #73742614 Dwight Way, #7374Berkeley, CA 94720-7374Berkeley, CA 94720-7374(510) 643 – 7625(510) 643 – 7625(510) 643 – 9922 (fax)(510) 643 – 9922 (fax)[email protected] [email protected]

Olivia Pavelchik Olivia Pavelchik SafeTRECSafeTREC2614 Dwight Way, #73742614 Dwight Way, #7374Berkeley, CA 94720-7374Berkeley, CA 94720-7374(510) 643 – 6556(510) 643 – 6556(510) 643 – 9922 (fax)(510) 643 – 9922 (fax)[email protected]@berkeley.edu

SafeTREC web site: SafeTREC web site: www.safetrec.berkeley.eduGeneral inquiries: [email protected] inquiries: [email protected]

FY 2013 Sobriety Checkpoint Mini Grant web site:FY 2013 Sobriety Checkpoint Mini Grant web site:http://safetrec.berkeley.edu/checkpointgrants/2012_2013checkpoint.htmlhttp://safetrec.berkeley.edu/checkpointgrants/2012_2013checkpoint.html

130130

http://www.safetrec.berkeley.edu/

Ed Gebing Ed Gebing Law Enforcement LiaisonLaw Enforcement LiaisonNorthern California RegionNorthern California Region(916) 509-3027(916) [email protected] [email protected]

Bill EhartBill EhartLaw Enforcement LiaisonLaw Enforcement LiaisonSouthern California RegionSouthern California Region(916) 509-3028(916) [email protected]@ots.ca.gov

131131

California Office of Traffic Safety California Office of Traffic Safety (OTS) Contacts(OTS) Contacts

OTS Regional Coordinator OTS Regional Coordinator Contact information is available atContact information is available at


132132


OTS Regional CoordinatorsOTS Regional CoordinatorsFor Information about General Traffic Safety For Information about General Traffic Safety

GrantsGrants

Contact information is available atContact information is available at


2208 Kausen Drive, Suite 3002208 Kausen Drive, Suite 300Elk Grove, California 95758 Elk Grove, California 95758

916-509-3030916-509-3030

133


Documents

2012-2013 Sobriety Checkpoint Program Pre-Operational Training